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052019a Agenda Package
HARNETT COUNTY BOARD OF COMMISSIONERS County Administration Building 420 McKinney Parkway Lillington, North Carolina Regular Meeting May 20, 2019 6:00 pm 1. Call to order-Chairman Gordon Springle 2. Pledge of Allegiance and Invocation -Vice Chairman Penny 3. Consider additions and deletions to the published agenda 4. Special Recognition of Harnett County 's Envirothon Teams 5. Consent Agenda A. Minutes B. Budget Amendments C. Tax rebates, refunds and releases D. Harnett County Animal Services requests approval of a Resolution Authorizing the County Manager to Waive Animal Adoption Fees when necessary for special events, illness, shelter capacity limits or other deemed reasonably necessary by staff. E. Administration requests adoption of the North Carolina Local Government Records Retention Schedule -March 2019. F. Harnett County Parks and Recreation requests approval of two change orders totaling $28,050 for the Neills Creek Park Tennis Court Project. G. Harnett County Public Library requests approval to accept the LSTA Edge Technology Grant for $7,478. Grant funds will be used to purchase technology tools and equipment to improve and increase community access to technology and digital learning. H. Harnett County Finance Officer requests approval of the Northwest Harnett Elementary School Project Capital Project Ordinance totaling $29,634,397. I. Harnett County Finance Officer requests approval of a Resolution Declaring the Intent of the County of Harnett to Issue Approximately $28 ,000,000 General Obligation School Bonds to Finance NW Harnett Elementary School, as requested by the Board of Education, and to Reimburse Itself for Capital Expenditures Incurred in Connection with the Acquisition and Construction of NW Harnett Elementary School from the Proceeds of Such General Obligation School Bonds Executed to be Issued in Fiscal Year 2020. J. Harnett County Finance Officer requests approval of the Erwin Elementary School Project Capital Project Ordinance totaling $23,481,723. Page 1 of2 K. Harnett County Finance Officer requests approval of a Resolution Declaring the Intent of the County of Hamett to Issue Approximately $23,500,000 General Obligation School Bonds to Finance Erwin Elementary School, as requested by the Board of Education, and to Reimburse Itself for Capital Expenditures Incurred in Connection with the Acquisition and Construction of Erwin Elementary School from the Proceeds of Such General Obligation School Bonds Executed to be Issued in Fiscal Year 2020. 6. Period of up to 30 minutes for informal comments allowing 3 minutes for each presentation 7. Appointments 8. Public Hearing: Proposed Zoning Change: Case# PLAN I 903-0002 Landowners/Applicants: Southeast Properties Family, LLC; 7.12 acres; Pin #'s 0513-76- 3120 & 0513-76-0085; From RA-20M to Commercial Zoning District; NC Hwy 210 South; Anderson Creek Township 9. Public Hearing: Proposed Zoning Change: Case# PLAN1904-0001 Landowners/Applicants: Barbara Jones; 5.33 acres; Pin #'s 1528-52-9101 , 1528-52-1018, and 1528-61 -2922; From Commercial to RA-30 Zoning District; US 301 N , Neill's Creek Township. 10. Administration requests approval of a Capital Project Ordinance for the "Shawtown Area Community Center Feasibility Study." This project will be funded through a $10,000 grant- in-aid, which Hamett County was awarded for the development of this project however; no County funds are included in this project. 11. Harnett County General Services requests a recommendation for the Terminal Design exterior concept -Option #1 or #2 -to complete a sixty percent (60%) project submittal requirement for submission to the NCDOT / Division of Aviation. The Terminal Construction project's total projected cost is $4.18M with approximately$ l.9M available in grant funding through NCDOT/Division of Aviation. 12. Administration and Finance Officer request approval of a Project Budget Ordinance Amendment for the new Hamett County Resource Center and Library, DSS building addition and site improvements. 13. County Manager's Report-Paula Stewart, County Manager Hamett County Public Health Activities Summary-April 2019 14. New Business 15. Closed Session 16. Adjourn Page 2 of2 Agenda Item __ Lf__.__ __ _ 2019 Harnett Soil and Water Conservation District NC Envirothon Program Summary The Envirothon program is the largest natural resources conservation based competition of its kind. Purpose: The NC Envirothon Program is designed to develop environmentally aware citizens who are able to assume future leadership roles in the areas of natural resources conservation. It consists of a yearlong curriculum for both middle and high school students combining both in the classroom and outdoor training in ecology and natural resource s management. The program is designed to emphasize teamwork and higher order thinking skills such as analysis and interpretation. Method: Soil and Water Conservation Districts partner with local schools (public and private), homeschool groups, or 4-H Clubs to recruit team advisors and student participants. Teams consist of 5 students and the subject areas of aquatic ecology, forestry, soils and land use, wildlife and current environmental issues are studied. Students are tested on the study resources provided at an Area contest consisting of teams from nine Counties (300 plus students). Only the top seven in the high school and middle school divisions advance to the state level event where they compete against teams qualifying from all other Soil and Water Areas (600 plus students). The NC Envirothon first place finishing high school team represents NC in the National Conservation Foundation Envirothon that is an international event and its location moves throughout the United States and Canada, with teams traveling from as far as China to compete . 2019 Harnett Envirothon Information Partner School: Harnett Central Middle School Teacher/Team Advisor: Sarah Sealey, gth Grade Science Total Number of Students Participating: 26 gth graders making up 5 teams, All first year participants Envirothon Practices Began: October 201 8 Practice Sessions Held: 60 After school sessions, 3 Teacher workdays, and 2 Saturdays (1@ Ncsu and 1@ Clemmo ns state Fores t) Area 7 Envirothon Contest: Thursday, March 21, 2019 at Jones Lake State Park, Bladen County Tea ms traveled by school activity bus . Thirty-Two total middle school and 10 high school teams competed from Bladen, Columbus, Cumberland, Harnett, Hoke, Richmond , Robeson, Sampson, and Scotland Counties. Harnett teams finished 3rd, 4th, 5t h, 5th, and 7th in the middle school division and all qualified for the state level event. Harnett also had the contest high scoring team in the current environme ntal issues category. This was excellent for first year team s. Out of 7 teams advancing, 5 were from Harnett County. NC Envirothon Contest: Friday and Saturday, May 3-4 2019 at Cedarock Park, Alamance County Students traveled by County van and with parents to camp overnight Friday for the two day event. District staff, parent volunteers, and Sarah Sealey provided supervision . Upon arrival on Friday, students participated in educational stations conducted by resource professionals to further their knowledge of the subject matter areas . On Saturday, tea ms rotated to the five testing stations and competed with 51 middle sc hool teams from throughout North Carolina many of which had been on Envirothon teams since 5th grade . Out of these 51 teams, Harnett had a team placing 14th and the rest were not far behind. Thi s was exceptional for first year Envirothon students. They not only represented Harn ett County well in numbers but also by their sense of commitment to their tea cher, fellow teammates, and to the conservation of our County's precious natural resources . Students Participating: Alex Munz, Antonio Aguas Gonzale z, Ashley Bliven, Beth Bryan, Carlie Love, Catie Blackford, Cayleigh Hu g hes, Chance Ennis, Dalla s Sorrell, Ellie Vaughn , Isaac Fo x, Isaiah Pear so n, Jacob Allen, Jacob Jeffries, Jason Loy, Jay Mewborn, Joey Siko, Kaleb W atk ins, Landon Dawso n, Lane Hobson, Mark Gask in, Matt Tarpey, M atteo Lopez, M atthe w Lambert, Pasha Troyano, Sam Perry Date run: 5/13/2019 2:01 :33 PM Data as of: 5/12/2019 8:07:06 PM TR-304 Bill Release Report Report Parameters: Release Date Start: 4/1/2019 Release Date End: 4/30/2019 Tax District: ALL Default Sort-By: Grouping: Bill #,Taxpayer Name,Release Date,Billing Date,Operator ID, Release Amount Release Reason Bill# Taxpayer Name RELEASE REASON: Adjustment 0000031700-2018-2018-0000-00-REG SOUTH ERWIN BAPTIST CHURCH, 0000031701-2018-2018-0000-00-REG SOUTH ERWIN BAPTIST CHURCH, 0000037426-2018-2018-0000-00-REG HARNETI FOOD PANTRY INC, 0000063774-2019-2018-0000-00-REG ARELLANO, JANICE L 0002260014-2018-2018-0000-00-REG GOINS, EDWARD LEVERNE II 0002260958-2018-2015-0000-00-REG RGS AUTO TRANSPORT LLC 0002260958-2018-2016-0000-00-REG RGS AUTO TRANSPORT LLC 0002260958-2018-2017-0000-00-REG RGS AUTO TRANSPORT LLC Subtotal RELEASE REASON: Assessed In Err 0002248835-2018-2018-0000-00-REG PAWNEE LEASING CORPORATION Subtotal PAGE 1 of6 Operator ID (Name) 8/11/2018 CRYSTAL THOMAS 8/11/2018 CRYSTAL THOMAS 8/11/2018 CRY ST AL THOMAS 4/8/2019 APRIL DIAZ 8/21/2018 AMY BAIN 11/15/2018 SHERRY LOCKAMY 11/15/2018 SHERRY LOCKAMY 11/15/2018 SHERRY LOCKAMY 8/11/2018 SHERRY LOCKAMY NCPTS V4 -. 4/12/2019 4/12/2019 4/12/2019 4/8/2019 4/12/2019 4/5/2019 4/5/2019 4/5/2019 4/25/2019 121.05 121.05 1,980.08 92.47 116.99 375.82 357.03 339.17 211.51 ' Agenda Item S -C Release Amount($) 121.05 121.05 1,910.08 92.47 73.11 375.82 357.03 339.17 3,389.78 211.51 211.51 -. 0.00 0.00 70.00 0.00 43.88 0.00 0.00 0.00 0.00 Bill# Taxpayer Name RELEASE REASON: BOE and review dee 0000047098-2018-2016-0000-00-REG SEARS, RICHARD GLEN Subtotal RELEASE REASON: Full rebate 0001383532-2018-2018-0000-00-REG FREEMAN, NATALIE LOIS Subtotal RELEASE REASON: Less than min amt 0000031700-2018-2018-0000-00-REG SOUTH ERWIN BAPTIST CHURCH, 0000031701-2018-2018-0000-00-REG SOUTH ERWIN BAPTIST CHURCH, 0001383532-2018-2018-0000-00-REG FREEMAN, NATALIE LOIS 0001994531-2012-2012-0000-00-REG MITCHELL, NICOLE NINEVEH 0002099237-2013-2013-0000-00-REG BONNEY, BRIAN DAVID 0002248835-2018-2018-0000-00-REG PAWNEE LEASING CORPORATION 0002260958-2018-2015-0000-00-REG RGS AUTO TRANSPORT LLC 0002260958-2018-2016-0000-00-REG RGS AUTO TRANSPORT LLC 0002260958-2018-2017-0000-00-REG RGS AUTO TRANSPORT LLC Subtotal RELEASE REASON: Military 0001994531-2012-2012-0000-00-REG MITCHELL, NICOLE NINEVEH 0002099237-2013-2013-0000-00-REG BONNEY, BRIAN DAVID Subtotal PAGE 2 of 6 Operator ID (Name) 5/4/2018 SHERRY LOCKAMY 8/11/2018 MARGARET WRIGHT 8/11/2018 CRYSTAL THOMAS 8/11/2018 CRYSTAL THOMAS 8/11/2018 MARGARET WRIGHT 9/4/2012 AMY BAIN 7/24/2013 AMY BAIN 8/11/2018 SHERRY LOCKAMY 11/15/2018 SHERRY LOCKAMY 11/15/2018 SHERRY LOCKAMY 11/15/2018 SHERRY LOCKAMY 9/4/2012 AMY BAIN 7/24/2013 AMY BAIN 4/12/2019 4/4/2019 4/12/2019 4/12/2019 4/4/2019 4/11/2019 4/9/2019 4/25/2019 4/5/2019 4/5/2019 4/5/2019 4/11/2019 4/9/2019 -. 4,807.32 51.74 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 147.76 36.63 Release Amount($) 218.52 218.52 51.74 51.74 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 147.76 36.63 184.39 -. 4,588.80 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 Bill# Taxpayer Name RELEASE REASON: Over Assessment 0002254271-2016-2016-0000-00-REG COATS SOLAR, LLC 0002254271-2016-2016-0000-00-REG COATS SOLAR, LLC 0002263957-2019-2016-0000-00-REG NORRIS, THOMAS EARL 0002263957-2019-2017-0000-00-REG NORRIS, THOMAS EARL 0002263957-2019-2018-0000-00-REG NORRIS, THOMAS EARL Subtotal RELEASE REASON: Situs error 0002252852-2018-2018-0000-00-REG BARILE, GARY FRANKLIN Subtotal RELEASE REASON: SMALL UNDERPAYMENT 0000000928-2018-2018-0000-00-REG BEASLEY, PATRICIA 0000004611-2018-2018-0000-00-REG BETHEA, SHIRLEY B 0000005086-2018-2018-0000-00-REG TAYLOR, JUN NIE 0000005466-2018-2018-0000-00-REG BOLTON, TROY L 0000005753-2018-2018-0000-00-REG BOYD, DAVID J 0000010504-2018-2018-0000-00-REG CHANCE, SAMANTHA 0000010842-2018-2018-0000-00-REG CHURCH OF PSYCHIC SCIENCE SPIRITUAL, 0000010843-2018-2018-0000-00-REG CHURCH OF PSYCHIC SCIENCE SPIRITUAL, 0000011024-2018-2018-0000-00-REG CITY BARBER SHOP 0000014409-2018-2018-0000-00-REG MORRISON, ELIZABETH F 0000015914-2018-2018-0000-00-REG DURRANCE, CAROLYN SUE PAGE 3of6 Operator ID (Name} 8/6/2016 SHERRY LOCKAMY 8/6/2016 SHERRY LOCKAMY 3/15/2019 CRYSTAL THOMAS 3/15/2019 CRYSTAL THOMAS 3/15/2019 CRYSTAL THOMAS 8/11/2018 AMY BAIN 8/11/2018 KARA DANIELS 8/11/2018 YVONNE MCARTHUR 8/11/2018 YVONNE MCARTHUR 8/11/2018 YVONNE MCARTHUR 8/11/2018 KARA DANIELS 8/11/2018 YVONNE MCARTHUR 8/11/2018 KARA DANIELS 8/11/2018 KARA DANIELS 8/11/2018 JANNA HIGDON 8/11/2018 AMY BAIN 8/11/2018 AMY BAIN -. 4/12/2019 70,542.39 4/12/2019 56,433.91 4/23/2019 254.02 4/23/2019 224.08 4/23/2019 196.50 4/10/2019 68.86 4/8/2019 257.64 4/23/2019 1,338.47 4/10/2019 123.00 4/12/2019 560.03 4/8/2019 238.00 4/5/2019 172.00 4/18/2019 50.05 4/18/2019 15.03 4/8/2019 6.80 4/22/2019 840.96 4/22/2019 23.11 Release Amount($} 14,108.48 42,325.44 170.12 153.97 138.25 56,896.26 68.86 68.86 0.94 0.75 0.92 0.03 0.06 0.76 0.38 0.10 0.05 0.04 0.17 -. 56,433.91 14,108.47 83.90 70.11 58.25 0.00 256.70 1,337.72 122.08 560.00 237.94 171.24 49.67 14.93 6.75 840.92 22.94 Bill# Taxpayer Name 0000018377-2018-2018-0000-00-REG FOX, JOHN JOHNSON 0000018992-2017-2017-0000-00-REG GARNER, JIMMY R 0000024722-2018-2018-0000-00-REG HOLLAND, HUBERT 0000034216-2018-2018-0000-00-REG MCKENZIE, PATRICIA MCAULEY 0000035057-2018-2018-0000-00-REG MCKENZIE, PATRICIA 0000035058-2018-2018-0000-00-REG MCKENZIE, PATRICIA 0000035906-2018-2018-0000-00-REG TUGGLE, BRENDA KAY MCLEAN 0000036406-2018-2018-0000-00-REG MCNEILL, BERTHA MAE 0000042483-2018-2018-0000-00-REG PILGRIMS REST CHURCH 0000045969-2018-2018-0000-00-REG WAGNER, JAMES ROBERT 0000047747-2018-2018-0000-00-REG SHAW, BILLY 0000048696-2019-2018-0070-00-REG SMITH, EDGAR T JR 0000048757-2018-2018-0000-00-REG WEST, GERALDINE SMITH 0000048758-2018-2018-0000-00-REG WEST, GERALDINE SMITH 0000049073-2018-2018-0000-00-REG SMITH, WESLEY VADEN 0000049337-2018-2018-0000-00-REG SMITH, VIOLA 0000051289-2018-2018-0000-00-REG STOKES, ANNIE MAE 0000060675-2018-2018-0000-00-REG WOMBLE, GERALD J 0000061171-2018-2018-0000-00-REG BRIDGERS, DONALD WAYNE JR 0000061835-2018-2018-0000-00-REG BUCK, DAVID M 0000063501-2018-2018-0000-00-REG SHAW, ANNIE RUTH PAGE 4 of6 Operator ID (Name) 8/11/2018 YVONNE 4/12/2019 MCARTHUR 8/19/2017 YVONNE 4/3/2019 MCARTHUR 8/11/2018 AMY BAIN 4/22/2019 8/11/2018 YVONNE 4/4/2019 MCARTHUR 8/11/2018 YVONNE 4/4/2019 MCARTHUR 8/11/2018 YVONNE 4/4/2019 MCARTHUR 8/11/2018 KARA DANIELS 4/29/2019 8/11/2018 YVONNE 4/5/2019 MCARTHUR 8/11/2018 YVONNE 4/4/2019 MCARTHUR 8/11/2018 KARA DANIELS 4/8/2019 8/11/2018 YVONNE 4/12/2019 MCARTHUR 3/18/2019 YVONNE 4/2/2019 MCARTHUR 8/11/2018 YVONNE 4/11/2019 MCARTHUR 8/11/2018 YVONNE 4/11/2019 MCARTHUR 8/11/2018 YVONNE 4/2/2019 MCARTHUR 8/11/2018 YVONNE 4/26/2019 MCARTHUR 8/11/2018 YVONNE 4/4/2019 MCARTHUR 8/11/2018 KARA DANIELS 4/18/2019 8/11/2018 JANNA HIGDON 4/8/2019 8/11/2018 KARA DANIELS 4/8/2019 8/11/2018 KARA DANIELS 4/8/2019 -. 103.91 1,182.49 40.27 94.84 16.80 15.12 4.43 134.50 73.92 2,329.13 4.60 84.71 29.75 8.93 287.00 408.00 650.64 168.00 167.00 1,262.05 120.42 Release Amount($) 0.02 0.06 0.30 0.71 0.10 0.11 0.04 0.05 0.56 0.05 0.04 0.01 0.45 0.12 O.Dl 0.06 0.05 0.22 0.02 0.07 0.47 -. 103.89 1,182.43 39.97 94.13 16.70 15.01 4.39 134.45 73.36 2,329.08 4.56 84.70 29.30 8.81 286.93 407.94 650.59 167.78 166.98 1,261.98 119.95 Bill# Taxpayer Name 0001663042-2018-2018-0000-00-REG KELLY, REBECCA S 0001670040-2010-2010-0000-00-REG MELVIN, DONALD 0001670224-2018-2018-0000-00-REG MONTGOMERY, STACY 0001716114-2018-2018-0000-00-REG SEVENTY WEST BUILDERS INC, 0001761197-2018-2018-0000-00-REG OASIS EYE CARE OPTOMETRY PA 0001976358-2013-2013-0000-00-REG PARKER, JOHN NATHANIEL 0001995620-2018-2018-0000-00-REG GIBBS, GARFIELD LUCIEN 0002176571-2018-2018-0000-00-REG MCLEOD, PENNY FARMER 0002244643-2017-2016-0000-00-REG MIKE'S HANDYMAN SERVICE I NC 0002249332-2018-2018-0000-00-REG THORNTON, CHARLES RAY 0002251370-2018-2018-0000-00-REG GUIN, NEIL RUSSELL JR 0002251972-2017-2017-0000-00-REG STEWART, ROBERT GLEN JR 0002252205-2017-2017-0000-00-REG DICKENS, AMY MCBRYDE 0002253990-2017-2017-0000-01-REG PHILLIPS, CHRISTOPHER LEE 0002256944-2018-2018-0000-00-REG EADY, TRINA 0002259239-2018-2018-0000-00-REG RAYNOR, JOSEPH BENNIE 0002259299-2018-2018-0000-00-REG IHLER, GREGORY SEAN 0002259853-2018-2018-0000-00-REG ODOM, CRYSTAL LYNNE 0002259914-2018-2018-0000-00-REG REYES, ANGEL 0002260109-2018-2018-0000-00-REG CONROY, TERRY DEAN 00022607 40-2018-2018-0000-00-REG WIMBERLY, TONY RAY PAGE 5of6 Operator ID (Name) 8/11/2018 YVONNE MCARTHUR 7/9/2010 KARA DANIELS 8/11/2018 KIMBERLY BAKER 8/11/2018 KARA DANIELS 8/11/2018 YVONNE MCARTHUR 8/7/2013 AMY BAIN 8/11/2018 AMY BAIN 8/11/2018 KARA DANIELS 6/8/2017 AMY BAIN 8/11/2018 YVONNE MCARTHUR 8/11/2018 YVONNE MCARTHUR 8/19/2017 KARA DANIELS 8/19/2017 YVONNE MCARTHUR 12/4/2017 YVONNE MCARTHUR 8/11/2018 KIMBERLY BAKER 8/21/2018 AMY BAIN 8/21/2018 YVONNE MCARTHUR 8/21/2018 AMY BAIN 8/21/2018 YVONNE MCARTHUR 8/21/2018 YVONNE MCARTHUR 8/21/2018 YVONNE MCARTHUR 4/5/2019 4/8/2019 4/4/2019 4/16/2019 4/5/2019 4/1/2019 4/22/2019 4/29/2019 4/22/2019 4/11/2019 4/4/2019 4/1/2019 4/5/2019 4/11/2019 4/5/2019 4/22/2019 4/10/2019 4/22/2019 4/11/2019 4/5/2019 4/11/2019 -. 4.10 22.42 85.87 267.54 2,941.75 3.63 81.77 25.29 4.98 15.25 23.44 164.40 11.90 42.91 42.63 4.50 7.69 5.35 3.90 18.74 6.05 Release Amount($) 0.03 0.15 0.64 0.03 0.17 0.03 0.25 0.20 0.04 0.11 0.17 0.01 0.09 0.32 0.29 0.03 0.06 0.23 0.03 0.29 0.05 -. 4.07 22.27 85.23 267.51 2,941.58 3.60 81.52 25.09 4.94 15.14 23.27 164.39 11.81 42.59 42.34 4.47 7.63 5.12 3.87 18.45 6.00 Bill# Taxpayer Name 0002260784-2018-2018-0000-00-REG HIGGINS, ROBBIE DOUGLAS Subtotal Total PAGE6of6 Operator ID (Name} 8/21/2018 YVONNE MCARTHUR 4/3/2019 -. 161.63 Release Amount($} 0.99 11.99 61,033.05 -. 160.64 Board Meeting Agenda Item Agenda Item 5 -D MEETING DA TE: May 20, 2019 TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: Resolution Authorizing County Manager to Waive Animal Adoption Fees REQUESTED BY: Barry A. Blevins, General Services Director REQUEST: The General Services Director requests the Board of Commissioners review and approve a resolution authorizing the County Manager to waive animal adoption fees when necessary for special events, illness, shelter capacity limits, or other deemed reasonably necessary by the County Manager and General Services Director. FINANCE OFFICER'S RECOMMENDATION : COUNTY MANAGER'S RECOMMENDATION: C:\Users\bblevins\Desktop\SASO agenda 19 .04.25 .docx Page I of I RESOLUTION OF THE HARNETT COUNTY BOARD OF COMMISSIONERS AUTHORIZING THE COUNTY MANAGER TOW AIVE ANIMAL ADOPTION FEES WHEREAS , the laws of the State of North Carolina, and in particular North Carolina General Statute § l 53A-102, authorize the Hamett County Board of County Commissioners to fix fees and commissions charged by county officers and employees for performing services or duties permitted or required by law; and WHEREAS , the Board of Commissioners adopted a rate/fee schedule for the Harnett County Animal Services Department ("Animal Services"); and WHEREAS , it is necessary to waive certain Animal Services fees in specific situations to ensure the efficient and safe operation of the Hamett County animal shelter and to protect the health and well-being of the shelter animals; and WHEREAS , North Carolina General Statute § l 53A-l 2 authorizes the Board of Commissioners to delegate responsibility for any function or activity to others as it sees fit, unless specifically precluded by statute, by ordinance or resolution; and WHEREAS, the Board of Commissioners is authorized to delegate the authority to waive Animal Services fees and desires to delegate such authority to the County Manager. NOW, THEREFORE, be it resolved by the Hamett County Board of Commissioners as follows: 1. The County Manager, upon consultation with the General Services Director, may waive one or more of the fees listed in the then current Animal Services rate/fee schedule when the Harnett County animal shelter is at or near capacity, for "clear the shelter" and other adoption events, to prevent the spread of illness and/or disease to healthy animals at the shelter, or for any other reason deemed reasonably necessary by the County Manager and the General Services Director. 2. A waiver of Animal Services fees shall be t emporary and shall cease when the shelter is at or below 50 percent capacity, when the event prompting the waiver has ended, or when illness or disease no longer poses a threat to the health of the shelter animals. Duly adopted by the Harnett County Board of Commissioners this_ day of May, 2019. Attest: Margaret Regina Wheeler, C lerk HARNETT COUNTY BOARD OF COMMJS.SI,O~ERS ........ : ...... . ' . . . Board Meeting Agenda Item Agenda Item .5-E MEETING DA TE: May 20, 2019 TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: Adoption of the North Carolina Local Government Records Retention Schedule -March 2019 REQUESTED BY: Administraiton REQUEST: Administration requests adoption of the North Carolina Local Government Records Retention Schedule. The March 2019 updates to North Carolina Local Government Records Retention Schedules have been signed by the Department of Natural and Cultural Resources. The universal update covering General Records is taking the form of a General Local Records Retention Schedule. When adopted, it supersedes the following standards on all local schedules published prior to March 1, 2019: • Administration and Management Records • Budget, Fiscal, and Payroll Records • Geographic Information System (GIS) Records • Information Technology Records • Legal Records • Personnel Records • Public Relations Records • Risk Management Records • Workforce Development Records FINANCE OFFICER'S RECOMMENDATION: COUNTY MANAGER'S RECOMMENDATION: P :\B OC\age nd afo rm 201 9 .do cx Page I o f I Gina Wheeler From: Sweitzer, Emily < Emily.Sweitzer@ncdcr.gov> Thursday, January 17, 2019 2:59 PM Sent: To: County Clerks in North Carolina Subject: [countyclerks] New Retention Schedule Model for North Carolina Local Governments Since 1960, when the State Archives of North Carolina (SANC) first published a retention schedule for county governments, SANC has updated local government records retention and disposition schedules as records, recordkeeping processes, and the laws governing local agencies have changed. Currently, SANC amends schedules when legal changes necessitate only a few records series to be updated, and full updates are postponed until recommended changes reach a critical mass. This approach to writing retention schedules is practical, but it results in different retention periods for the records commonly created by all local government agencies, depending on when a particular schedule was most recently updated. This can present challenges: • Counties that have a centralized Records Management program cannot effectively create uniform retention policies that apply to all departments • Employees who perform the same work in multiple agencies have to keep track of multiple retention schedules for their day-to-day records • Agencies with a large quantity of unique, program-specific records may have to wait longer to receive current retention periods for their general office re cords because their schedules may take longer to update • Certain County programs like Animal Control and GIS may have different retention periods for their records depending on where the county has located them administratively To mitigate these challenges, the Government Records Section of the State Archives of North Carolina is transitioning the process for updating local records retention schedules to a new model. Genera l Records While some local government records are specific to the mission of the agency that creates them (for example, a Sheriff's case files, or a Health Department's patient records), many of the records created on a daily basis (for example, payroll and personnel) are common to all government agencies. Under the new model, we will update all of these general records on an annual basis. This will also allow us to keep local records retention periods cons i stent with State records retention periods where applicable, creating greater consistency in records management for the State of North Carolina as a whole. Records standards that will update on an annual basis include: • Administration and Management Records • Budget, Fiscal, and Payroll Records • Geographic Information System (GIS) Records • Information Technology Records • Legal Records • Personnel Records • Public Relations Records • Risk Management Records Program Records Most local government records retention schedu le s have a section titled "Program Records," which includes those records unique to the creating agency's mission. Retention schedu les that don't have this section, such as the County Management and Municipal Schedules, still have sections of the schedule that apply to only one department (for example, Parks and Recreation re cords). The se standards will update on a rotating cycle. We will also be updating Law Enforcement Records on a rotating basis, for greater consistency between municipal police departments and sheriffs' offices. The current timetable for updating the program records standards is as follows: • 2019 -Local Health Departments, Soil and Water Conservation Districts • 2020 -Agricultural Extensions, County Management, Local Education Agencies, Municipalities, Regional Councils of Government, Tourism Development Authorities • 2021-County Social Service Agencies, County Veterans Services, Law Enforcement Agencies, Public Libraries, Public Transportation Systems and Authorities • 2022 -Alcoholic Beverage Control Boards, County Boards of Elections, County Tax Administrations, Local Management Entities, DMH/DD/SAS Local Management Entities (LME), DMH/DD/SAS Provider Agencies • 2023 -County Registers of Deeds, Land Use and Environmental Services Agencies, Public Hospitals, Water and Sewer Authorities and Sanitary Districts What Does Th is Mean for You? Beginning in 2019, a// local records retention schedules will update on an annual basis. These annual updates will include any updates to the General Records Standards as well as any scheduled updates to the Program Records Standards. Updating the schedules in this fashion will create greater consistency among government agencies and will allow agencies with older schedules to use the most current retention periods for their general office records, even if their program records standards are not updated simultaneously. We are planning the first update on March 1, 2019. All subsequent updates will be issued on January 1 of each year. Municipal clerks and clerks to other governing boards should be made aware of this change and plan to begin adopting the new retention schedules on an annual basis at the beginning of the calendar year. While we update these schedules, we welcome feedback from general users and subject matter experts within your local government agency. We will be convening groups of stakeholders for all applicable program records standards during the calendar year prior to those schedules' updates. Once the drafts to these schedules are finalized, they will be posted on our website for feedback from all users. What About Amendments? Agencies that require localized amendments to their retention schedules are still welcome to request them from the Records Analysis Unit. If we determine that the requested change is a good practice for all agencies in North Carolina, we will then roll out that change on a statewide basis during the next annual update. Most changes to the retention schedules that would have required an amendment in the past will now be implemented during the annual updates; however, when the laws governing a set of records change, we will still issue necessary amendments to the schedules even if they do not coincide with the annual update in January. Questions? Please contact Emily Sweitzer (Emi ly.Sweitzer@ncdcr.gov ) or another records analyst if you have any questions about this transition. We look forward to working with you! EMILY SWEITZER Re cords Management Analyst 215 N. Blount St. MSC 4615 Raleigh. NC 27699 9 I 9 8 14 6910 (![(tee 919 715 3627 lw· Emil y.Sweitzer@ncdcr.go, Please note that mr o ffice phone number has changed, and update rour contact i11formation accordinglr. 2 NC DEPARTMENT OF •••• •••• • • •••• • ••• NATURAL AND CULTURAL RESOURCES /:'mail correspondence to und.fi·om this address is su~ject to the North Carolina Puh/ic Record~ /,mr and may he disclosed to third partit!.\. You currently are subscribed to countyclerks. To unsubscribe send email to listserv@unc.edu with the Subject Line: unsubscribe countyclerks . Other inquiries on list issues can be sent to listmgr@ sog.unc.edu. 3 RECORDS RETENTION AND DISPOSITION SCHEDULE GENERAL RECORDS SCHEDULE FOR LOCAL GOVERNMENT AGENCIES Issued By: •••• H •• NC DEPARTMENT OF ••••= NATURAL AND CULTURAL RESOURCES •••• North Carolina Department of Natural and Cultural Resources Division of Archives and Records Government Records Section March 1, 2019 CONTENTS Approval ............................................................................................................................................ i Front Matter Executive Summary .......................................................................................................................... ii Managing Public Records in North Carolina ................................................................................... iii Audits, Litigation, and Other Official Actions ................................................................................. vi Transitory Records ......................................................................................................................... vii Legend for Records Schedule .......................................................................................................... ix Records Retention and Disposition Schedule Standard 1 : Administration and Management Records ................................................................. 1 Standard 2: Budget, Fiscal, and Payroll Records ........................................................................... 18 Standard 3: Geographic Information Systems Records ................................................................ 30 Standard 4: Information Technology Records .............................................................................. 37 Standard 5: Legal Records ............................................................................................................. 43 Standard 6: Personnel Records ..................................................................................................... 49 Standard 7 : Public Re lations Records ........................................................................................... 66 Standard 8: Risk Management Records ........................................................................................ 70 Standard 9 : Workforce Development Records ............................................................................. 74 Appendix Destruction of Public Records ....................................................................................................... 75 Sample Destructions Log .................................................................................................. 76 Electronic Records: E-mail, Born Digital Records, and Digita l Imag ing ........................................ 77 Geospatia l Record s ...................................................................................................................... 79 Microfilm ....................................................................................................................................... 81 Disaster Assistance ....................................................................................................................... 83 · Staff Training ................................................................................................................................. 84 Requ est Forms Request fo r Change in Records Schedule ......................................................................... 8 5 Reque st for Disposal of Unschedu l ed Records ................................................................. 86 Reque st for Di sposal of Original Records Dupl icated by Electronic Mean s ..................... 8 7 Samp le File Plan ............................................................................................................................ 8 8 Index ........................................................................................................................................... 8 9 2019 Local Government Agencies General Records Retention and Disposition Schedule The records retention and disposition schedule and retention periods governing the records series listed herein are hereby approved. In accordance with the provi sions 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 refe ren ce purposes after the respective retention periods speci fied 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. The local government agency agrees to comply with 07 NCAC 04M .0510 when deciding on a method of destruction. Confidential records will be destroyed in such a manner that the records cannot be practicably read or reconstructed. However, records subject to audit or those legally required for ongoing official proceedings must be retained until released from such audits or officiql proceedings, notwithstanding the instructions of this schedule. Public records, including electronic records, not 1/sted In this schedule are not authorized to be destroyed. 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 Cu ltural Resources has sched uled with the disposition in struction "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." All local government agencies and the Department of Natural and Cultural Resources concur that the long-term and/or permanenti:>reservation of electronic r ec ords requires additional comm itment 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 Resou rce s regarding the creation and management of electronic records . It is further agreed that these re cords may not be destroyed prior to the time periods stated; however, for sufficient reason they may be re ta in ed for longer periods. This schedu le supersedes the general standa rds in all previous lo ca l government retention and disposition schedules and Is to remain in effect from the date of approval until it is reviewed and updated . APPROVAL RECOMMENDED Muncip al/Coun ty Clerk or Manager Title:------------ Head of Governing Body Title: ------------- APPROVED ~CLM-2-t .~ Sarah E. Koonts, Director Division of Archives and Record s ~i;lt(~ Department of Natural and Cultural Resource s Municipality/County:------------- EXECUTIVE SUMMARY ./ According to G.S. § 121-S(b) and G.S . § 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 Richard Pearce -Moses, A Glossary of Archival and Records 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 G.S. § 121-5 and G.S. § 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 . ./ The State Archives of North Carolina recommends that all agency employees and officials view the tutorials that are available on line 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 provides microfilming services for the minutes of major decision-making boards and commissions. Once those records are filmed, we will store the silver halide negative (original) in our security vault. There is a nominal fee for filming and duplicating film. Contact the Records Management Analyst in charge of microfilm coordination for the most current information. ii MANAGING PUBLIC RECORDS IN NOR TH CAROLINA Q . W hat i s th i s "re c ords retention and dispos i t i o n schedule 11 ? 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 common ly found in agency offices and gives an assessment of their value by indicating how long those records should be retained. T his schedule is also an agreement between your agency and the State Archives of North Carolina. This schedule serves as the inventory and schedu le that the State Archives of North Carol i na is di re cted by G.S. § 121-S(c) and G.S. § 132-8 to provi de . It supersedes all previous editions, including all amendments. Q . How do I get th i s s chedule approved? A . This schedule must be approved by your governing body for use in your ag ency. Tha t approva l should be made in a regular meeti ng and recorded as an action in the minutes. It may be done as part of the consent ag end a, by r eso lution, or other action. Q . Am I required t o 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 11 ? 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 with in the office. A minimum retention period should be established by the office for any items containing the phrase "destroy in office w hen reference .va lue ends" in the disposi t ion instructions. Q . Do the standards c orrespond to the organizati onal stru cture of my age n cy? A . Records series are grouped into standards to make it easier for users to locate records and t heir disposition instructions. You may find that the groupings reflect the organizational structure of your agency, or you may find t hat 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 o n th i s schedul e ? A. Sometimes the records are listed in a different standard than how you organize them in you r office. Be sure to chec k 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 ame nd this records schedu le so that you may destroy records appro priately . 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 da ta-processing records, artifacts, or other documentary material, regardless of phys ical form or 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 Ca r olina 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, counc il, department, authority or othe r un it of government of the State or of any county, unit, special d i strict or other po litical subdivision of government. iii Q. Is any person allowed to see my records? A. Yes, except as restricted by specific provisions in state or federal law. G.S. § 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. Except ions to the access requirements in G.S. § 132-6 and the definition of public recor ds in G.S. § 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 .G.S. §121-4 (2) and §132-8.1) and t he maintenance of "a program for the selectio n 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 microfi lm ). Some examples of these characteristics include: • Affect multiple people, without regard to relation • Ha ve 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 ev idence of our system of governance, and are routinely provided for the public to read . • Records, such as deeds and t ax scrolls, about land document changes in owners hip and condition. Count ies maintain offices expressly for the purpose of making those r ecords available to the public. Other records in local and state governments document potential public hea lth hazards, such as hazardous materials spills. • Adoptions, marriages, and divorces document changes in familial re lationships and document citizenship . Though adoptions are confidential (not available for public inspection), they document citizenship and changes in inheritance and familial succession . • Court re co rds , such as wills, estates, and capital cases , affect people within and across family groups, are made available for public inspection, and often involv e transactions re lated to the examples above. See the Human -R eadable Preservation Duplicates policy issued by the North Carolina Department of Natural and Cultural Resources (https://archives .ncdcr.gov/documents/human-readab le-preservation- duplicates) and check with a records analyst to determine whether your permanent records require a preservation duplicate . iv Q. What is historical value? A. Historical records document significant events, actions, decisions, conditions, relationships, and similar d eve lopments. These records have administrative, legal, fi scal, or evidentia l importance for the government or its citizens. 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 r ecords. Computer file s of any kind , including drafts and e-mai l, are public records . Even if your recor ds are not the official or final version , your records are public records. Not all records have high historical, legal, or fiscal va lue, but they all must be destroyed in accordance with the provisions of the appropriate records schedule. Q. May I store our unused records in the basement, attic, shed, etc.? A. Publ ic 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 ens ure that r ecords stored away from you r main office area are well protected from natural and man-made problems while remaining readily avail able 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 Caro lina 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 Ashev ille at (828) 296-7230 extension 224 . If you are east of Statesville, al l the way to the coast, call our Raleigh office at (919) 814-6900. V 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 t he 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, re gulatory investigation, audit, open records request, etc.) or litigation is pending and the agency is thus on notic e to preserve all potentially relevant records . You must also ensure that for a claim or litigation that appears to be rea so nably 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 ha ve used an asterisk(*) in the disposition instructions to mark records ser ies that are commonly audited, litigated, or may be su bject to other offici al actions . However, any r ecord has this potential. Records custodians are responsible for being aware of potential actions, and fo r preventing the destruction of an y record that is, or may be reasonably expected to become, involved in an aud it, 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 sc hedu le. If time rema ins in the retention period, the records must be maintained for the remainder of the period. The auditor's worki ng papers must be kept according to the schedule. (See AUDITS: PERFORMANCE , page 2, item 8, and AUDITS: FINANCIAL , page 19, item 6.) Should a dispute arise over an aud it, the records that were audited should be retained until that dispute is resolved . The attorney representing the agency shou ld inform records custod ians when legal matters are concluded and records will no longer be needed. Following the conclusion of any legal action, the records may be dest royed if they have met the retention period in the schedule . Otherwise, they should be kept for the remaining time period. vi 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 ."1 According to North Carolina General Statutes§ 121 and § 132, every document, paper, letter, map, book, photograph, film, sound recording, magnetic or other tape, electronic da t a processing record , artifact, or other documentary material, regardless of physical form or characteristic s, made or rece ived in connection with the transaction of public business by any state, county, municipal agency, or other politica l 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 Cu ltural Resources. The Department of Natural and Cultural Resources recognizes that some reco rds 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 record s commonly created in state government. They may be disposed of according to the guidance below. However, all public employees should be familiar with the Gene ral Schedule f~r State Agency Records , their office's Program Records Retention and Disposit ion Schedule, and any other app licable guidelines for their offi ce . If any of t hese documents req uire a different r etention 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 ana lyst assigned to your agency . Q . What do I do with routing slips, fa x cover sheets, "wh ile you were ou t" sli ps, m emo r y a i ds, etc.? A . Routing slips and transmitta l sheets add ing no information to that contained in t he transmitted materi al have minimal value after the material has been successfully transm itted. These records may be destroyed or otherwise disposed of after receipt of the material has been confirmed . Simi larly, "while you were out" slips, memory aids, and other records request ing follow-up actions (including voicemails) have minimal value once the official action these records are supporting has been completed and documented. Un less they are li sted on the General Schedule for St ate Agency Records or your office's Program Records Retention and Disposition Schedule, these record s may be destroyed or otherwise disposed of once the action has been resolved. Q . What abo u t r esearch materi als, drafts, and other working papers used to create a f i nal, offici al reco r d? A. Drafts and working papers are materials, including notes and calculations, gathered or created to ass ist 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 necessa ry 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 • 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, suc h as informal workflows and manuals; and 1 A Glossary of Archival and Records Terminology, Richard Pea rce-Moses (2005) vii • 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 requ ired 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://arch ives.ncdcr.gov/d ocuments /d igital-signature-policy-gu ideli nes viii LEGEND FOR RECORDS SCHEDULE This records retention and disposition schedule applies to records in all media, unless otherwise specified. ft ' -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 Richard Pear~e-Moses, A Glossary of Archival and Records 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 bold, uppercase letters. 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 . AUDITS: PERFORMANCE Recor ds concerning i n ternal and externa l audits co ndu cted to assess the function o f government programs. Includes reports, w orki n g papers, co rrective measur es, an d other r el ated records . See a l so AUDITS : FINANCIAL, page 20, item 6 . Sample records series title and description with cross-reference included 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 vi. ix -. ••:" Ii NC DEPARTMENT OF •• •• NATURAL AND CULTURAL RESOURCES •. , .... STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS Official records pertaining to the authority, operating philosophy, methods, primary functions, and routine office administration of local agencies. STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1. ABSTRACTS OF MUNICIPAL ELECTIONS Destroy in office when reference value ends. t Authority: Copies of abstracts prepared by the County Board of G.S. § 163-300 Elections and forwarded to the municipal clerk. Agency Policy: Destroy in office after Retention Note: Official record maintained permanently by the County Board of Elections. 2. ACCREDITATION RECORDS Destroy in office 5 years after superseded or obsolete. Authority: Records documenting accreditations and certifications lOA NCAC 488 received by the agency. Includes applications, final reports, and other related records. 3. ADMINISTRATIVE DIRECTIVES, REGULATIONS, AND a) Retain in office official copy permanently. RULES b) Destroy in office remaining records after 3 years. 4. AGENDA AND MEETING PACKETS a) Retain in office records with historical value permanently. Includes agendas and copies of supporting b) Destroy in office remaining records when reference value documentation submitted and discussed during ends.t meetings of public bodies. Also includes documentation of outside meetings attended by Agency Policy: Destroy in office after agency personnel. See also MINUTES OF PUBLIC BODIES, page 11, item 42. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 1 .. -u: .. ' NC DEPARTMENT OF :~. ::! NATURAL AND CULTURAL RESOURCES STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 5. APPLICATIONS FOR APPOINTMENT a) Destroy in office records concerning appointed individuals Applications and related records received from 1 year after expiration of term. individuals applying for appointments to serve on b) Destroy in office remaining records when reference value public boards, commissions, councils, and committees. ends.t Agency Policy: Destroy in office after 6. APPOINTMENT REPORTS Destroy in office after 2 years. Authority: Includes annual appointment reports filed with the NC G.S. § 143-157.1 Department of the Secretary of State. 7. AUDIO AND VIDEO RECORDINGS OF MEETINGS Destroy in office after approval of official written minutes. NOTE: If these serve as the official minutes, as affowed by G.S. § See also MINUTES OF PUBLIC BODIES, page 11, item 143-318.lO(e), their retention should be permanent. These 42. disposition instructions apply to recordings produced sofefy for the purpose of generating official written minutes. 8. AUDITS: PERFORMANCE a) Retain in office permanently reports related to internal Records concerning internal and external audits compliance or operational audits, hazardous material, or conducted to assess the function of government those that document a significant change in agency programs. Includes reports, working papers, practices. corrective measures, and other related records. b) Destroy in office remaining audit reports after 10 years. c) Destroy in office documentation of corrective measures 2 See also AUDITS: FINANCIAL, page 19, item 6. years after their implementation. d) Destroy in office working papers and remaining records when superseded or obsolete. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. The agency hereby agrees that it wilf establish and enforce internal policies setting minimum retention periods for the records that Natura( and Cufturaf Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 2 1 ITEM# 9. f'1 t!J 10. 11. 12. 13. 14. -••••i NC DEPARTMENT OF .. •.1 NATURAL AND CULTURAL RESOURCES ., .... STANDARD l: ADMINISTRATION AND MANAGEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION BLUEPRINTS AND SPECIFICATIONS a) Transfer as-built drawings to new owner when agency Confidentiality: Blueprints and specifications of agency owned relinquishes ownership of building or facility. G.S. § 132-1.7 buildings and facilities. Includes as-built plans and b) Retain in office as-built drawings for life of structure and related records concerning approved changes. then destroy. c) Destroy in office blueprints, floorplans, and other preliminary design and construction documents when superseded or obsolete. BONDS Destroy in office S years after expiration or cancellation. Records documenting written guarantees from a third party, including bid bonds, payment bonds, performance bonds, and surety bonds. See also BIDS FOR PURCHASE, page 20, item 10, and PROJECTS, page 14, item 53. BULLETINS Destroy in office when superseded or obsolete. Internal information sharing materials that circulate information within the agency. Also includes memoranda and newsletters. BUSINESS CERTIFICATION RECORDS a) Destroy in office all documentation 3 years after most Applications and supporting documentation submitted recent recertification. by businesses to be certified as a Small Business b) If certification was never issued, destroy in office all Enterprise (SBE) or other classification. documentation when reference value ends. t Agency Policy: Destroy in office after BUSINESS DEVELOPMENT SUBJECT FILE Destroy in office after 3 years. CALENDARS OF EVENTS AND APPOINTMENTS Destroy in office when superseded or obsolete. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LIT/GA TION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 1 ITEM# 15. 16. 17. 18. ..!!• ••;•l NC DEPARTMENT OF ... al NATURAL AND CULTURAL RESOURCES . -· STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION CENSUS PROJECT RECORDS Destroy in office when reference value ends. t Records created to assist the U.S. Census Bureau with Agency Policy: Destroy in office after the decennial census. CHARTER RECORDS Retain in office permanently. Charter and charter proceedings related to adoption, amendment and/or repeal. CITIZEN COMMENTS, COMPLAINTS, PETITIONS, AND a) Transfer records as applicable to LITIGATION CASE Authority: SERVICE REQUESTS RECORDS, page 47, item 16. 42 USC 12132 Records concerning objections, dissatisfaction, or b) Destroy in office comments, informal complaints, disagreements with actions or positions taken or not petitions, and requests 1 year after resolution.* taken by the agency. Includes comments and petitions submitted by citizens requesting action as c) Destroy in office accommodation requests and complaints well as routine requests for service. Also includes 2 years after resolution.* requests for reasonable accommodation under Title II of the Americans with Disabilities Act, including survey of agency buildings to determine accessibility to the physically handicapped, federal regulations, proposals for implementing the act, correspondence (including e-mail), resolutions, and solutions to access problems. See also CIVIL RIGHTS RECORDS, page 44, item 4. CITIZEN REBATE PROGRAM RECORDS a) Destroy in office financial records 3 years after approval.* Applications, receipts, and related records concerning b) Destroy in office applications 1 year after approval. rebate programs sponsored by the agency. These records document programs and incentivized actions c) Destroy in office denied applications when reference value that citizens may opt into. ends.t Agency Policy: Destroy in office after * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 1 ITEM# 19. 20. 21. 22. -. ••Tc; -NC DEPARTMENT OF .. •.1 NATURAL AND CULTURAL RESOURCES • STANDARD l: ADMINISTRATION AND MANAGEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION CITIZEN SURVEYS Destroy in office when reference value ends. t Surveys and related records addressing agency Agency Policy: Destroy in office after services, policies, and other concerns. COLLECTED DATA Destroy in office when superseded or obsolete. If data contains Information and statistics compiled and analyzed for confidential information, abide research purposes or to support the functions of the by relevant agency. restrictions. COMPREHENSIVE PLAN a) Retain in office comprehensive plans and strategic plans Long-range plan outlining policies, guidelines, and permanently. plans for future development of the agency. Includes b) Destroy in office background surveys, studies, reports, and official copy of comprehensive plan and all drafts 5 years after adoption of plan. background surveys, studies, reports, and draft versions of plans. Also includes strategic plans and c) Destroy in office business plans 2 years after execution of business plans, as well as goals and objectives. plan. d) Destroy in office goals and mission statements when superseded or obsolete. CORRESPONDENCE AND MEMORANDA a) Transfer correspondence (including e-mail) with historical Administrative and management value to HISTORY RECORDS, page 8, item 32, after 3 years. correspondence/memoranda (including e-mail) b) Destroy routine administrative correspondence and written or received by the office concerning agency memoranda after 1 year. authority, operating philosophy, purpose, methods, c) Destroy in office remaining records after 3 year·s. and any other function. Retention Note: The correspondence (including e-mail) of the For information on handling e-mail and text or instant most senior administrator has historical value and should be messages, see ELECTRONIC RECORDS, page 77. retained permanently. • No destruction of records may take place if audits or litigation are pending or reasonably anticipoted. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. The agency hereby agrees that it will estoblish 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 1 ITEM# 23. 24. 25. 26. -. •••'· -NC DEPARTMENT OF aa•.c NATURAL ANO CULTURAL RESOURCES .,. ...... STANDARD l: ADMINISTRATION AND MANAGEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION CUSTOMER CALL CENTER RECORDINGS Destroy in office after 30 days. Recordings of calls to customer service centers made for quality assurance and training purposes. EQUIPMENT AND VEHICLE MAINTENANCE, REPAIR, a) Destroy in office records documenting routine inspections, AND INSPECTION RECORDS janitorial cleaning, and routine maintenance of equipment Records concerning the maintenance, repair, routine and vehicles after 1 year.• testing, and inspection of agency owned equipment b) Destroy in office records documenting all other and vehicles. Also includes warranties. maintenance and repairs after 3 years.• c) See also GRANTS, page 8, item 31, and SYSTEM Destroy in office warranties 1 year after expiration. MAINTENANCE RECORDS: HARDWARE REPAIR OR SERVICE, page 40, item 15. EQUIPMENT AND VEHICLE REFERENCE RECORDS Destroy in office when superseded or obsolete. Includes operation, specification, and technical manuals. Also includes brochures, bulletins, and related documentation. EQUIPMENT, FACILITY, AND VEHICLE USAGE a) Destroy in office after 3 years if records are used for RECORDS allocating costs or determining payment under rental or Records documenting the assignment, request, and lease agreements.• usage of agency assets. Also includes mileage and checkout logs, fuel consumption reports, reservation b) Destroy in office remaining records after 1 year. requests, authorizations, utility usage logs, and similar records. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 1 ... ::=:; :~T~E::LR:~~Tu~:URAL RESOURCES .. -· STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 27. FACILITY MAINTENANCE, REPAIR, AND INSPECTION a) Destroy in office records documenting routine inspections, RECORDS janitorial cleaning, environmental monitoring, and routine Records documenting maintenance, repair, and maintenance of facilities after 1 year. inspection of agency-owned facilities. b) Destroy in office records documenting system repair and improvement (including plumbing, electrical, fire, and See also CONTRACTS, LEASES, AND AGREEMENTS, other systems) after 3 years. page 45, item 7. 28. FORMS AND TEMPLATES Destroy in office when superseded or obsolete. Blank forms, templates, and letterhead used to create agency records. 29. GOVERNING AND ADVISORY BODY MEMBER FILES a) Retain in office records with historical value permanently. Records concerning members of public boards, b) Destroy in office 1 year after superseded or obsolete commissions, councils, and committees. Includes waivers from board members choosing not to receive codes of conduct, ethics statements, agreements, stipend/per diem payments. notices of resignation, and other related records. Also includes biographical information and waivers. c) Destroy in office remaining records 1 year after service ends. See also APPLICATIONS FOR APPOINTMENT, page 2, item 5, and OATHS OF OFFICE, page 47, item 17. 30. GRANT PROPOSALS a) Transfer records concerning approved grants to GRANTS, Proposals submitted for grants, including applications, page 8, item 31. correspondence (including e-mail), and other related b) Destroy in office rejected or withdrawn grant proposals records. when reference value ends. t Agency Policy: Destroy in office after * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 1 ·-::=~= ~~T~E::~:~"c:Tu~;URAL RESOURCES ...... STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 31. GRANTS a) Destroy records supporting the expenditure of federal Retention: Records concerning approved federal, state, and funds passed through NC DHHS on a fiscal year basis when 09 NCAC 03M .0703 private grants. File includes applications, reports, the DHHS Office of the Controller provides written 2 CFR 200.333 records of equipment purchased with grant funds, and guidance that records are released from all audits and all relevant programmatic records. Also includes other official actions. documentation about grants issued by the agency b) Destroy in office records of state and private grants 5 years along with research records generated as part of a after final financial report is filed.* grant project. c) Destroy in office records of other federal grants 3 years after final financial report is filed. See also GRANTS: FINANCIAL, page 24, item 27. 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. 32. HISTORY RECORDS {AGENCY AND EMPLOYEES) a) Retain in office records with historical value permanently. Records concerning the history of the agency and its b) Destroy in office remaining records when reference value employees. Includes published and unpublished ends.t histories, biographical data, photographs, newspaper clippings, and other related records. Agency Policy: Destroy in office after 33. IMPROPER CONDUCT INVESTIGATIONS Destroy in office 3 years after resolution. 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. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 1 --· ::•:, ~~~e::LR!~~~Tu~iuRAL RESOURCES • STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 34. INDICES Destroy in office when superseded or obsolete. Listings of where specific information can be found. 35. INTERAGENCY PROGRAMS Destroy in office when reference value ends.t Records of programs involving more than one Agency Policy: Destroy in office after government agency. Includes resource materials, program information, and other related records. 36. INVENTORIES a) Destroy in office lists of properties, facilities, fixed assets, Inventories describing the type of property (including supplies, and surplus property when superseded or equipment and facilities other and fixed assets), its obsolete. location, and related information. Also includes b) Destroy in office inventory control and usage records after inventory control and usage records, such as 3 years. requisitions/draw tickets, mileage logs, request forms, and other related records. 37. LEGISLATION AND REGULATORY RECORDS Destroy in office when reference value ends.t Notices and copies of proposed or adopted state or Agency Policy: Destroy in office after federal legislation or regulations affecting the agency. 38. LOGISTICS MATERIALS Destroy in office after 1 year. Records concerning scheduled plans of agency personnel. Includes routine notices, task lists, and arrangements. 39. MAIL: UNDELIVERABLE/RETURNED Destroy in office after 30 days. 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. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 1 ITEM# 40. v"l t!J 41. ... ••••r NC DEPARTMENT OF ••••= NATURAL AND CULTURAL RESOURCES ...... STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION MAILING AND DISTRIBUTION RECORDS a) Destroy in office Sunshine Lists when superseded or Confidentiality: Includes mailing and meeting notification lists, e-mail obsolete. G.S. § 132-1.12 G.S. § 132-1.13 distribution lists, Sunshine Lists, and related b) Destroy in office remaining records when reference value documentation of transactions with the U.S. Postal ends.t Service, state courier, or private carriers. Agency Policy: Destroy in office after MEMBERSHIP RECORDS Destroy in office when superseded or obsolete. 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. • No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 1 -· ••••r. NC DEPARTMENT OF 11a••• NATURAL ANO CULTURAL RESOURCES .. ,.,,. STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 42. MINUTES OF PUBLIC BODIES a) Retain in office permanently official minutes of the Authority: Includes minutes of the governing board and all governing board and its subsidiary boards as well as all G.S. § 143-318.10 subsidiary and advisory boards. Subsidiary boards are attachments necessary to understand the body's actions. defined as boards that exercise or are authorized to b) The official minutes of advisory boards may be destroyed exercise legislative, policy-making, quasi-judicial, or only upon approval by the State Archives of North administrative functions. Also includes minutes of Carolina. The State Archives reserves the right to subcommittees of the governing board and its designate the minutes of any advisory board as subsidiary and advisory boards. permanent. c) Destroy in office minutes of committees or subcommittees See the MICROFILM section on page 81 for when reference value ends, if the minutes or actions and instructions on microfilming. decisions of the committee are entered as part of the minutes of the parent board. If minutes or actions and See also AGENDA AND MEETING PACKETS, page 1, decisions of the committee or subcommittee in question item 4, and AUDIO AND VIDEO RECORDINGS OF are not entered as part of the minutes of the parent board, MEETINGS, page 2, item 7. If there are other boards the State Archives reserves the right to designate the in the operational standard(s) or if the Workforce minutes as permanent.t Development standard is included, add references to Agency Policy: Destroy in office after those boards here. 43. MINUTES (STAFF MEETINGS) a) Retain in office records with historical value permanently. Minutes of staff meetings, including all referenced and b) Destroy in office remaining records after 1 year. attached documentation. 44. MISCELLANEOUS (NON-BUILDING) APPLICATIONS, a) Destroy in office 1 year after expiration of license/permit. Authority: LICENSES, AND PERMITS G.S. § 66-77 b) Destroy in office applications for which a license/permit Includes, but not limited to, applications and permits was never issued when reference value ends.t regarding burning, special events, and landscape establishment. Agency Policy: Destroy in office after * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 1 ··-· •••u NC DEPARTMENT OF =~~· NATURAL AND CULTURAL RESOURCES STANDARD l: ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 45. NOTICES OF PUBLIC MEETINGS Destroy in office after 1 year. Includes notices and regular meeting schedules. See also AFFIDAVITS OF PUBLICATION, page 43, item 1, and PUBLICITY RECORDS, page 68, item 12. 46. OFFICE SECURITY RECORDS a) If the recording becomes evidence in a personnel Confidentiality: Records concerning the security of agency offices, investigation or lawsuit, transfer to DISCIPLINARY G.S. § 132-1.7 ~ CJ facilities, vehicles, equipment, and personnel. ACTIONS, page 53, item 12, or LITIGATION CASE RECORDS, Includes visitors' register; security, employee, or page 47, item 16. contractor access to facilities or resources; and b) Destroy in office recordings not required to support known surveillance system reports and recordings. investigations or litigation after 30 days. c) Destroy in office remaining records after 1 year. 47. ORDINANCES a) Retain in office official copy permanently. Includes code of ordinances. b) Destroy in office ordinance development records when ordinance is no longer in effect. See the MICROFILM section on page 81 for c) Destroy in office additional copies (including tabled or instructions on microfilming. failed ordinances) when reference value ends. t Agency Policy: Destroy in office after 48. PEST CONTROL Destroy in office after 3 years.* Records concerning pest abatement or eradication programs overseen by the agency. * No destruction of records may take place if audits or litigation ore pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources hos scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 12 1 ITEM# 49. 50. 51. 52. ... •D•r NC DEPARTMENT OF aa•J NATURAL ANO CULTURAL RESOURCES ......... STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION POLICIES AND PROCEDURES a) Retain in office records with historical value permanently. Records documenting the formulation, planning, and b) Destroy in office remaining records when superseded or adoption of policies, procedures, and functions of the obsolete. 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, page 44, item 4, POLICIES AND PROCEDURES (PERSONNEL), page 61, item 31, and ELECTRONIC RECORDS POLICIES AND PROCEDURES, page 38, item 7. POLL LIST/REGISTRATION LIST/ROSTER/ Contact State Archives of North Carolina prior to destroying old Authority: AUTHORIZATION TO VOTE (ATV) poll books and voter registration books. G.S. § 163 Art. 15A Lists documenting registered electors and votes cast G.S. § 163-166.7 08 NCAC lOB .0103 prior to County Board of Elections taking over 52 USC Chap. 205 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. PRICE QUOTATIONS Destroy in office when reference value ends. t Agency Policy: Destroy in office after PROCLAMATIONS AND ORDERS a) Retain in office records with historical value permanently. Proclamations and orders issued by the governing b) Destroy in office remaining records when reference value board. ends.t Agency Policy: Destroy in office after * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 1 ••:::' NC DEPARTMENT OF .. •.; NATURAL ANO CULTURAL RESOURCES .,, .... STANDARD 1: ADMINISTRATION ANO MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 53. PROJECTS a) Retain in office records with historical value permanently. Includes project correspondence (including e-mail), b) Destroy in office remaining records 3 years after feasibility studies, final reports, specifications, completion of project. assessments, notices to proceed, cost estimates, change orders, statements of work, and similar documentation. See also PROJECT DOCUMENTATION, page 39, item 11. 54. PROPERTY MANAGEMENT RECORDS Destroy in office when superseded or obsolete. Includes appraisals of the financial valuation of agency-owned property as well as surveys, plats, and maps. 55. RATE AND FEE SCHEDULES Destroy in office when superseded or obsolete. Records relating to rates, fees, and regulations concerning agency services. 56. RECORDS MANAGEMENT a) Retain in office documentation concerning the final Includes correspondence (including e-mail) with state disposition of records permanently. and/or federal agencies with regards to records b) Destroy in office remaining records when superseded or retention. Also includes records disposition obsolete. documentation, file plans, and copies of records retention and disposition schedules. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 1 ••== NC DEPARTMENT OF :•. •.: NATURAL AND CULTURAL RESOURCES -· STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 57. REFERENCE (READING) FILE Destroy in office when reference value ends.t Subject files containing informational copies of records Agency Policy: Destroy in office after 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. 58. REPORTS AND STUDIES a) Retain in office permanently 1 copy of all annual and Records concerning the performance of a department, biennial reports written by the agency. program, or project, as well as those created for b) Retain in office permanently reports and studies prepared planning purposes. Includes all annual, sub-annual, or by request of an agency's governing body or a court. irregularly prepared research studies, reports, and studies generated by an agency or prepared by c) Destroy in office after 3 years reports prepared monthly, consultants hired by the agency. Also includes reports bimonthly, or semi-annually. required to be submitted to the agency. d) Destroy in office after 1 year activity reports concerning workload measurements, time studies, number of jobs See also CIVIL RIGHTS RECORDS, page 44, item 4, and completed, etc., prepared on a daily or other periodic COMPREHENSIVE PLAN, page 5, item 21. 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. t Agency Policy: Destroy in office after Retention Note: Reports and studies listed elsewhere in this schedule should be retained the specified period of time. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 1 --...... NC DEPARTMENT OF .. •.: NATURAL AND CULTURAL RESOURCES ··-STANDARD 1.: ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 59. REQUESTS FOR INFORMATION Destroy in office after 1 year after resolution. Requests received and responses issued by the agency. See also PUBLIC RECORDS REQUESTS, page 68, item 11. 60. REQUESTS FOR PROPOSALS (RFP) Destroy in office when reference value ends. t Proposals submitted by vendors in response to Agency Policy: Destroy in office after requests from agency. See also BIDS FOR PURCHASE, page 20, item 10, and PRICE QUOTATIONS, page 13, item 51. 61. RESOLUTIONS a) Retain in office permanently one copy of final resolution. File consists of resolutions indicating date, issues or b) Retain in office permanently resolution development policy involved, and appropriate signatures. records with historical value. c) Destroy in office additional copies of resolutions (including See the MICROFILM section on page 81 for those tabled or failed) along with all remaining instructions on microfilming. development records when reference value ends. t Agency Policy: Destroy in office after 62. SURPLUS PROPERTY Destroy in office 3 years after disposition of property.• Inventories and reports of agency property to be surplussed. 63. TRACKING MATERIALS Destroy in office when reference value ends.t Records intended to verify the receipt of information, Agency Policy: Destroy in office after such as certified mail receipts. • No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 1 ... •h• -NC DEPARTMENT OF ••~•= NATURAL AND CULTURAL RESOURCES ··-STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 64. TRAVEL REQUESTS Destroy in office after 1 year.* Requests and authorizations for travel. Includes forms and itineraries. See also TRAVEL REIMBURSEMENTS, page 28, item 45, and PRICE QUOTATIONS, page 13, item 51. 65. VEHICLE REGISTRATION CARDS Destroy in office when superseded. North Carolina registration cards for vehicles in the agency fleet. See also VEHICLE TITLES, page 48, item 22. 66. WORK ORDERS a) Destroy in office 1 year after work is completed.* Includes date and location of work, cost of materials b) If this is the only record documenting completed work, used and labor, type of work performed, and other follow disposition instructions for FACILITY related records regarding the repairs of equipment, MAINTENANCE, REPAIR, AND INSPECTION RECORDS, page facilities, and vehicles. 7, item 27, or EQUIPMENT AND VEHICLE MAINTENANCE, REPAIR, AND INSPECTION RECORDS, page 6, item 24. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi_ t See signature page. 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 1 =---·-f NC DEPARTMENT OF :a•J NATURAL AND CULTURAL RESOURCES 11 .... 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 l.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. STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1. ACCOUNTS PAYABLE Destroy in office 3 years after payment.• 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. 2. ACCOUNTS RECEIVABLE Destroy in office 3 years after collection.• 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. 3. ACCOUNTS UNCOLLECTABLE Destroy in office 3 years after account is determined to be Records of accounts deemed uncollectable, including uncollectable. • returned checks, write-off authorizations, and other related records. • No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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. 11 Please use the space provided. 18 2 ITEM# 4. s. 6. 7. 8. -· •-"' ._ NC DEPARTMENT OF .. •.1 NATURAL ANO CULTURAL RESOURCES ....... STANDARD 2: BUDGET, FISCAL, ANO PAYROLL RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION ANNUAL BUDGET a) Retain in office records with historical value permanently. Authority: Annual budget and budget message submitted to G.S. § 159-11 b) Destroy in office remaining records after 3 years. governing board for approval. Retention Note: Annuol budgets should be entered into the See also BUDGET REPORTS, page 21, item 16. minutes of the governing board. ARBITRAGE RECORDS Destroy in office 3 years after final redemption date of the Authority: Records concerning arbitrage rebate calculations and bonds and after all related debts and obligations have been 26 CFR 1.148-3 funds rebated. satisfied.* AUDITS: FINANCIAL a) Retain in office reports permanently final reports related to Authority: Records concerning internal and external internal compliance or operational audits or those that G.S. § 159-34 audits. Includes reports, working papers, and related document a significant change in agency practices or have records. significant administrative value. b) Destroy in office after 10 years final reports related to See also AUDITS: PERFORMANCE, page 2, item 8. internal accounting systems and controls and those with limited administrative value. c) Destroy in office working papers and remaining records when superseded of obsolete.* AUTHORIZATION FORMS Destroy in office after 3 years.* Authorization to purchase materials. BANK STATEMENTS AND RECONCILIATIONS Destroy in office after 3 years.* Includes bank statements, canceled checks, deposit slips, and reconciliation reports. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 2 __ :. •u•r NC DEPARTMENT OF .. •.1 Nl'.TURAL II.ND CULTURAL RESOURCES ·-· STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 9. BIDS FOR DISPOSAL OF PROPERTY Destroy in office all records after the disposition of property Authority: Records concerning the disposal of surplus property. has been recorded in governing board's minutes.• G.S. § 153A-176 Includes information about various disposition procedures used, such as sealed bids and public auction. See also ACCOUNTS RECEIVABLE, page 18, item 2. 10. BIDS FOR PURCHASE a) Transfer records to CONTRACTS, LEASES, AND Authority: Records documenting quotes to supply products and AGREEMENTS, page 45, item 7 when bid is approved. G.S. § 143 Article 8 services. Includes advertisements, tabulations, awards b) Destroy in office bid records not awarded or opened after letters, records of bids, good faith effort documentation, and related records concerning 1 year.* accepted and rejected bids. 11. BOND CLOSING RECORDS Destroy in office 3 years after entire issuance has been Authority: Includes applications, agreements, tax records, satisfied.• G.S. § 159 Article 7 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. 12. BOND REGISTER Retain in office permanently. Authority: Records of all bonds, notes, and coupons issued by the G.S. § 159-130 agency detailing the purpose of issuance, the date of issue, serial numbers {if any), denomination, maturity date, and total principal amount. 13. BONDS, NOTES, AND COUPONS Destroy in office 1 year from date of payment. Authority: G.S. § 159-139 * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LIT/GA TION, AND OTHER OFFICIAL ACTION, ~~~ . t See signature page. 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 2 •!Iii•• NC DEPARTMENT OF =···· NATURAL ANO CULTURAL RESOURCES STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 14. BUDGET ADMINISTRATION RECORDS Destroy in office after 2 years.• Records of budget administration. Includes research, correspondence, and other related records. 15. BUDGET EXECUTION RECORDS Destroy in office when released from audits. Records of authorizations to move funds between budget codes. 16. BUDGET REPORTS a) Destroy in office daily detail reports after 1 year.• Includes daily detail reports and monthly budget reports. Also includes contract budget and b) Destroy in office remaining reports after 3 years.• expenditure reports and summaries of tax allocations. See also ANNUAL BUDGET, page 19, item 4. 17. BUDGET REQUESTS AND WORKING PAPERS Destroy in office after 3 years.• Authority: Includes budget requests, cost estimates, G.S. § 159-10 expenditures, program requests, salary and wage lists, correspondence (including e-mail), and related records. 18. BUDGET RESOLUTIONS AND ORDINANCES a) Retain official copies in the minutes of the governing Authority: Includes project ordinances, budget resolutions, and board. G.S. § 159-8 G.S. § 159-13 amendments. b) Destroy in office remaining copies when reference value G.S. § 159-13.2 ends.t G.S. § 159-15 See also MINUTES OF PUBLIC BODIES, page 11, item Agency Policy: Destroy in office after 42. • No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 2 ITEM# 19. 20. { I ., -21. 22. (. n1 23. -~~ NC DEPARTMENT OF .. •.1 NATURAL AND CULTURAL RESOURCES ., ... STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION COST ALLOCATION PLANS Destroy in office after 3 years.• Accounting report that calculates and spreads agency-wide indirect costs to departments and funds that receive a service from other departments. CREDIT /DEBIT/PROCUREMENT CARD RECORDS Destroy in office when superseded or obsolete.• Confidentiality: Records of assignation of agency credit cards and G.S. § 132-1.2(2) purchasing cards along with authorization logs. DONATIONS AND SOLICITATIONS a) Destroy in office records supporting approved donations 1 Records concerning requests made to agency by year after payment. outside organizations. Includes applications and other related records. b) Destroy in office rejected applications after 30 days. See also FUND DRIVE AND EVENT RECORDS, page 67, item 6. ELECTRONIC FUNDS TRANSFERS (EFT) Destroy in office when superseded or obsolete. Confidentiality: Includes forms authorizing electronic transfer of G.S. § 14-113.20 monies via wire transfer or automated clearing house (ACH) as well as ACH bank reports. ESCHEATS AND UNCLAIMED PROPERTY a) Destroy in office after 10 years if report was filed prior to Authority: Records containing information required to be July 16, 2012. • G.S. § 1168-60 included in holder reports submitted to the State b) Destroy in office after 5 years if report was filed on or after Treasurer's office. Retention: July 16, 2012. • G.S. § 1168-73 For more information, see the State Treasurer's memo, "Annual ReQorting of Unclaimed Pro12erty." • No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LIT/GA TION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Culturol Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 22 2 ITEM# 24. 25. 26. -... , NC DEPARTMENT OF H"al NATURAL ANO CULTURAL RESOURCES ." ... STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 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.* 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. GOVERNMENT EMPLOYEES RETIREMENT SYSTEM Destroy in office when reference value ends.t MONTHLY REPORTS Reports produced by the North Carolina Department Agency Policy: Destroy in office after of State Treasurer regarding the Teachers' and State Employees' Retirement System (TSERS) and the Local Governmental Employees' Retirement System (LGERS). * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 2 ITEM# 27. 28. ••Ill"'.-NC DEPARTMENT OF .. •.: NATURAL AND CULTURAL RESOURCES ..... STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION GRANTS: FINANCIAL a) Destroy records supporting the expenditure of federal Retention: Records concerning approved federal, state, and funds passed through NC DHHS on a fiscal year basis when 09 NCAC 03M .0703 private grants received or issued by the agency. the DHHS Office of the Controller provides written 2 CFR 200.333 Includes all relevant accounting, purchasing, payroll, guidance that records are released from all audits and and other financial records. other official actions. b) Destroy in office records of state and private grants 5 years See also GRANTS, page 8, item 31. after final financial report is filed.* c) Destroy in office records of 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. INVESTMENTS a) Destroy in office transaction schedules after 2 years.* Authority: Includes fund information, portfolio listings and b) Destroy in office performance investment reports when G.S. § 159-30 reports, balance sheets, exchange or consent reference value ends. instructions, broker confirmations, notices, and other documentation related to agency investments. Also c) Destroy in office all remaining records after 3 years.* includes transaction schedules for projecting revenue on investments as well as performance investment reports issued by broker or investment firm. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. The agency hereby agrees that it will establish and enfor_ce 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 2 ,. ::=.: ~;~e::~!:~NZu~;uRAL RESOURCES .,_. STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 29. LOAN RECORDS Destroy in office 5 years after satisfaction or cancellation of Records concerning loans received by the agency. loan.* Includes documentation of intent to proceed, loan agreements, promissory notes, letters of credit, statements, notices of principal and interest due, and other related records. 30. LOCAL GOVERNMENT COMMISSION FINANCIAL Destroy in office after 3 years.* Authority: STATEMENTS G.S. § 159-33 31. LONGEVITY PAY Destroy in office after 3 years.* 32. PAYMENT CARD DATA Destroy in office after processed.* Confidentiality: Records created in association with payment card G.S. § 132-1.2(2} ' G.S. § 132-1.lO(b)(S) ' transactions entered by third parties for the purchase of goods or services from the agency. 33. PAYROLL AND EARNINGS RECORDS a) Destroy in office 30 years from date of separation records Authority: Records containing information such as the name, necessary for retirement or similar benefits verification. 29 CFR 516.30(a) .ft Social Security number, number of hours worked, b) Destroy in office remaining records after 3 years.* Confidentiality: t!J compensation rate, deductions, and total wages paid G.S. § 132-1.10 each employee per payroll period. Also includes G.S. § llSC Art. 21A individual and group employee earnings records and G.S. § 122C-158 payroll registers showing earnings and deductions for G.5. § 130A-45.9 each pay period. G.S. § 153A-98 G.S. § 160-168 See also TIME SHEETS, CARDS, AND ATTENDANCE G.S. § 161E-257.2 RECORDS, page 28, item 44. G.S. § 162A-6.1 Retention: 29 CFR 516.S(a) 29 CFR 1627.3(a) * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 2 ..... •-•c-NC DEPARTMENT OF ::::& NATURAL AND CULTURAL RESOURCES STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 34. PAYROLL DEDUCTION RECORDS a) Destroy in office tax withholding forms 4 years after Confidentiality: termination of deduction.* G.S. § 115C Art. 21A ~ Records used to start, modify, or stop all voluntary or G.S. § 122C-158 Qj required deductions from payroll. Includes tax b) Destroy in office authorizations for deductions for G.S. § 130A-45.9 withholding (NC-4, W-4), savings plans, insurance, retirement contributions, bank payments, savings plans, G.S. § 153A-98 association dues, orders of garnishment, etc. Used as insurance, and dues 2 years after termination of G.S. § 160-168 proof the employee approved of the deduction(s). deduction. G.S. § 161E-257.2 c) Destroy in office remaining records 3 years after G.S. § 162A-6.1 termination of deduction.* Retention: IRS Publication 15 29 CFR 516.6(c)(l) 35. POWELL BILL RECORDS Destroy in office after 3 years. Records include certified statements, expenditures reports, information sheets, financial statements submitted to the North Carolina Department of Transportation, and all other related records. 36. PURCHASE ORDERS Destroy in office after 3 years.* Records, forms, packing slips, and attached documents Retention Note: Packing slips may be destroyed upon concerning purchased supplies, equipment, and verification of items received if they are not the only record of services. the purchase of the item. See also GRANTS: FINANCIAL, page 24, item 27. 37. QUALIFIED PRODUCTS LISTS (QPL) Destroy in office 3 years after superseded or obsolete.* Records identifying products approved for purchase by the agency. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 2 ... :,~-:~T~~:~.:~cTu~;URAL RESOURCES .,1 ..... STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 38. REQUISITIONS Destroy in office after 1 year.• Requests for payment or to acquire goods or services. See also INVENTORIES, page 9, item 36. 39. SCHOLARSHIP RECORDS a) Destroy in office after 3 years records documenting the Records concerning scholarships awarded by the awarding of scholarships. agency. Includes applications, award letters, b) Destroy in office 1 year after notification of applicant conditions and stipulations, agreements and contracts, records concerning applications that are denied by the disbursement statements, progress reports, and other related records. agency or awards that are declined by the recipient. 40. SHIFT PREMIUM PAY Destroy in office after 3 years.• Authorizations and other related records concerning employees receiving shift premium pay. 41. STATEMENTS OF BACK PAY Destroy in office 3 years after payment.• 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. • No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 2 ITEM# 42. r'1 CJ 43. 44. 45. ••••·~ NC DEPARTMENT OF •• •.; NATURAL AND CULTURAL RESOURCES ...... STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION TAX FORMS Destroy in office 4 years after submitted to taxpayer and/or Confidentiality: Tax information returns generated by the agency (e.g., IRS.* G.S. § 132-1.10 1098, 1099, W-2, W-3) to be reported to the Internal G.S. § llSC Art. 21A Revenue Service and furnished to the other party to G.S. § 122C-158 G.S. § BOA-45.9 the transaction. G.S. § 153A-98 G.S. § 160-168 G.S. § 161E-257.2 G.S. § 162A-6.l Retention: IRS Publication 15 TAX RETURNS Destroy in office 6 years after filed.• Tax returns filed by the agency. TIME SHEETS, CARDS, AND ATTENDANCE RECORDS Destroy in office after 2 years.• Retention: Records documenting the work hours and attendance 29 CFR 516.6{a){l) of employees. See also PAYROLL AND EARNINGS RECORDS, page 25, item 33. TRAVEL REIMBURSEMENTS Destroy in office after 3 years.• Includes requests and authorizations for reimbursement for travel and related expenses. See also GRANTS: FINANCIAL, page 24, item 27, and TRAVEL REQUESTS, page 17, item 64. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 2 ..... ana, NC DEPARTMENT OF .. •.; NATURAL ANO CULTURAL RESOURCES .. --·-STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 46. VENDORS Destroy in office when superseded or obsolete. 6 Files maintained on specific vendors authorized or C: debarred from doing business with the agency. Includes name and address, correspondence (including e-mail), and other related records. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 2 ., ... aaa.•I" NC DEPARTMENT OF aa•.1 NA.TURAL AND CULTURAL RESOURCES ., ..... 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. STANDARD 3: GEOGRAPHIC INFORMATION SYSTEM (GIS} RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1. GEOGRAPHIC INFORMATION SYSTEM (GIS) CORE Retain in office parcel, boundary, zoning, and orthoimagery DATA layers (with accompanying data sets) permanently. Geo-referenced data and metadata to facilitate the Retention Note: Other datasets should be kept according to management, manipulation, analysis, modeling, standards and procedures set by the North Carolina Geographic representation, and spatial analysis of complex Information Coordinating Council (http://www.ncgicc.com/). problems regarding planning and management of See also GEOSPATIAL RECORDS, page 79. resources. 2. GEOGRAPHIC INFORMATION SYSTEM (GIS) DATA Destroy in office when the system is discontinued or when DOCUMENTATION (METADATA) system data has been transferred to a new operating Records created during development or modification environment (platform). 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. 3. GEOGRAPHIC INFORMATION SYSTEM (GIS) INTERNAL Retain in office permanently. 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. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LIT/GA TION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 3 •r•• anet NC DEPARTMENT OF .. •.: NATURAL AND CULTURAL RESOURCES -~---STANDARD 3: GEOGRAPHIC INFORMATION SYSTEM (GIS} RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 4. GEOGRAPHIC INFORMATION SYSTEM (GIS) Destroy in office after 1 year. MONITORING RECORDS Includes system security, quality assurance, transaction tracking, and other related activity monitoring records. s. GEOGRAPHIC INFORMATION SYSTEM (GIS) Destroy in office when the system is discontinued or when OPERATIONAL RECORDS system data has been transferred to a new operating Includes user guides, system flowcharts, job or environment (platform). workflow records, system specifications, and similar documentation. 6. GEOGRAPHIC INFORMATION SYSTEM (GIS) PROJECT a) Retain in office GIS datasets and accompanying RECORDS documentation (metadata) with historical and/or legal value permanently. b) Destroy in office remaining items when reference value ends.t Agency Policy: Destroy in office after * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 3 •-•' NC DEPARTMENT OF n•.; NATURAL AND CULTURAL RESOURCES ··-· STANDARD 3: GEOGRAPHIC INFORMATION SYSTEM (GIS) RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 7. LAYERS: ADDRESS POINTS Paper: Retain in office permanently. GIS dataset: Create a snapshot of dataset annually. To See also GEOSPATIAL RECORDS, page 79. 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. 8. LAYERS: CORPORATE LIMITS Paper: Retain in office permanently. See also GEOSPATIAL RECORDS, page 79. 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. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, l.lTIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 3 ··-· •-•r NC DEPARTMENT OF .. •.: NATURAL AND CULTURAL RESOURCES ... ,..._.-STANDARD 3: GEOGRAPHIC INFORMATION SYSTEM {GIS} RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 9. LAYERS: EXTRATERRITORIAL JURISDICTIONS Paper: Retain in office permanently. See also GEOSPATIAL RECORDS, page 79. 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. 10. LAYERS: ORTHOIMAGERY Create a snapshot of dataset when created. To maintain permanently, See also GEOSPATIAL RECORDS, page 79. 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. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 3 ITEM# 11. 12. ...... •••r NC DEPARTMENT OF .. •.; NATURAL AND CULTURAL RESOURCES ... _. STANDARD 3: GEOGRAPHIC INFORMATION SYSTEM (GIS) RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION LAYERS: STREET CENTERLINE Paper: Retain in office permanently. GIS dataset: Create a snapshot of dataset annually. To See also GEOSPATIAL RECORDS, page 79. 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 Geograi:1hic Information Coordinating Council. MAPPING PROJECT RECORDS Paper: Retain in office permanently. Includes contract maps and all deliverable products for GIS dataset: Create a snapshot of dataset annually. To aerial photography, orthophotography, cartographic, maintain permanently, cadastral, and digital mapping projects. Either: Transfer snapshot to NCOneMap according to established procedures, complying with standards and See also GEOSPATIAL RECORDS, page 79. 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 Geograi:1hic Information Coordinating Council. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LIT/GA TION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 3 --• •••t: NC DEPARTMENT OF =~==i NATURAL ANO CULTURAL RESOURCES STANDARD 3: GEOGRAPHIC INFORMATION SYSTEM (GIS} RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 13. MAPS: PARCEL Paper: Destroy in office upon State Archives approval. Maps, including cadastral maps, and surveys of GIS dataset: Create a snapshot of dataset quarterly. To boundaries and measurements of each parcel, and maintain permanently, information about encroachments, right-of-ways, and structures. Either: Transfer snapshot to NCOneMap according to established procedures, complying with standards and See also GEOSPATIAL RECORDS, page 79, and procedures adopted by the North Carolina Geographic Information Coordinating Council. PROPERTY MANAGEMENT RECORDS, page 14, item 54. 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. 14. MAPS: PARKS Paper: Retain in office permanently. Includes park boundaries, facilities, landscaping, GIS dataset: Create a snapshot of dataset annually. To maintain topography, and other pertinent information. Also permanently, includes maps and drawings stored and generated by Geographic Information System (GIS) and computer-Either: Transfer snapshot to NCOneMap according to aided design (CAD) systems. established procedures, complying with standards and procedures adopted by the North Carolina Geographic Information Coordinating Council. See also GEOSPATIAL RECORDS, page 79. 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. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 3 ::=:: ~~;~r::~!:~;U~;URAL RESOURCES ·,n-· STANDARD 3: GEOGRAPHIC INFORMATION SYSTEM {GIS) RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 15. MAPS: ALL OTHER a) Retain in office maps, including GIS datasets and Includes field maps, soil, topographic, sales, accompanying documentation (metadata), with historical subdivision plats, right-of-way, sectional, highway, etc. and/or legal value permanently. b) Destroy in office remaining items when reference value ends.t Agency Policy: Destroy in office after • No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 3 ••• •H•c NC DEPARTMENT OF .. •.: NATURAL AND CULTURAL RESOURCES ...... STANDARD 4: 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)) STANDARD 4: INFORMATION TECHNOLOGY RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1. AUDITS: IT SYSTEMS a) Destroy in office after 1 year fixity check documentation. Confidentiality: Records documenting user actions affecting the G.S. § 132-6.l{c) f1 b) Destroy in office remaining records after disposition of -n contents of monitored systems. Also includes fixity record.* -checks and other periodic tests of data validity. 2. COMPUTER AND NETWORK USAGE RECORDS Destroy in office after 1 year. 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. 3. DATA DOCUMENTATION RECORDS Destroy in office 3 years after system is discontinued and/or Records concerning data in automated systems. replaced. 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. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 4 ··-· Han NC DEPARTMENT OF .. •.; NATURAL AND CULTURAL RESOURCES ·-· STANDARD 4: INFORMATION TECHNOLOGY RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 4. DATA MIGRATION RECORDS Destroy in office 1 year after completion of data migration. 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. s. DATA WAREHOUSES Destroy in office when superseded or obsolete. Maintain confidentiality Federated data gathered by the agency from other consistent with any sources for the purposes of comparison and restrictions placed on distribution. the data provider. 6. DIGITIZATION AND SCANNING RECORDS Destroy in office 10 days after digitization. Records concerning data entry and imaging Note: The digital surrogate becomes the record copy and must operations. Includes quality control records. be retained according to the disposition instructions for that record type. See Request for Disposal of Original Records Duplicated by Electronic Means, page 87. 7. ELECTRONIC RECORDS POLICIES AND PROCEDURES Destroy in office 3 years after superseded or obsolete. Confidentiality: a Includes procedural manuals as well as an Electronic G.S. § 132-1.7(b) ~I Records and Imaging Policy and a Security Backup G.S. § 132-6.l{c) Policy. 8. INFORMATION TECHNOLOGY ASSISTANCE RECORDS Destroy in office 1 year after work is completed. 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. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 4 ··-· ••••r· NC DEPARTMENT OF .. ~.; NATURAL AND CULTURAL RESOURCES ·-· STANDARD 4: INFORMATION TECHNOLOGY RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 9. NETWORK AND SYSTEM SECURITY RECORDS a) Destroy in office finalized cyber incident reports 5 years Confidentiality: ~. Records documenting the security of network and after resolution. G.S. § 132-6.l(c) ~ system. Includes records concerning firewalls, anti-b) Destroy in office after 2 years records documenting virus programs, and intruder scanning logs. 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. 10. NETWORK DIAGRAMS Destroy in office when superseded or obsolete. Confidentiality: f) Records documenting the logical and physical G.S. § 132-6.l(c) t!J relationships of network components for purposes of organization, deployment, troubleshooting, monitoring of access, and management of day-to-day operations. 11. PROJECT DOCUMENTATION a) Retain in office permanently records with historical value. Records created to design, develop, control, or b) Destroy in office remaining records 3 years after monitor a specific project or group of IT projects. completion of project. Includes statements of work, assessments, maintenance agreements, and testing records. See also PROJECTS, page 14, item 53. • No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 4 ..... ••••i: NC DEPARTMENT OF .. •.: NATURAL AND CULTURAL RESOURCES ·-· STANDARD 4: INFORMATION TECHNOLOGY RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 12. SOFTWARE LICENSE AND COPYRIGHT PROVISIONS Destroy in office 1 year after software is superseded or RECORDS obsolete. Records documenting compliance with agency software license and copyright provisions. Includes software licenses, correspondence {including e-mail), and related documentation. 13. SYSTEM ACCESS RECORDS Destroy in office 1 year after superseded or obsolete. Records documenting access requests and authorizations, system access logs, and other related records. 14. SYSTEM DOCUMENTATION RECORDS Destroy in office 3 years after superseded or obsolete. Confidentiality: Records documenting operating systems, application G.S. § 132-1.l{g) ~ programs, structure and form of datasets, system G.S. § 132-6.l(c) t!J 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. 15. SYSTEM MAINTENANCE RECORDS: HARDWARE a) Destroy in office records documenting routine inspections REPAIR OR SERVICE and maintenance of equipment after 1 year. Records documenting inspections, maintenance, and b) Destroy records documenting all other equipment repairs of agency computer systems that are owned or maintenance and repairs upon the final disposition of the leased. Includes computer equipment inventories and equipment. service records. See also EQUIPMENT AND VEHICLE MAINTENANCE, REPAIR, AND INSPECTION RECORDS, page 6, item 24. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 4 ITEM# 16. 17. 18. ...... •U•• NC DEPARTMENT OF .. •.; NATURAL AND CULTURAL RESOURCES ., ..... STANDARD 4: INFORMATION TECHNOLOGY RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION SYSTEM MAINTENANCE RECORDS: RECORDS Destroy in office in accordance with your office's established, BACKUPS regular backup plan and procedures. t Records documenting regular or essential system Agency Policy: Destroy in office after backups. Includes backup tape inventories, relevant correspondence (including e-mail), and related documentation. See Also: Securit't. BackuQ. Files as Public Records in North Carolina: Guidelines [or the Rec'{_c/ing_, Destruction, Erasure, and Re-use o[Securit't. BackuQ. Files, available on the State Archives of North Carolina website. TECHNICAL PROGRAM DOCUMENTATION Destroy in office 1 year after superseded or obsolete. Records concerning program code, program flowcharts, program maintenance logs, syste_ms change notices, and other related records that document modifications to computer programs. VOICE OVER INTERNET PROTOCOL (VoIP) RECORDS a) Destroy in office records concerning line registration when Records concerning line registrations, calls logs, and superseded or obsolete. voicemail records. b) Destroy in office call logs after 1 year. c) Destroy in office voicemail records after 30 days. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 4 a& NC DEPARTMENT OF .. •.: NATURAL AND CULTURAL RESOURCES ., ..... STANDARD 4: INFORMATION TECHNOLOGY RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 19. WEB MANAGEMENT AND OPERATIONS RECORDS: Destroy in office when superseded or obsolete. 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), page 69, item 15. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 4 ··-· ::=:: ~~T~r::LR!:~~TU~;URAL RESOURCES ...... STANDARD 5: 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.l(a) confers to communications by legal counsel expires three years after receipt of such communication. STANDARD 5: LEGAL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1. AFFIDAVITS OF PUBLICATION a) Retain in office permanently if record provides sole Authority: Proof of publication provided by newspapers evidence of publication. G.S. § 1-600 regarding publication of ordinances, public hearings, b) Destroy in office remaining records after 3 years.* bid solicitations, payment of bills, public sales, etc. See also NOTICES OF PUBLIC MEETINGS, page 12, item 45. 2. AUTHENTICATIONS Retain in office permanently. Certificates of authentication issued by the agency. 3. CIVIL RIGHTS CASE RECORDS Destroy in office 1 year after final disposition of the charge or Retention: Records concerning discrimination complaints by the action.* 29 CFR 1602.14 29 CFR 1602.31 employees or former employees and requests for Retention Note: 29 CFR 1602.14 defines final disposition of the reasonable accommodation. Includes equal charge or the action as "the date of expiration of the statutory opportunity (EO) complaints. period within which the aggrieved person may bring an action in a U.S. District Court or, where an action is brought against an See also PERSONNEL RECORDS (OFFICIAL COPY}, page employer either by the aggrieved person, the Commission, or by 60, item 29. the Attorney General, the date on which such litigation is terminated." * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 5 •• ;:io NC DEPARTMENT OF •• •= NATURAL ANO CULTURAL RESOURCES ··-· STANDARD 5: LEGAL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 4. CIVIL RIGHTS RECORDS Destroy in office 3 years after superseded or obsolete. Authority: Records concerning documentation of personnel 29 CFR 1602.1 policies and procedures to comply with the Age 29 CFR 1602.7 Discrimination in Employment Act (ADEA), the 29 CFR 1608.4 Americans with Disabilities Act (ADA), the Equal Pay Act, the Genetic Information Nondiscrimination Act Retention: (GINA), Section 504 of the 1973 Rehabilitation Act, and 29 CFR 1602.30 the 1964 Civil Rights Act. Includes reports required by 29 CFR 1602.32 the Equal Employment Opportunity (EEO) Commission and affirmative action planss. See also CITIZEN COMMENTS, COMPLAINTS, PETITIONS, AND SERVICE REQUESTS, page 4, item 17, CIVIL RIGHTS CASE RECORDS, page 43, item 3, and POLICIES AND PROCEDURES (PERSONNEL),·page 61, item 31. 5. CONDEMNATION RECORDS Retain in office permanently. Settled and pending condemnation cases. See also ACCOUNTS PAYABLE, page 18, item 1 for disposition of financial records. 6. CONFLICT OF INTEREST AND CONFLICT OF COMMITMENT DISCLOSURE STATEMENTS Destroy in office 1 year after completion of term or separation. Completed by the elected agency officials as well as designated staff members in order to disclose an official's status or ownership interests. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 5 ITEM# RECORDS SERIES TITLE 7. 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, page 40, item 12. 8. DECLARATORY RULINGS Records concerning declaratory rulings issued by the agency to interpret statutes or rules as applied to a specified set of facts. 9. DELEGATION OF AUTHORITY RECORDS Records documenting delegations of power to authorize agency business. Includes signature authorities and powers of attorney. 10. EASEMENTS AND RIGHT-OF-WAY AGREEMENTS Granted to the agency. See also ACCOUNTS PAYABLE, page 18, item 1 for disposition of financial records. ... •••u NC DEPARTMENT OF ••~•= NATURAL ANO CULTURAL RESOURCES ••••• STANDARD 5: LEGAL RECORDS DISPOSITION INSTRUCTIONS CITATION a) Retain in office contracts and agreements with historical Retention: value permanently. G.S. § 1-47(2) G.S. § 1-50(a)(5) b) Destroy in office sealed contract records 10 years after 45 CFR 164.316 expiration of contract.* G.S. § 1-52 c) Destroy in office 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.* Retain in office permanently. Destroy in office 1 year after superseded or obsolete. Destroy in office 10 years after expiration of agreement. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 5 ITEM# RECORDS SERIES TITLE 11. ENCROACHMENTS Records concerning agreements granted by or to the agency. Also includes maps or drawings detailing construction plans attached to agreements. 12. LAND OWNERSHIP RECORDS Includes deeds and titles. 13. LEGAL CORRESPONDENCE f) Correspondence (including e-mail) and related records t"t-1 concerning legal matters not related to specific legal cases or official opinions. 14. LEGAL OPINIONS Formal legal opinions written by counsel in response to requests concerning the governance and administration of the agency. 15. LEGAL REVIEW RECORDS Includes legal reviews of by-laws and charges to 6 boards and commissions, conflicts of interest, and all ~ other agency matters as requested. See also LEGAL OPINIONS, page 46, item 14. ... •-•c NC DEPARTMENT OF .. ~.; NATURAL AND CULTURAL RESOURCES ..... STANDARD 5: LEGAL RECORDS DISPOSITION INSTRUCTIONS CITATION 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 citizens to encroach upon agency property. Destroy in office 1 year after agency relinquishes ownership of land.* Destroy in office after S years. Confidentiality: For information on handling e-mail, see ELECTRONIC RECORDS, G.S. § 132-1.l(a) page 77. Retain in office permanently. a) Retain in office records with historical value permanently. Confidentiality: b) Destroy in office remaining records after expiration of G.S. § 132-1.l(a) relevant statute of limitations. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 5 -· •H• NC DEPARTMENT OF ••••; NATURAL AND CULTURAL RESOURCES •,·-· STANDARD 5: LEGAL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 16. LITIGATION CASE RECORDS a) Retain in office cases having precedential or historical Confidentiality: Civil suits to which the agency is a party. Includes value permanently. G.S. § 132-1.l(a) A affidavits, agreements, appeals, bills, briefs, citations, G.S. § 132-1.9 b) Destroy in office adjudicated cases 6 years after final Q: commitments, complaints, discharges, motions, disposition. notices, pleas, releases, statements, testimony, verdicts, waivers, warrants, and writs. c) Destroy in office non-adjudicated cases (out-of-court claims) 6 years after final disposition or expiration of relevant statute of limitations. 17. OATHS OF OFFICE Transfer official copy of oath of office to the Clerk to the Board. Authority: G.S. § 153A-26 Retention Note: The Clerk to the Board should present a copy of See also GOVERNING AND ADVISORY BODY MEMBER the oaths of elected officials to the Clerk of Superior Court for Retention: FILES, page 7, item 29. recording. The Clerk to the Board maintains the original oaths. G.S. § 7A-103(2) 18. PERMISSIONS a) Retain in office permanently records conferring perpetual Records conferring legal permission. Includes legal permission as well as records documenting copyright permission requests and requests for copyrights, patents, and trademarks held by the agency. permission to publish intellectual property or holdings b) Destroy in office 3 years after expiration records of the agency. Also includes copyrights, patents, and concerning one-time copyright permissions granted by trademarks held by the agency. the agency. 19. PRE-TRIAL RELEASE PROGRAM RECORDS Destroy in office 3 years after trial. Records documenting supervision for defendants who do not pose a risk to the community as they await trial. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods far the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 47 5 -· ::=:= :;~e;:~:~Nd"u~;URAL RESOURCES ., , ... STANDARD 5: LEGAL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 20. REASONABLE ACCOMMODATIONS Destroy in office after 2 years.* Authority: Records concerning agency efforts to provide 42 USC 12132 reasonable accommodations 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. Includes constituent requests, survey of agency buildings to determine accessibility to the physically handicapped, proposals for implementation, and resolutions. . See also CITIZEN COMMENTS, COMPLAINTS, PETITIONS, AND SERVICE REQUESTS, page 4, item 17, and CIVIL RIGHTS CASE RECORDS, page 43, item 3. 21. RELEASE FORMS Destroy in office S years after termination of release/waiver. 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. 22. VEHICLE TITLES Dispose of in accordance with Division of Motor Vehicles Authority: Titles of agency owned vehicles. procedures for title transfer upon disposition of vehicle. G.S. § 20-72 * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 5 STANDARD 6: PERSONNEL RECORDS ~·· ana NC DEPARTMENT OF .. •.; NATURAL AND CULTURAL RESOURCES ••••• 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 (LEAs), 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.l (water and sewer authorities) regarding confidentiality of personnel records. STANDARD 6: PERSONNEL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1. ABOLISHED POSITIONS Destroy in office after 1 year. 2. ADMINISTRATIVE INVESTIGATIONS a) Destroy in office after 3 years records concerning Confidentiality: ~ Records concerning the investigation of conduct complaints against agency personnel that are resolved G.S. § 115C Art. 21A problems among agency personnel. without an internal investigation. G.S. § 122C-158 '.!] G.S. § 130A-45.9 See also DISCIPLINARY ACTIONS, page 53, item 12. b) Destroy in office after 5 years records concerning G.S. § 153A-98 complaints lodged against agency personnel that are G.S. § 160-168 exonerated. Destroy in office 5 years after final disposition G.S. § 161E-257.2 or expiration of relevant statute of limitations complaints G.S. § 162A-6.l lodged against agency personnel that are settled out-of-court. c) Transfer investigation reports, disciplinary actions, and other related internal affairs case records to PERSONNEL RECORDS (OFFICIAL COPY), page 60, item 29. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 6 -•-•'" NC DEPARTMENT OF H•a: NATURAL AND CULTURAL RESOURCES ., ... STANDARD 6: PERSONNEL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 3. APPLICATIONS FOR EMPLOYMENT a) Transfer applications, resumes, transcripts, and similar Confidentiality: { ,l Records submitted by job applicants for vacant records as applicable to PERSONNEL RECORDS (OFFICIAL G.S. § llSC Art. 21A t!J positions or by current employees for promotion, COPY), page 60, item 29. G.S. § 122C-158 G.S. § 130A-45.9 transfer, or training opportunities. Includes b) Destroy in office after 2 years unsolicited application G.S. § 153A-98 applications, transcripts, resumes, letters of reference, materials from individuals hired. G.S. § 160-168 and other related records. c) Destroy in office records concerning individuals not hired 2 G.S. § 161E-257.2 years after date of receipt, if no charge of discrimination G.S. § 162A-6.1 has been filed. If charge has been filed, destroy in office 1 year after resolution of charge.* Retention: 29 CFR 1602.31 d) Destroy in office 2 years after receipt unsolicited applications/resumes and those received after posted closing dates. 4. APPRENTICESHIP PROGRAM RECORDS Destroy in office 5 years after the making of the record or the Authority: Records concerning registered apprenticeship personnel action involved, whichever occurs later. 29 CFR 30.4(a) programs. Includes applications and selection 29 CFR 1602.20 materials as well as aggregated data. Also includes Retention: apprenticeship affirmative action plans. 29 CFR 30.12(d) 29 CFR 1602.21 * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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. so 6 ITEM# RECORDS SERIES TITLE 5. APTITUDE AND SKILLS TESTING RECORDS f". Records concerning aptitude and skills tests required t!J of job applicants or of current employees to qualify for promotion or transfer. Includes civil service examinations. See also EMPLOYMENT SELECTION RECORDS, page 55, item 17. 6. ASBESTOS TRAINING Records concerning training programs about the proper management of asbestos. See also BLOODBORNE PATHOGEN TRAINING, page 52, item 8, and HAZARDOUS MATERIALS TRAINING RECORDS, page 57, item 21. 7. 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). -_ _:. •H• -NC DEPARTMENT OF ••·•= NATURAL ANO CULTURAL RESOURCES ...... STANDARD 6: PERSONNEL RECORDS DISPOSITION INSTRUCTIONS CITATION 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. § 160-168 G.S. § 161E-257.2 G.S. § 162A-6.1 Retention: 29 CFR 1602.31 29 CFR 1627.3(b)(l)(iv) a) Destroy in office employee-specific records 1 year after Retention: separation. 29 CFR b) Destroy in office remaining records when superseded or 1910.1001(m)(4) obsolete. a) Destroy in office approved claims forms after 2 years.* Retention: 29 CFR 1627.3(b)(2) b) Destroy in office rejected requests 6 months after decision. c) Destroy in office notifications to employees or dependents informing them of their rights to continue insurance coverage after termination or during disability or family leave 3 years after employee returns or eligibility expires. d) Destroy in office remaining records 1 year after plan is terminated. • No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 6 ITEM# RECORDS SERIES TITLE 8. 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, page 51, item 6, and HAZARDOUS MATERIALS TRAINING RECORDS, page 57, item 21. 9. CERTIFICATION AND QUALIFICATION RECORDS ~ Records concerning certification or qualification as CJ required for employment, continued employment, or promotion. See also APPLICATIONS FOR EMPLOYMENT, page 50, item 3. 10. DIRECTORIES, ROSTERS, OR INDICES Includes records listing employees, their job titles, work locations, phone numbers, e-mail addresses, and similar information. STANDARD 6: PERSONNEL RECORDS DISPOSITION INSTRUCTIONS Destroy in office after 3 years. a) Destroy in office certificates 5 years after date of separation. .... •••" · NC DEPARTMENT OF .. •.; NATURAL AND CULTURAL RESOURCES .11'1 ... CITATION Retention: 29 CFR 1910.1030(h)(2)(ii) Confidentiality: G.S. § 115C Art. 21A G.S. § 122C-158 b) Destroy in office instructional materials, assessments, and G.S. § 130A-45.9 other related records when superseded or obsolete. G.S. § 153A-98 G.S. § 160-168 G.S. § 161E-257.2 G.S. § 162A-6.1 Retention: 29 CFR 1602.31 Destroy in office when superseded or obsolete. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 6 ... ••••1 NC DEPARTMENT OF :•••; NATURAL ANO CULTURAL RESOURCES STANDARD 6: PERSONNEL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 11. DISABILITY SALARY CONTINUATION CLAIMS a) Transfer original forms to Local Government Employees' Forms used by disabled employees to apply for salary Retirement System (LGERS) or Teachers' and State continuation benefits. Also include short-term Employees' Retirement System (TSERS) for action when disability claims forms and other related records. received. b) Destroy in office remaining records after 3 years. 12. DISCIPLINARY ACTIONS a) Transfer records as applicable to PERSONNEL RECORDS Authority: Correspondence (including e-mail) and other records (OFFICIAL COPY), page 60, item 29. G.S. § llSC Art. 21A G.S. § 122C-158 concerning disciplinary actions taken against b) Destroy in office all remaining records 2 years after G.S. § 130A-45.9 employees by personnel or supervisory staff, including resolution of all actions. G.S. § 153A-98 records documenting terminations. Includes records G.S. § 160-168 created by civil service boards when considering, or G.S. § 161E-257.2 reconsidering on appeal, an adverse action against an G.S. § 162A-6.l employee. Retention: 29 CFR 1602.31 Subject to the public information provision delineated in the above authorities. 13. DUAL EMPLOYMENT a) Destroy in office approved requests and related records 1 Records concerning employees' requests and year after employee terminates additional employment. authorizations to accept employment with another b) Destroy in office denied requests and related records after local government agency. 6 months. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 6 ITEM# RECORDS SERIES TITLE 14. EDUCATIONAL LEAVE AND REIMBURSEMENT ~ Includes records requesting educational leave and ' tuition assistance, reimbursements, and other related records. See also LEAVE RECORDS, page 57, item 24. 15. ELIGIBILITY RECORDS ~ Includes the 1-9 forms, employment authorization t!J documents filed with the U.S. Department of Labor, petitions filed by the agency, E-Verify documentation, and Selective Service Registration compliance forms. 16. EMPLOYEE ASSISTANCE PROGRAMS ft Records documenting assistance and counseling ' opportunities. Includes requests for information, referrals, forms, releases, correspondence, and other related records. ••• Hl"i NC DEPARTMENT OF H. H NATURAL AND CULTURAL RESOURCES ., .... STANDARD 6: PERSONNEL RECORDS DISPOSITION INSTRUCTIONS CITATION a) Transfer records documenting approved leave requests to Confidentiality: PERSONNEL RECORDS {OFFICIAL COPY), page 60, item 29. G.S. § USC Art. 21A G.S. § 122C-158 b) Destroy in office records concerning denied requests 6 G.S. § 130A-45.9 months after denial.* Destroy in office records concerning G.S. § 153A-98 approved tuition reimbursements 3 years after G.S. § 160-168 reimbursement.* G.S. § 161E-257.2 G.S. § 162A-6.1 a) 1-9 forms have mandatory retention throughout the Confidentiality: duration of an individual's employment. After separation, G.S. § USC Art. 21A destroy records in office 3 years from date of hire or 1 year G.S. § 122C-158 from separation, whichever occurs later. G.S. § 130A-45.9 G.S. § 153A-98 b) Destroy in office after 5 years employment authorization G.S. § 160-168 documents filed with the U.S. Department of Labor. G.S. § 161E-257.2 c) Destroy in office immigrant or nonimmigrant petitions filed G.S. § 162A-6.l by the agency 3 years after employee separation. Retention: d) Destroy in office remaining records 1 year after employee 8 USC 1324a{b)(3) separation. Destroy in office after 3 years. Confidentiality: G.S. § use Art. 21A G.S. § 122C-158 G.S. § 130A-45.9 G.S. § 153A-98 G.S. § 160-168 G.S. § 161E-257.2 G.S. § 162A-6.1 * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 6 ITEM# RECORDS SERIES TITLE 17. EMPLOYMENT SELECTION RECORDS Records concerning the selection of applicants for f. 1' ts 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, page 50, item 3, and APTITUDE AND SKILLS TESTING RECORDS, page 51, item 5. 18. EXIT INTERVIEW RECORDS ft Includes feedback from employees planning to (!] separate from the agency. STANDARD 6: PERSONNEL RECORDS DISPOSITION INSTRUCTIONS •-:• a NC DEPARTMENT OF H .: NATURAL AND CULTURAL RESOURCES •. -1 ... CITATION a) Destroy in office background and criminal history checks Confidentiality: after 5 years. G.S. § llSC Art. 21A G.S. § 122C-158 b) Destroy in office remaining records 2 years after hiring G.S. § 130A-45.9 decision.* G.S. § 153A-98 G.S. § 160-168 G.S. § 161E-257.2 G.S. § 162A-6.l Retention: 29 CFR 1602.31 29 CFR 1627.3(b)(l) Destroy in office after 1 year. Confidentiality: G.S. § llSC Art. 21A G.S. § 122C-158 G.S. § 130A-45.9 G.S. § 153A-98 G.S. § 160-168 G.S. § 161E-257.2 G.S. § 162A-6.l • No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 6 ..... ••••e NC DEPARTMENT OF .. •.; NATURAL ANO CULTURAL RESOURCES ·-· STANDARD 6: PERSONNEL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 19. FAMILY MEDICAL LEAVE ACT (FMLA) RECORDS Destroy in office 3 years after leave ends.* Authority: f'1 Records concerning leave taken, premium payments, 29 CFR 825.110 ~ employer notice, medical examinations considered in connection with personnel action, disputes with Confidentiality: employees over FMLA, and other related records. G.S. § USC Art. 21A G.S. § 122C-158 G.S. § 130A-45.9 See also LEAVE RECORDS, page 57, item 24. G.S. § 153A-98 G.S. § 160-168 G.S. § 161E-257.2 G.S. § 162A-6.1 Retention: 29 CFR 825.SOO(b) 20. GRIEVANCES Destroy in office after 2 years.* Confidentiality: t'1 Includes initial complaint by employee, investigation, G.S. § USC Art. 21A C!.J action, summary, and disposition. G.S. § 122C-158 G.S. § 130A-45.9 G.S. § 153A-98 See also DISCIPLINARY ACTIONS, page 53, item 12, G.S. § 160-168 and PERSONNEL RECORDS (OFFICIAL COPY), page 60, G.S. § 161E-257.2 item 29. G.S. § 162A-6.l * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 6 ITEM# RECORDS SERIES TITLE 21. 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. See also ASBESTOS TRAINING, page 51, item 6, and BLOODBORNE PATHOGEN TRAINING, page 52, item 8. 22. INTERNSHIP PROGRAM Records concerning interns and students who work for the agency. 23. LAW ENFORCEMENT TRAINING Records concerning internal training for law enforcement personnel. 24. LEAVE RECORDS ~ Records concerning employee leave, including !..J 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, page 54, item 14, FAMILY MEDICAL LEAVE ACT (FMLA) RECORDS, page 56, item 19, and MILITARY LEAVE, page 58, item 26. STANDARD 6: PERSONNEL RECORDS DISPOSITION INSTRUCTIONS Destroy in office after 5 years. Destroy in office after 2 years. Retain in office permanently. a) Destroy in office denied requests after 6 months. •ra• ••••r NC DEPARTMENT OF H~•= NATURAL AND CULTURAL RESOURCES ...... CITATION Authority: 29 CFR 1910.120(p)(8)(iii) lOA NCAC 15 Confidentiality: G.S. § 115C Art. 21A b) Destroy in office approved requests 3 years after return of G.S. § 122(-158 employee or termination of employment.* G.S. § 130A-45.9 G.S. § 153A-98 G.S. § 160-168 G.S. § 161E-257.2 G.S. § 162A·6.1 * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 6 _ .. ••••• NC DEPARTMENT OF aa•a; NATURAL AND CULTURAL RESOURCES ·-· STANDARD 6: PERSONNEL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 25. MEDICAL RECORDS a) Destroy in office exposure records 30 years after date of Authority: Records concerning asbestos, toxic substances, and exposure.* 29 CFR 1910.1020(e) a bloodborne pathogen exposure; medical examin;:itions b) Destroy in office records pertaining to first-aid job-related [!] required by state or federal law; and records of injury illness and injury after 5 years. Confidentiality: or illness. (Does not include worker's compensation or 29 CFR 1630.14(c)(l) health insurance claim records.) c) Provide medical records to employees who have worked 29 CFR for less than 1 year at time of separation. 1910.1030(h)(l)(iii) d) Destroy in office after 1 year records concerning physical Retention: examinations or health certificates. 29 CFR 1627.3(b)(l)(v) e) Destroy in office remaining records 30 years after 29 CFR 1910.1020(d) employee separation. 42 USC 12112(d)(3) 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, page 65, item 50. 26. MILITARY LEAVE Destroy in office 3 years after leave ends or employee Authority: Records concerning military leave, as established by separates from agency.* 5 CFR 1208 the Uniformed Services Employment and Reemployment Rights Act (USERRA). See also LEAVE RECORDS, page 57, item 24. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 6 ITEM# RECORDS SERIES TITLE 27. PERFORMANCE REVIEWS f"1 Information used to establish employees' goals and t!J primary tasks. Records used to evaluate each employee's work performance. See also PERSONNEL RECORDS {OFFICIAL COPY), page 60, item 29. 28. 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. STANDARD 6: PERSONNEL RECORDS DISPOSITION INSTRUCTIONS Destroy in office after 3 years. ... ••••r: NC DEPARTMENT OF .. •.1 NATURAL AND CULTURAL RESOURCES ..... CITATION Confidentiality (applies only to performance evaluations): G.S. § llSC Art. 21A G.S. § 122C-158 G.S. § 130A-45.9 G.S. § 153A-98 G.S. § 160-168 G.S. § 161E-257.2 G.S. § 162A-6.1 Transfer records to PERSONNEL RECORDS (OFFICIAL COPY), Subject to the public page 60, item 29. information provision delineated in relevant General Statutes. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 6 ITEM# RECORDS SERIES TITLE 29. PERSONNEL RECORDS (OFFICIAL COPY) Official copy of personnel file maintained on each ~ permanent and temporary agency employee. Includes C!J 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, page 58, item 25. 30. PERSONNEL RECORDS (SUPERVISOR COPY) ft Personnel jacket that is often maintained by L!J supervisors. -· •n•• NC DEPARTMENT OF u•J NATURAL AND CULTURAL RESOURCES ..... STANDARD 6: PERSONNEL RECORDS DISPOSITION INSTRUCTIONS I CITATION a) Destroy in office after 30 years from date of separation Authority/ information needed to document: date and amount of Confidentiality: each increase or decrease in salary with that agency; date G.S. § 115C Art. 21A and type of each promotion, demotion, transfer, G.S. § 122C-158 suspension, separation, or other change in position G.S. § 130A-45.9 classification with that agency; date and general G.S. § 153A-98 description of the reasons for each promotion with that G.S. § 160-168 agency; date and type of each dismissal, suspension, or G.S. § 161E-257.2 demotion for disciplinary reasons taken by the agency; G.S. § 162A-6.1 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 the Records Retention and Disposition Schedule. a) Transfer records as applicable to PERSONNEL RECORDS Confidentiality: (OFFICIAL COPY), page 60, item 29. G.S. § 115C Art. 21A b) Destroy in office remaining records when reference value G.S. § 122C-158 G.S. § 130A-45.9 ends.t G.S. § 153A-98 I Agency Policy: Destroy in office after I G.S. § 160-168 I G.S. § 161E-257.2 G.S. § 162A-6.1 * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 6 .. I •• ••ear NC DEPARTMENT OF ===== NATURAL AND CULTURAL RESOURCES STANDARD 6: PERSONNEL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 31. POLICIES AND PROCEDURES (PERSONNEL) a) Retain in office internal agency personnel policies and procedures permanently. b) Destroy in office remaining records when superseded or obsolete. 32. POLYGRAPH RECORDS Destroy in office 3 years from the date the test was given, or Confidentiality: IF» Includes statements informing employee of the time, from the date the test was requested if no examination was G.S. § llSC Art. 21A ' place, and reasons for the test; copy of notice sent to given. G.S. § 122C-158 examiner identifying employee to be tested; and G.S. § BOA-45.9 G.S. § 153A-98 copies of opinions, reports, or similar records G.S. § 160-168 generated by the examiner and provided to the G.S. § 161E-257.2 agency. G.S. § 162A-6.1 Retention: 29 CFR 801.30 33. POSITION CLASSIFICATION, CONTROL, AND HISTORY a) Retain in office records with historical value permanently. Records concerning personnel actions and position b) Destroy in office remaining records when superseded or control, status of each established permanent, obsolete. temporary full-time, or part-time position, and other related topics. Also includes listings providing classification, titles, and position numbers. See also POSITION DESCRIPTIONS, page 61, item 34. 34. POSITION DESCRIPTIONS Destroy in office 2 years after superseded. Retention: Includes information on job title, grade, duties, agency 29 CFR 1620.32 assigned, and responsibilities. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 6 ., ... HH• NC DEPARTMENT OF .. •.: NATURAL AND CULTURAL RESOURCES .----STANDARD 6: PERSONNEL RECORDS ITEM# RECORDS ~ERIES TITLE DISPOSITION INSTRUCTIONS CITATION 35. POSITION EVALUATIONS Destroy in office after 1 year. Forms used to evaluate the primary purpose of a position. 36. RECRUITMENT RECORDS Destroy in office 1 year from date of record. Retention: Includes ads and notices of overtime, promotion, and 29 CFR 1627.3(b) training. Also includes employment listings. 37. RETIREMENT RECORDS a) Destroy in office records documenting deferred Retention: Includes plans and related records outlining the terms compensation 3 years after payment.* 29 CFR 1627.3(b)(2) of employee pension and other deferred b) Destroy in office descriptive information about retirements compensation plans. plans 1 year after plan is terminated. c) Destroy in office records concerning employer-sponsored retirement plans 7 years after payment.* d) Transfer Local Governmental Employees' Retirement System (LGERS) forms to Department of State Treasurer. e) Transfer applicable records to PERSONNEL RECORDS (OFFICIAL COPY), page 60, item 29. 38. SEASONAL AND CONTRACT WORKER RECORDS Destroy in office S years after date of separation. Confidentiality: ft Records concerning seasonal or contractual G.S. § llSC Art. 21A CJ employees who are not provided with or eligible for G.S. § 122C-158 G.S. § 130A-45.9 benefits. G.S. § 153A-98 G.S. § 160-168 G.S. § 161E-257.2 G.S. § 162A-6.1 * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods fbr the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 62 6 ... ::=:: ~~T~~:t!~~':ru~;URAL RESOURCES ...... STANDARD 6: PERSONNEL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 39. SECONDARY EMPLOYMENT a) Destroy in office approved requests and related records 1 Records concerning employees' requests and year after employee terminates outside employment. authorizations to accept employment with a private b) Destroy in office denied requests and related records after entity. 6 months. 40. SERVICE AWARDS AND COMMENDATIONS Destroy in office 2 years from date of record creation or the Includes award and selection committee reports, personnel action involved. nominations, selection criteria, and similar administrative records relating to employee recognition or incentive programs. See also PERSONNEL RECORDS {OFFICIAL COPY), page 60, item 29. 41. SUGGESTIONS AND SURVEYS Destroy in office after 1 year. Recommendations and feedback submitted by agency employees. 42. TRAINING AND EDUCATIONAL RECORDS a) Transfer records as applicable to PERSONNEL RECORDS Retention: Includes employee-specific records (certificates, {OFFICIAL COPY), page 60, item 29, if such training and 29 CFR 1627.3(b)(l){iv) transcripts, test scores, etc.) relating to the training, testing is required for the position held or could affect testing, or continuing education of employees. career advancement. b) Destroy in office remaining records after 1 year. See also CONFERENCES AND WORKSHOPS, page 67, item 4, and EDUCATIONAL LEAVE AND REIMBURSEMENT, page 54, item 14. Other required trainings are handled in ASBESTOS TRAINING, page 51, item 6, BLOODBORNE PATHOGEN TRAINING, page 52, item 8, and HAZARDOUS MATERIALS TRAINING RECORDS, page 57, item 21. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LIT/GA TION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 6 -· ==~= ~;~e::~!~~NCTU~;URAL RESOURCES ...... STANDARD 6: PERSONNEL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 43. UNEMPLOYMENT COMPENSATION CLAIMS Destroy in office after 3 years.* Confidentiality: ~ Claim forms and other related records concerning G.S. § llSC Art. 21A t!J unemployment compensation cases. G.S. § 122C-158 G.S. § 130A-45.9 G.S. § 153A-98 G.S. § 160-168 G.S. § 161E-257.2 G.S. § 162A-6.1 44. UNEMPLOYMENT COMPENSATION REPORTS Destroy in office after 3 years.* 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. 45. UNEMPLOYMENT INSURANCE Transfer to the N.C. Department of Commerce, Division of Forms submitted to the Department of Commerce to Employment Security. report wage records of terminated employees. 46. VERIFICATION OF EMPLOYMENT RECORDS Destroy in office after 1 year. Inquiries and responses concerning verification of an employee's prior or current employment with the agency. 47. VOLUNTEER RECORDS Destroy in office 2 years after completion of assignment. Records concerning individuals who volunteer to assist with various agency activities. 48. WORK SCHEDULES AND ASSIGNMENTS Destroy in office after 1 year. Records concerning work, duty, shift, crew, or case schedules, rosters, or assignments. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 6 ... ::=:: ~i~~.:~!~~Nd"u~;URAL RESOURCES ."' .... STANDARD 6: PERSONNEL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 49. WORKERS' COMPENSATION PROGRAM a) Retain in office records with historical value permanently. ADMINISTRATION b) Destroy in office remaining records when superseded or Includes program policies, guidelines, and related obsolete. administrative documentation. so. WORKERS' COMPENSATION PROGRAM CLAIMS Destroy in office agency's working file for workers' Confidentiality: a. Records concerning workers' compensation claims compensation claims by its employees 5 years after employee G.S. § 8-53 .:!] filed by employees' supervisors concerning accidental returns to work or separates from agency. G.S. § 97-92(b) 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). * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 6 . -· ••••~ NC DEPARTMENT OF .. •.11 NATURAL AND CULTURAL RESOURCES ·--· STANDARD 7: PUBLIC RELATIONS RECORDS Official records and materials created and accumulated by internal public relations programs operated by the agency. STANDARD 7: PUBLIC RELATIONS RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1. AGENCY PUBLICATIONS a) Retain in office records with historical value permanently. Publications created at agency expense. Also includes b) Destroy publications management records after 5 years. correspondence and other related records regarding c) Destroy in office remaining records when reference value the design and creation of agency publications. ends.t Agency Policy: Destroy in office after 2. AUDIO-VISUAL RECORDINGS a) Retain in office records with historical value permanently. Recordings (including digital) and films produced by b) Destroy in office remaining records when reference value the agency. This does not include recordings of public ends.t meetings or security videos. Agency Policy: Destroy in office after See also AUDIO AND VIDEO RECORDINGS OF MEETINGS, page 2, item 7, and OFFICE SECURITY RECORDS, page 12, item 46. 3. COMMUNITY AWARDS a) Retain in office records with historical value permanently. Records concerning awards by the agency recognizing b) Destroy in office remaining records when reference value community contributions. ends.t Agency Policy: Destroy in office after * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 P,rovided. 66 7 ITEM# 4. 5. 6. 7. ... ••••l NC DEPARTMENT OF .. •.1 NATURAL ANO CULTURAL RESOURCES .I ... STANDARD 7: PUBLIC RELATIONS RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION CONFERENCES AND WORKSHOPS a) Retain in office records with historical value permanently. Records concerning conferences and workshops b) Destroy in office remaining records when superseded or conducted by agency employees. Includes slides, obsolete. charts, transparencies, handouts, and other related records used in presentations. See also TRAINING AND EDUCATIONAL RECORDS, page 63, item 42. EDUCATIONAL MATERIALS Destroy in office when superseded or obsolete. Materials produced for usage by teachers or tour groups. Includes lesson plans, activities, and other related records. FUND DRIVE AND EVENT RECORDS a) Retain in office records with historical value permanently. Records documenting the promotion and organization b) Destroy in office remaining records when superseded or of fund drives and other special events in which the obsolete. 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, page 22, item 21. INVITATIONS Destroy in office after event occurs. Invitations sent and received concerning agency and external functions. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 7 ITEM# 8. 9. 10. 11. 12. •rm anar NC DEPARTMENT OF .. •.11 NATURAL AND CULTURAL RESOURCES .1,.a•• STANDARD 7: PUBLIC RELATIONS RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION MEDIA FILE Destroy in office when reference value ends. t Reference copies of newspaper, magazine, and other Agency Policy: Destroy in office after media clippings concerning the agency, agency officials, and other topics of interest. POPULAR ANNUAL FINANCE REPORT a) Retain records with historical value permanently. Comprehensive annual financial report (CAFR) b) Destroy in office remaining records when superseded or obsolete. PUBLIC HEARINGS a) Retain in office minutes permanently. Includes agendas, minutes, notices, speaker sign-up b) Destroy in office remaining records after 1 year. sheets, and similar documentation. PUBLIC RECORDS REQUESTS Destroy in office 2 years after resolution.* Formal requests submitted by persons seeking access to agency records along with documentation of Note: These disposition instructions apply only to the request, agency response. internal agency records related to searching for and preparing responsive records, and communication fo response; the documents that are responsive to public records requests should be handled acording 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. PUBLICITY RECORDS a) Retain in office records with historical value permanently. Records concerning overall public relations of agency. b) Destroy in office remaining records when superseded or Includes advertisements, announcements, obsolete.* correspondence (including e-mail), photographic materials, news and press releases, and other related records. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 7 ., ... ::;:; ~~:ue::LR:~Nd"u~:URAL RESOURCES ....... STANDARD 7: PUBLIC RELATIONS RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 13. SOCIAL MEDIA See APPENDIX (page 78) for guidance in handling social media. 14. SPEECHES a) Retain in office records with historical value permanently. Speeches made by agency officials. b) Destroy in office remaining records when reference value ends.t Agency Policy: Destroy in office after 15. WEBSITE (ELECTRONIC) a) Capture website annually or whenever a major revision in Records created and maintained in paper and design and/or content has taken place, whichever occurs electronic formats concerning the creation and first. Retain captured content in office permanently. Can maintenance of the agency's presence on the World be maintained as website snapshots or via Web crawler. Wide Web. Includes correspondence (including e-b) Destroy in office remaining records when superseded or mail), procedures, instructions, website designs, obsolete. HTML/XHTML, or other web-based file formats, and other related records. See also WEB MANAGEMENT AND OPERATIONS RECORDS: STRUCTURE, page 42, item 19. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 7 ..... ••1•: NC DEPARTMENT OF H •• NATURAL ANO CULTURAL RESOURCES .J,,.,;,I .. STANDARD 8: RISK MANAGEMENT RECORDS Official records created and accumulated to manage risks in the agency. STANDARD 8: RISK MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1. ACCIDENT/INCIDENT REPORTS {CUSTOMER AND a) Transfer records resulting in workers' compensation to EMPLOYEE) WORKERS' COMPENSATION PROGRAM CLAIMS, page 65, item 50. See also WORKERS' COMPENSATION PROGRAM b) Destroy in office remaining employee claims 3 years after CLAIMS, page 65, item 50. 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. 2. ASBESTOS MANAGEMENT PLAN a) Destroy in office 1 year after building is demolished. Retention: 29 CFR b) If building is sold, transfer records to new owner. 1910.1001(j)(3)(ii) 3. DECLARATIONS AND TERMINATIONS OF STATES OF Retain in office permanently. Authority: EMERGENCY G.S. § 166A-19.22 "'No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 8 ··-· ::=:: ~~T~e::~1~~'::Tu~;URAL RESOURCES ..... STANDARD 8: RISK MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 4. DISASTER AND EMERGENCY MANAGEMENT PLANS Destroy in office when superseded or obsolete. Confidentiality: ~ Records concerning preparedness, evacuations, and G.S. § 132-1.7 :!] 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). 5. DISASTER RECOVERY a) Retain in office permanently records documenting major Administrative records documenting recovery efforts. agency disaster recovery efforts b) Destroy in office after 3 years records concerning minor or routine agency recovery operations that are managed with minimal disruption to normal operations. 6. EMERGENCY DRILLS AND EQUIPMENT RECORDS Destroy in office when superseded or obsolete. Includes test records for fire suppression, defibrillator, respirator fit, and other emergency equipment. Also includes records concerning agency emergency and fire drills. 7. EMPLOYEE SECURITY RECORDS Destroy in office when superseded or obsolete. Records concerning the issuance of keys, identification cards, parking assignments, passes, etc., to employees. 8. FIRE, HEAL TH, AND SAFETY RECORDS Destroy in office when superseded or obsolete. . Records concerning agency safety measures. Includes reports, logs, and other related records documenting inspections of agency facilities. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 8 ••r! NC DEPARTMENT OF H, H NATURAL ANO CULTURAL RESOURCES ·--···-STANDARD 8: RISK MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 9. FUEL OIL STORAGE TANK RECORDS Destroy in office closure records 3 years after completion of Authority: permanent closure. 40 CFR 280.34 Retention: 40 CFR 280.74 10. HAZARDOUS MATERIALS MANAGEMENT a) Destroy in office after 30 years records related to Records related to hazardous materials and hazard hazardous materials, including biowaste. mitigation plans. b) Destroy in office after 5 years records concerning the receipt, maintenance, and disposal of radioactive materials. c) Destroy in office 3 years after superseded or obsolete records concerning hazard mitigation plans. 11. INSURANCE POLICIES a) Destroy in office records concerning automobile and other Records concerning automobile, theft, fire, and all liability insurance policies 10 years after superseded or other insurance policies purchased by agency. Also obsolete.* includes insurance audits, claims reports, surveys, b) Destroy in office certificates of insurance after 1 year. endorsements, certificates of insurance, and waivers. 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. 12. LOSS CONTROL INSPECTION REPORTS Destroy in office when superseded or obsolete. Self-inspections to identify potential liabilities or hazards that may exist in agency owned buildings or property. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, l./TIGA T/ON, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 8 ..... anar:-NC DEPARTMENT OF ... •.; NATURAL ANO CULTURAL RESOURCES ··-· STANDARD 8: RISK MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 13. LOST, STOLEN, OR DAMAGED PROPERTY REPORTS Destroy in office after 2 years.• Includes citizen reports of property lost or stolen at agency. Also includes reports and employee narratives of vandalism to agency property. 14. OCCUPATIONAL SAFETY AND HEALTH Destroy in office after 5 years. Retention: ADMINISTRATION (OSHA) 29 CFR 1904.33 Records concerning injury or illness, extent and 29 CFR 1904.44 I outcomes, summary totals for calendar year, and OSHA forms. Includes ergonomic assessments for employees. 15. SAFETY DATA SHEETS Destroy in office 30 years after materials have been disposed of Retention: Forms supplied to agencies from manufacturers and according to manufacturer's instructions. 29 CFR distributors of hazardous materials for materials held 1910.1020(d)(1)(ii)(B) Retention Note: A data sheet for a mixture may be discarded if by the agency. 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. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, ANO OTHER OFFICIAL ACTION, page vi. t See signature page. 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 8 ··-· .... , NC DEPARTMENT OF •• •.; NATURAL ANO CULTURAL RESOURCES ...... 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. STANDARD 9: WORKFORCE DEVELOPMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1. AUDIT/ AUDIT RESOLUTIONS Destroy in office after 3 years. Authority: Records concerning reports from financial and 0MB Circular A-133 compliance audits conducted on WIA programs in 29 CFR 97.26 accordance with 0MB Circular A-133. Includes audit reports and correspondence concerning audits and audit resolutions for the local area. Also includes federal and state audits. 2. LOCAL AREA JOB TRAINING PLAN RECORDS Destroy in office when superseded or obsolete. Authority: Records concerning the local board's bid process for 20 CFR 652.8 contracting workforce development programs. 3. PARTICIPANT RECORDS Destroy in office 3 years after close of audit/final year Authority: Records concerning applicants, registrants, eligible expenditure.• 20 CFR 652.8 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 WIA follow-up questionnaires. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page vi. t See signature page. 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 9 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 confidentia l 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 comp lete a Request for Disposal of Unscheduled Records {page 86) 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 schedu le so that you can destroy the record s appropriately from this point forward . 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 sa mple destructions log that follows {and is available online at the State Archives of North Carolina website, htt ps ://archives.ncdcr.gov/government/for m s-government ). 75 ••• ••••• NC DEPARTMENT -.-. OFNATURALAND ••••• CULTURAL RESOURCES ••••• archives.ncdcr.gov 4615 Mail Service Center, Raleigh NC 27699-4165 919-814-6900 Aaencv Division Location{s) of Records Required Records Series Retention Destructions Log I Section I I Branch I Volume Media Date (Paper, Date of Range (file drawers Electronic) Destruction or MB) p E DIVISION OF ARCHIVES AHO RECORDS -GoVERNMENT RECORDS SECTION MAILING ADDRESS: 4615 Mail Service Center Raleigh, N.C. 27699-4615 http://archives.ncdcr.gov Telephone (919) 814-6900 Facsimile (919) 715-3627 State Courier 51-81-20 LOCATION: 215 N. BIOt.Slt Street Raleigt, N.C. 27601-2823 Method of Destruction Authorization for Destruction 76 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 G.S. § 121-5 and G.S. § 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 i s 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 Caro lina 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 . G.S. § 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. 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 Record s 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/d igital-records/digital-records-polici es -and -gu ideli nes#d igita l- 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 (G.S. § 132-8.2 ): 77 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? A . There are numerous documents available on the State Archives of North Carolina website (https://a r ch ives .ncdc r .gov/govern ment/digita l-reco r ds/digit al -reco rd s-po lic ies-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 1 year (see LEAVE RECORDS, page 57, item 24). 78 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 shou ld 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 an d transitory nature of these records, geospatial record s retention and long-term preservation is a community-wide challenge. GIS files have become essential to the function of many local agencies and will co ntinue to frequently be utilized in agency decisi on -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 re co rds can help safeguard the local government's legal and fiscal accountability and aid agencies in conducting retrospective and prospective studies. The se studies are only possible when essential data from the past are still available. Q. What G/S datasets should be preserved by local governments? A. The following types of geospatial records have been designated as having archival value: • Parcel data • Street centerli ne data • Corporate li mits data • Extraterritorial jurisdiction data • Zoning data, address points • Orthophotography (imagery) • Utilities • Emergency/E-911 themes Q . How often should we capture the datasets retained for their legal, fiscal, evidential or historical value? A. Consult the retention sc hedul e for frequency of ca pture. The frequency of capture is based on the significance of the record as we ll as its alterabi lity. Q. What data formats, compression formats, and media should be used to preserve the data? A. Archiving practices should be consist ent with North Carolina Geographic Inform ation Coordinating Counci l (GICC) approved standards and recommendations. (Examples: Content Standard s for Metadata; Data Sha rin g Recommendations). Consu lt the GICC website at http://www.ncgicc.com/ You should also comply with guidelines and standa rds issued by the State Archives of North Carolina, which are avai labl e on its website. 79 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. 80 MICROFILM Q. Why do you still use microfilm? A. Microfilm is a legally acceptable replacement for original records, as outlined in G.S. § 8-45 .1 and § 153A-436. Microfilm can be read with nothing more sophisticated than a magnifying glass, and there is no software to keep current. Usually, deterioration in the film itself can be detected by visual inspection . The State Archives of North Carolina provides a publication, Micrographics: Technical and Legal Procedures, on our website. It explains the four groups of national standards for the production of archival quality microfilm : • manufacture of raw film • filming methods • processing (developing) film • storage methods That publication also provides sample forms, targets, and procedures that you or your vendor can use in producing film of your records. Q. What film services do you provide? A . The Department of Natural and Cultural Resources provides microfilming services for minutes of major decision -making boards and commissions. We will also film records of adoptions for Social Services agencies . Once those records are filmed, we will store the silver negative (original) in our security vault . Contact the Records Management Analyst in charge of microfilm coordination for the most current information. Q. How do I get my minutes filmed? A. We have two processes to film minutes. 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 Minutes for Microfilming form (available online at the St ate Archives of North Ca r olina websit e) with each shipment. For more detailed instructions, contact a Records Management Analyst . Alternately, 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 tran sport the original books in person so that the custody of the records is maintained . You should not mail or ship your original minutes. Call a Records Management Analyst to make arrangements for an appointment for your books to be filmed . W e will make every effort to expedite the filming so that your books will be r eturned to you as quickly as possible . Q. What if I need my books while they are being filmed? A. Call the Raleigh Office at (919) 814-6900, and ask for the Records Management Analyst in charge of microfilm coordination . Q. Can I send you my minutes electronically? A. We are working on standards and procedures for an electronic transfer system for minutes. Please contact the Records Management Analyst in charge of microfilm coordination for more information. Q. I have some old minutes that are not signed. Can they still be filmed? A . If the only copy you have available is unsigned, and you use it as the official copy, we will film it. 81 Q. What if my books are destroyed after they have been filmed? A. Call a Records Management Analyst who will help you make arrangements to 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. 82 DISASTER ASSISTANCE Q. What should I do in case of fire or flood? A . Secure the area, and keep everyone out until fire o r 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) 296-7230 extension 224. 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 sta ff are trained in preliminary recovery techniques, documenting damage to your r ecords, and authorizing destruction of damaged records . Professional ven dors 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 re covery 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 essen tial : • Emergency operating records -including emergency pl ans and directives, orders of succession, delegations of authority, staffing assignments, se lected program records needed to continue the most critical agency operations, as well as r ela ted 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, pa yro ll records, retirement records, and insurance records. The se 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 possibl e. 83 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 • Scanning/digital imaging • Disaster preparedness and recovery • Confidentiality • Organizing paper and digital files • E-mail • 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 association s, regional consortiums, and the public. Q. Is there a fee for workshops? A . Not at this time. Q. Are the workshops available in an online format? A. Not at this time. Howev er, there are several online tutorial s available on the State Archives of North Carolina website, including managing public record s, electronic records, and scanning. 84 •••• ••:•: NC DEPARTMENT OF •• •• NATURAL AND CULTURAL RESOURCES ••••• GOVERNMENT RECORDS SECTION ST A TE RECORDS CENTER arc hives .ncdcr.gov 4615 Mail Serv ice Center , Rale igh NC 27699 -4165 919-814-6900 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. GENCY INF RMATION 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:--------------- D Add a new item D Delete an existing item D Change a retention period Standard Number Standard Number Page Page 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 Approved by: Signature Requestor's Supervi so r DIVISION OF ARCHIVES ANO RECORDS -GoVERNMENT RECORDS S ECTION MAI LING ADDRESS: 4615 Mail Service Center Raleigh , N.C. 276994615 httpJ/archives .ncdcr.gov Telephone (919) 814-6900 Facsimi le (919) 715-3627 State Courier 51-81 -20 LOCATION: 2 15 N. BIOlXlt Street Raleigh, N.C. 27601 -2823 Item Number Item Number Date Date 85 ··-••••• NC DEPARTMENT OF ••·•= NATURAL AND CU LTURAL RESOURCES ••••• GOVERNMENT RECORDS SECTION ST ATE RECORDS CENTER archives.ncdcr.gov 4615 Mail Service Center, Raleigh NC 27699 -4165 919-814 -6900 Request for Disposal of Unscheduled Records GENCY INFORMATION Requester name Location and Agency [e .g., County/Municipality + Department of Social Services] Phone and email Mailing Address In accordance with the provisions of G.S. § 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 INCLUSIVE QUANTITY RELEVANT AND DESCRIPTION DATES STATUTORY REGULATIONS Requested by: Signature Title Approved by: Signature Requester's Supervisor Concurred by: Signature Assistant Records Administrator State Archives of North Carolina D IVISION OF AACHIVES AN D RECORDS -GoVERNMENT RECORDS SECTI ON MAILING ADD RESS : 4615 Mail Service Center Raleigh, N.C. 27699-4615 httpJ/erchives.ncdcr.gov Telep hone (919) 814-6900 Facsimil e (919) 715-3627 State Couri er 51-81-20 LOCATION : 215 N. Blount Street Raleigh, N.C. 27601-2823 PROPOSED RETENTION PERIOD Date Date Date 86 •••• ••••• NC DEPARTMENT OF ••·•= NATURAL AND CU LTURAL RESOURCES ••••• GOVERNMENT RECORDS SECTION ST A TE RECORDS CENTER archives .ncdcr.gov 4615 Mail Service Center , Raleigh NC 27699-4165 919-814-6900 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: Phone (area code): Email: County/Municipality: Office: Mailing address: Records Series Title Description of Records Inclusive Approx. Volume A group of records as listed Specific records as referred Dates of Records in records retention to in-office (1987-1989 ; (e.g . "1 file schedule Requested by: Approved by: Concurred by: 2005-present) cabinet," ·5 boxes") Signature Title Signature Requester's Supervisor Signature Assistant Records Administrator State Archives of North Carolina DIVI SION OF AACHIVES AND RECORDS -G OVERNMENT RECO RDS SECTION MAILING ADDRESS : 4615 Mail Service Cen ter Raleigh, N.C . 27699-4615 http://archives.ncdcr.gov Telephone(919)81~900 Facsimile (919) 71~627 State Cou rier 51 -81 -20 LOCATION: 215 N. Blount Street Raleigh , N.C. 2760 1-2823 I Date (MM-DD-YYYY): Retention Period As listed in records retention schedule Date Date Date 87 •••• ••••• NC DEPARTMENT • • OF NATURAL AND ••••• CULTURAL RESOURCES ••••• archives.ncdcr.gov 4615 Mail Service Center. Raleigh NC 27699-4165 919-814-6900 Division Records Series File Plan I Section I I Branch I Records Owner Media (if record copy is (Paper, Required Records Creator Electronic, transferred within the Scanned) Retention agency) p IEIS 01VISION OF ARCHIVES AND RECORDS -GoVERNMENT RECORDS SECTION MAILING ADDRESS: 4615 Mai Se<vice Cente, Raleigh, N.C. 27699-4615 http1/archives.ncdcr.gov Telephone (919) 814.$00 Facsimile (919) 715.3627 State Coulier 51-81-20 LOCATION: 215 N. Blou,t Street Raleigl, N.C. 27601-2823 Location(s) of Records 88 1 1099 FORMS. SEE TAX FORMS A ABOLISHED POSIT IONS, 49 ABSTRACTS OF MUNICIPAL ELECTIONS, 1 ACCIDENT/INCIDENT REPORTS (CUSTOMER AND EMPLOYEE), 70 ACCOUNTS PAYABLE, 18 ACCOUNTS RECEIVABLE, 18 ACCOUNTS UNCOLLECTABLE, 18 ACCREDITATION RECORDS , 1 ADDRESS POINTS, 32 ADMINISTRATION AND MANAGEMENT RECORDS, 1 ADM INISTRATIVE DIRECTIVES, REGULATIONS, AND RULES, 1 ADMINISTRATIVE INVESTIGATIONS , 49 AFFIDAVITS OF PUBLICATION, 43 AGENCY PUBLICATIONS, 66 AGENDA AND MEETING PA CKETS, 1 AMBULANCE SERVICE BILLS AND RECORDS FOR EMERGENCY MEDICAL SERVICE. SEE ACCOUNTS PAYABLE ANNUAL BUDGET, 19 APPLICATIONS FOR APPOINTMENT, 2 APPLICA TIONS FOR EMPLOYMENT, 50 APPOINTMENT REPORTS , 2 APPRENTICESHIP PROGRAM RECORDS, 50 APTITUDE AND SKILLS TESTING RECORDS , 51 ARBITRAGE RECORDS, 19 ASBESTOS MANAGEMENT PLAN , 70 ASBESTOS TR AINING, 51 AUDIO AND VIDEO RECORDINGS OF MEETINGS , 2 AUDIO -VISUAL RECORDINGS , 66 AUDITS FINANCIAL, 19 IT SYSTEMS, 37 PERFORMANCE, 2 AUTHENTICATIONS , 43 AUTHORIZATION FORMS, 19 B BANK STATEMENTS, 19 BANK STATEMENTS AND RECONCILIATIONS, 19 BENEFITS RECORDS, 51 BENEFITS REIMBURSEMENT PLAN. SEE BIDS FOR DI SPOSAL OF PROPERTY, 20 INDEX BIDS FOR PURCHASE , 20 BIOGRAPHICAL DATA. SEE HISTORY RECORDS BLOODBORNE PATHOGEN TRAINING, 52 BLUEPRINTS AND SPECIFICATIONS, 3 BOND CLOSING RECORDS, 20 BOND REGISTER, 20 BONDS, 3 BONDS, NOTES , AND COUPONS, 20 BUDGET ADMINISTRATION RECORDS, 21 BUDGET EXECUTION RECORDS, 21 BUDGET REPORTS, 21 BUDGET REQUESTS AND WORKING PAPERS, 21 BUDGET RESOLUTIONS AND ORDINANCES, 21 BUDGET, FISCAL , AND PAYROLL RECORDS, 18 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 RE CONCILIATIONS CASH REPORTS . SEE ACCOUNTS RECEIVABLE CENSUS PROJECT RECORDS , 4 CERTIFICATION AND QUALIFICAT ION RECORDS , EMPLOYEE, 52 CHARTER RECORDS , 4 CHECK REGISTERS. SEE BANK STATEMENTS AND RECONCILIATIONS CHECK STUBS. SEE BANK STATEMENTS AND RECONCILIATIONS CITIZEN COMMENTS, COMPLAINTS, PETITIONS, AND SERVICE REQUESTS, 4 CITIZEN SURVEYS, 5 CIV IL RIGHTS CASE RECORDS, 43 CIVIL RIGHTS RECORDS, 44 COLLECTED DATA, 5 COMMUNITY AWARDS, 66 COMPLA IN TS (CITI ZEN). SEE CITIZEN COMMENTS, COMPLAINTS, PETITIONS, AND SERV ICE REQUESTS COMPRE HENSIVE PLAN , 5 COMPUTER AND NETWORK USAGE RECORDS, 37 CONDEMNATION RECORDS, 44 CONFERENCES AND WORKSHOPS, 67 CONFLICTS OF COMMITMENT, 44 CONFLICTS OF IN TEREST, 44 CONTRACT BUDGET REPORTS, 21 89 CONTRACT WORKER RECORDS, 62 CONTRACTS, LEASES, AND AGREEMENTS, 45 CORE DATA (GIS RECORDS). SEE GEOGRAPHIC INFORMATION SYSTEM (GIS) CORE DATA CORPORATE LIMITS, 32 CORRESPONDENCE (LEGAL), 46 CORRESPONDENCE AND MEMORANDA, 5 COST ALLOCATION PLANS, 22 CREDIT/DEBIT/PROCUREMENT CARD RECORDS, 22 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, 37 DATA MIGRATION RECORDS, 38 DATA WAREHOUSES, 38 DEB IT CARD PAYMENTS . SEE PAYMENT CARD DATA DEBT FINANCING. SEE LOAN RECORDS DECLARATORY RULINGS, 45 DELEGATION OF AUTHORITY RECORDS , 45 DEPOSITS . SEE ACCOUNTS REC EIVABLE DESTRUCTIONS LOG , 76 DETAIL RE PORT. SEE FINANCIAL REPORTS DIGITIZATION AND SCANNING RECORD S, 38 DIRECT DEPOSIT FORM S. SEE ELECTRONIC FUNDS TRAN SFERS DIRECTORIES, RO STERS, OR INDICES, EMPLOYEE , 52 DISABILITY SALARY CONTINUATION CLAIMS, 53 DISASTER AND EMERGENCY MANAGEMENT PLAN S, 71 DISAS TER RECOVERY, 71 DISCIPLINARY ACTIONS, 53 DONATION S AND SOLICITATIONS, 22 DRUG AND ALCOHOL PROGR AMS FILE . SEE EMPLOYEE ASSISTANCE PROGRAMS DUAL EMPLOYMENT, 53 E EASEMENTS AND RIGHT-OF -WAY AGREEMENTS, 45 EDUCATIONAL ASSISTANCE , EMPLOYEE, 54 EDUCATIONAL LEAVE AND REIMBURSEMENT, 54 EDUCATIONAL MATERIALS, 67 EDUCATIONAL RECORDS, EMPLOYEE, 63 ELECTRONIC FUNDS TRANSFERS, 22 ELECTRONIC RECORDS POLICIES AND PROCEDURE S, . 38 ELIGIBILITY RECORD S, EMPLOYEE, 54 EMERGENCY DRILLS AND EQUPIMENT RECORD S, 71 EMPLOYEE ASSISTANCE PROGRAMS, 54 EMPLOYMENT SELECTION RECORDS , 55 ENCROACHMENTS, 46 EQUIPMENT AND VEHICLE MAINTENANCE , REPAIR , AND INSPECTION RECORDS , 6 EQUIPMENT INVENTORIES, 9 EQUIPMENT REFERENCE RECORDS, 6 EQUIPMENT USAGE RECORDS, 6 ESCH EATS AND UNCLAIMED PROPERTY, 22 EXIT INTERVIEW RECORDS, EMPLOYEE, 55 EXPENDITURE REPORTS . SEE BUDGET REPORTS EXTRATERRITORIAL JURISDICTIONS , 33 F FACILITY ACCESSIBILITY FILE. SEE FACILITY MAINTENANCE, REPAIR AND INSPECTION RECORDS, 7 FACILITY SERVICE AND MAINTENANCE AGREEMENTS . SEE CONTRACTS, LEASES, AND AGREEMENTS FACILITY USAGE RECORDS, 6 FAMILY MEDICAL LEAVE ACT (FMLA) RECORDS , 56 FEE SCHEDULES, 14 FILE PLAN , 88 FINANCIAL JOURNALS AND LEDGERS, 23 FINANCIAL REPORTS, 23 FIRE EXTINGUISHER RECORDS. SEE EMERGENCY DRILLS AND EQUIPMEN T RECORDS FIRE , HEALTH , AND SAFTEY RECORD S, 71 FIXED ASSETS. SEE INVENTORIES FORMS AND TEMPLATE S, 7 FUEL OIL STORAGE TANK RECORDS , 72 FUND DRIVE AND EVENT RECORDS , 67 G GEOGRAPHIC INFORMATION SYSTEM (GIS) CORE DATA, 30 GEOGRAPHIC INFORMATION SYSTEM (GIS) DATA DOCUMENTATION (META DATA), 30 GEOGRAPHIC INFORMATION SYSTEM (GIS) INTERNAL STANDARDS AND PROCEDURES , 30 GEOGRAPHIC INFORMATION SYSTEM (GI S) MONITORING RECORD S, 31 GEOGRAPHIC INFORMATI ON SYSTEM (GIS) OPERATIONAL RECORDS, 3 1 GEOGRAPHIC INFORMATION SYSTEM (GIS) PROJECT RECORD S, 3 1 GEOGRAPHI C INFORMATION SYSTEM (GI S) RECORDS , 30 GOVERNING AND ADVISORY BODY MEMBER FILES , 7 9 0 GOVERNMENT EMPLOYEES RETIREMENT SYSTEM MONTHLY REPORTS, 23 GRANT PROPOSALS, 7 GRANTS, 8 FINANCIAL, 24 GRIEVANCES, 56 H HAZARDOUS MATERIALS MANAGEMENT, 72 HAZARDOUS MATERIALS TRAINING RECORDS, 57 HEALTH CERTIFICATES, EMPLOYEE. SEE MEDICAL RECORDS HISTORY RECORDS (AGENCY AND EMPLOYEES, 8 I 1-9 FORMS. SEE ELIGIBILITY RECORDS IMAGING RECORDS, 38 IMPROPER CONDUCT INVESTIGATIONS, 8 INDICES, 9 INFORMATION TECHNOLOGY (IT) RECORDS, 37 INFORMATION TECHNOLOGY ASSISTANCE RECORDS, 38 INSPECTION RECORDS. SEE EQUIPMENT AND VEHICLE MAINTENANCE, REPAIR, AND INSPECTION RECORDS INSPECTION RECORDS, FACILITY, 7 INSURAN CE POLICIES, 72 INTERAGENCY PROGRAMS, 9 INTERNAL STANDARDS AND PROCEDURES (GIS RECORDS)\ T, 30 INTERN SHIP PROGRAM, 57 INVENTORIES, 9 INVESTMENTS, 24 INVITATIONS, 67 INVOICES. SEE ACCOUNTS PAYABLE IT DISASTER PREPAREDNESS AND RECOVERY PLANS. SEE DISASTER AND EMERGENCY MANAGEMENT PLANS L LAND OWNERSHIP RECORDS, 46 LEAVE RECORDS, 57 LEGAL OPINIONS, 46 LE GA L RECORDS, 43 LEGAL REVIEW RECORDS, 46 LEGISLATION AND REGULATORY RECORDS, 9 LGERS MONTHLY REPORTS. SEE GOVERNMENT EMPLOY EES RETIREMENT SYSTEM MONTHLY REPORTS LITIGATION CASE RECORDS, 47 LOAN RECORDS, 25 LOCAL GOVERNMENT COMMISSION FINANCIAL STATEMENTS, 25 LOGISTICS MATERIALS, 9 LONGEVITY PAY, 25 LOSS CONTROL INSPECTION REPORTS, 72 LOST, STOLEN, OR DAMAGED PROPERTY REPORTS, 73 M MAIL, UNDELIVERABLE/RETURNED, 9 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 MAPP ING PROJECT RECORDS, 34 MAPS \ALL OTHER, 36 \PARCEL, 35 \PARKS, 35 MEDIA FILE, 68 MEDICAL RECORDS, EMPLOYEE, 58 MEMBERSHIP RECORDS, 10 METADATA (GIS RECORDS). SEE GEOGRAPHIC INFORMATION SYSTEM (GIS) DATA DOCUMENTATION (METADATA) MILITARY LEAVE, 58 MINUTES (STAFF MEETINGS), 11 MINUTES OF PUBLIC BODIES, 11 MISCELLANEOUS (NON-BUILDING) APP LICATION S, LICENSES, AND PERMITS, 11 MONITORING RECORDS (GIS RECORDS). SEE GEOGRAPHIC IN FORMAT ION SYSTEM (GIS) MONITORING RECORDS N NETWORK AND SYSTEM SECURITY RECORDS, 39 NETWORK DIAGRAMS, 39 NEWSPAPER CLIPPINGS. SEE HI STO RY RE CORDS NOTICES OF PUBLIC MEETINGS, 12 0 OATHS OF OFFICE, 47 OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION (OSHA), 73 OFFICE SECURITY RECORDS, 12 91 OPERATIONAL RECORDS (GIS RECORDS). SEE GEOGRAPHIC INFORMATION SYSTEM (GIS) OPERATIONAL RECORDS ORDINANCE DEVELOPMENT RECORDS, 12 ORDINANCES, 12 ORTHOIMAGERY, 33 OSHA, 73 p PARKING. SEE SECURIJY RECORDS, EMPLOYEE PAYMENT CARD DATA, 25 PAYROLL AND EARNINGS RECORDS, 25 PAYROLL DEDUCTION RECORDS, 26 PENSION PLAN ENROLLMENT FORMS, EMPLOYEE . SEE RETIREMENT RECORDS PERFORMANCE REVIEWS, EMPLOYEE, 59 PERMISSIONS, 47 PERSONNEL ACTION NOTICES, 59 PERSONNEL RECORDS , 49 PERSONNEL RECORDS (OFFICIAL COPY), 60 PERSONNEL RECORDS (SUPERVISOR COPY), 60 PEST CONTROL, 12 PETITIONS (CITIZEN). SEE CITIZEN COMMENTS, COMPLAINTS, PETITIONS, AND SERVICE REQUESTS PETTY CASH. SEE ACCOUNTS RECEIVABLE POLICIES AND PROCEDURES, 13 POLICIES AND PROCEDURES (PERSONNEL), 61 POLYGRAPH RECORDS, EMPLOYEE, 61 POPULAR ANNUAL FINANCE REPORT, 68 POSITION CLASSIFICATION, 61 POSITION CONTROL, 61 POSITION DESCRIPTIONS, 61 POSITION EVALUATIONS, 62 POSITION HISTORY, 61 POSITION REQUISITION AND ANALYSIS RECORDS . SEE POSITION CLASIFICATION, CONTROL, AND HISTORY POWELL BILL RECORDS, 26 PRE -TRIAL RELEASE PROGRAM RECORDS, 47 PRICE QUOTATIONS, 13 PROCEDURES (GIS RECORDS). SEE GEOGRAPHIC INFORMATION SYSTEM (GIS) INTERNAL STANDARDS AND PROCEDURES PROCLAMATIONS AND ORDERS, 13 PROJECT DOCUMENTATION (INFORMATION TECHNOLOGY), 39 PROJECT RECORDS (GIS RECORDS). SEE GEOGRAPHIC INFORMATION SYSTEM (GIS} PROJECT RECORDS PROJECTS, 14 PROPERTY INVENTORIES, 9 PROPERTY MANAGEMENT RECORDS, 14 PUBLIC HEARINGS, 68 PUBLIC RECORDS REQUESTS, 68 PUBLIC RELATIONS RECORDS, 66 PUBLICATIONS RECEIVED . SEE REFERENCE (READING) FILE PUBLICITY RECORDS , 68 PURCHASE ORDERS, 26 Q QUALIFIED PRODUCTS LISTS, 26 R RATE SCHEDULES, 14 REASONABLE ACCOMMODATIONS, 48 REBATE (CITIZEN) PROGRAM RECORDS , 4 RECONCILIATIONS (FINANCIAL), 19 RECORDS BACKUPS, SYSTEM MAINTENANCE RECORDS, 41 RECORDS MANAGEMENT, 14 RECRUITMENT RECORDS, 62 REFERENCE (READING) FILE, 15 REFUND REPORTS . SEE FINANCIAL REPORTS REGULATORY RECORDS (EXTERNAL). SEE LEGISLATION AND REGULATORY RECORDS RELEASE FORMS, 48 REPAIR RECORDS . SEE EQUIPMENT AND VEHICLE MAINTENANCE , REPAIR, AND INSPECTION RECORDS REPAIR RECORDS, FACILITY, 7 REPORTS AND STUDIES, 15 REQUEST FOR CHANGE IN LOCAL GOVERNMENT RECORDS SCHEDULE , 85 REQUEST FOR DISPOSAL OF ORIGINAL RECORDS DUPLICATED BY ELECTRONIC MEANS, 87 REQUEST FOR DISPOSAL OF UNSCHEDULED RECORDS, 86 REQUESTS FOR INFORMATION, 16 REQUESTS FOR PROPOSALS, 16 REQUISITIONS, 27 RESOLUTION DEVELOPMENT RECORDS, 16 RESOLUTIONS, 16 RESPIRATOR PROGRAM RECORDS. SEE EMERGENCY DRILLS AND EQUIPMENT RECORDS RE TIREMENT RECORDS, EMPLOYEE, 62 RETURNED CHECKS. SEE ACCOUNTS UN COLLECTABLE RISK MANAGMENT RECORDS, 70 s SAFETY DATA SHEETS, 73 SALES AND USE TAX REPORTS . SEE TAX RETURNS 92 SALES INFORMATION. SEE ACCOUNTS RECEIVABLE SCANNING RECORDS. SEE DIGITIZATION AND SCANNING RECORDS SCHOLARSHIP RECORDS , 27 SEASONAL WORKER RECORDS, 62 SECONDARY EMPLOYMENT, 63 SECURITY RECORDS, EMPLOYEE, 71 SECURITY VIDEO RECORDINGS. SEE OFFICE SECURITY RECORDS SELF-INSURER CERTICATIONS . SEE INSURANCE POLICIES SERVICE AWARDS AND COMMENDATIONS, 63 SERVICE REQUESTS (CITIZEN). SEE CITIZEN COMMENTS, COMPLAINTS, PETITIONS, AND SERVICE REQUESTS SHIFT PREMIUM PAY, 27 SOCIAL MEDIA, 69, 78 SOFTWARE LICENSE AND COPYRIGHT PROVISIONS RECORDS, 40 SPACE NEED STUDIES . SEE REPORTS AND STUDIES SPECIAL EVENT RECORDS. SEE FUND DRIVE AND EVENT RECORDS SPEECHES,69 STANDARDS (GIS RECORDS), 30 STATE AND OTHER COUNTY PROGRAMS . SEE REFERENCE (READING) FILE STATE OF EMERGENCY, 70 STATEMENTS OF BACK PAY, 27 STOLEN PROPERTY REPORTS, 73 STRATEGIC PLAN. SEE COMPREHENSIVE PLAN STREET CENTERLINE, 34 SUGGESTIONS, EMPLOYEE, 63 SURPLUS PROPERTY, 16 SURVEYS, EMPLOYEE, 63 SYSTEM ACCESS RECORDS (INFORMATION TECHNOLOGY), 40 SYSTEM DOCUMENTATION RECORDS, 40 SYSTEM MAINTENANCE RECORDS: HARDWARE REPAIR OR SERVICE, 40 SYSTEM MAINTENANCE RECORDS : RECORDS BACKUPS, 41 T TAX FORMS, 28 TAX RETURNS , 28 TECHNICAL PROGRAM DOCUMENTATION, 41 TELEPHONE LOGS. SEE ACCOUNTS PAYABLE TEMPORARY EMPLOYEE RECORDS . SEE PERSONNEL RECORDS (OFFICIAL COPY) TEXT MESSAGES, 78 TIME SHEETS, CARDS, AND ATIENDANCE RECORDS, 28 TRACKING MATERIALS, 16 TRAINING RECORDS, EMPLOYEE, 63 TRAVEL REIMBURSEMENTS, 28 TRAVEL REQUESTS, 17 TSERS MONTHLY REPORTS. SEE GOVERNMENT EMPLOYEES RETIREMENT SYSTEM MONTHLY REPORTS u UNEMPLOYMENT COMPENSATION CLAIMS, 64 UNEMPLOYMENT COMPENSATION REPORTS, 64 UNEMPLOYMENT INSURANCE, 64 UTILITY USAGE LOG. SEE EQUIPMENT, FACILITY, AND VEHICLE USAGE RECORDS 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, 6 VEHICLE REGISTRATION CARDS, 17 VEHICLE TITLES, 48 VEHICLE USAGE RECORDS, 6 VENDORS, 29 VERIFICATION OF EMPLOYMENT RECORDS, 64 VETERANS COMMISSION QUARTERLY REPORTS. SEE REPORTS AND STUD IES VOiP RECORDS, 41 VOLUNTEER RECORDS, 64 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 IN SPECTION RECORDS WEB MANAGEMENT AND OPERAT IONS RECORDS: STRUCTURE, 42 WEBSITE (ELECTRONIC), 69 WORK ORDERS, 17 WORK SCHEDULES AND ASSIGNMENT RECORDS, EMPLOYEE, 64 WORKERS' COMPENSATION PROGRAM ADMINISTRATION , 65 93 WORKERS' COMPENSATON PROGRAM CLAIMS, 65 WORKFORCE DEVELOPMENT LOCAL AREA JOB TRAINING PLAN RECORDS, 74 WORKFORCE DEVELOPMENT AUDIT/AUDIT RESOLUTIONS, 74 WORKFORCE DEVELOPMENT PARTICIPANT RECORDS, 74 WORKFORCE DEVELOPMENT RECORDS, 74 WORKSHOPS, 67 94 Board Meeting Agenda Item Agenda Item .5-F MEETING DA TE: May 20, 2019 TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: Neills Creek Park Tennis Court Project-Change Orders REQUESTED BY: Carl Davis, Parks and Recreation Director REQUEST: Parks and Recreation request approval of two change orders for the Neills Creek Park Tennis Court Project. Change Order#l is due to the discover of an area of 97 cubic yards of unsuitable soils. Soils need to be stripped and replaced with suitable soils at an additional cost of $14,550. Change Order #2 is to add an additional one inch of asphalt. Plan called for two 1" lifts (2inches of total asphalt). Change Order calls for two 1.5" lifts (3 inches of total asphalt) at an additional cost of$13,500. FINANCE OFFICER'S RECOMMENDATION: COUNTY MANAGER'S RECOMMENDATION: C:\Users\gwheeler\AppData\Loca l\M icrosoft\ Wind ows\!NetCach e\Cont ent.O utl ook\OZM K66X9\agendafonn20 19 _ NCP tennis court cha nge orde rs.docx Page l of I Change Order No . t· Dat e of Issuanc e: __ Y...!....!_{_t _u...:...'1 _:_(_L_o__.:_( a---''IL._ __ _ Effective Date : ----------------- Owner's C o ntract No.: Contract : Date of Contract : Engineer's Project No.: The Contract Documents are modified as follows upon execution of this Change Order: Attachments (list documents supporting change): 07 -, c..u CHANGE IN CONTRACT PRlCE: CHANGE JN CONTRACT TIMES: Original Contract Price: Original Contract Times: Q ... working D Calendar days Substantial completion (days or date): ____ _ Read y for tinal payment (days or date): ____ _ I~] [Decrease] from previou s ly approved [Increa se] [Decrease] from previously approved Change Orders Change Orders No. _,_ to No. _j_: No . to No. Substantial completion (day s):-------- $. _______ _ Ready for final payment (days ): _______ _ Contract Price prior to thi s Change Order: Contract Times prior to this Change Order : Substantial completion (da ys or date): ____ _ Read y for tinal payment (days or date): ____ _ j lm:rea sej [Decrea se] or thi s Change Order: [Increa se] [Decreas ej of this Change Order: t 1./, _c; .'5 0 ~ $ _________ _ f orytract Price incorporating this Change Substantial completion (day s or date): ____ _ Read y for final pa yment (days or date): ____ _ Contract Tim es with all approved Ch ange Orders: Substanti al comrletion (day s or date): ____ _ Read y for final pa yment (da ys or date): ____ _ ACCEPTED: By:-------- O wner (Auth orized S ignature ) ACCEPTED: 1 , R): C,.U41.J~- C o111ra ctor (Authorized Signature) Date : 05.<;%.l'7 Date: ________ _ Date : YU~ (1..Dl"i Approved by Funding Agency (if applicable): Date : __ <~~~=---J] l·:.WOC C-9~1 Chan,:t Order l'r<11arrd hy lht· [n J!it>rer, .Joint Conlrnct Dncm11ent\ Committee and endorsed hy tht Cou,rruc tiun /.pel"ifir•tion, ln,tilute. l'Hl:t I uf 2 May I , 2019 Mr. Tim Reese r PGA Constrnction pgac.:o nstru c t(a,aol .c om Report of Observations Neill's Creek Park Tennis Courts Angier, North Carolina Our Project Number 121-19-97050 Gentlemen : · •TECH ENGIN Cf RS •tN ( ~t f'll1tl1111,.1/ / II..JUl,('111./ 1 n, 11,,11111. 111.,1 C ·1mt11/it11[! ('0!1>:f 11101011 \/,1tr11,,lt I, \ll"J As requested , a representati ve of Terra T ec h Engineers , Inc . was present onsite on April 29, 201 9 10 perform evaluations of the exposed subgrade soils in the area of the proposed tennis court pad at the above referenced project. Our evaluations consisted of v isual obser vations, hand rod probing, and proofrolling observations. Proofrolling was perfonned with a lo aded tandem axle dump truck to delineat e unstable areas prior to placement of strnctural fill. An isolated section of the subgrade so ils experienced excessive rutting and deflection beneath the proofroll load in the area mentioned above. Hand rod probing reveal ed soft, wet soil s to a depth of approximately I foot below the current ground elevation . As recommended, the soft, wet soils were remo ved prior to plac ement of structural fill. The approximate volume of soft , wet soils removed from the referenced area was 97 cubic yards. Structural fill should be placed and compacted in accordance with the Project Specifications. We note that exposure to the environment may weaken the subgrade so il s . If the subgrade becomes softened due to inclement weather conditions, the surface soils should be recompacte d or removed and replaced prior to placement of structural fill. If you have any questions concerning thi s information, please contact us. Sincerely, TerraTech E nginee rs, Inc. -·-:-' . \ : ;.· .... ;./ • I/ 4!..1 / ·.·-· '" -'\f.. 1•,.J ,!-I • / William D . Oakes, G.J.T. Project Manager WDO/sk ·1 crraTcch L:.nginccrs. Inc . NC' l·.n!linccri ng C'o rp . C'-135(, I NC Geo logy Coq,. C-SM) 4905 Prn ti.-~s ion a l l'n urt. Ra lci!(h. North Carolina 27<,09 ( 9 I 9) fl.7(,.l/799 Date oflssuanoo:-. '5(7 /zo /Cf. Owner: Contract: Effeetive Date, i I Chang~ Order I No. 2. --------------- 1 Owner's Contract No.: Date of Contract: Contractor: C . Of,.. ( 0 L D..,, ~ ~ ~WIS-.::Pfc. Engineer's Project No.: The Contract Documents are modified as follows u on execution of this Chan e Order: Attachments (list documents supporting_ change): CHANGE IN CONTRACT PRICE: Original Contract Price: rn(c;~e] [Decrease] from previously approved cfiange Orders No . __Q_ to No . _I_: s __ J l(_1_5_5_0_, oa_ Contract Price prior to this Change Order: s 2 8(, 8 '7 2. , SD e] [Decrease] of this Change Order: s / 3,500, 60 go.I?tract Price incorporating this Change CHANGE IN CONTRACT TIMES: Original Contract Times: Q.~Working D Calendar days Substantial completion (days or date):----- Ready for final payment (days or date): ___ _ [Increase] [Decrease] from previously approved Change Orders No. to No._. Substantial completion (days):------- Ready for final payment (days):------- Contract Times prior to this Change Order: Substantial completion (days or date): ____ _ Ready for final payment (days or date): ___ _ [Increase] [Decrease] of this Change Order: Substantial completion ( days or date):----- Ready for final payment (days or date): ___ _ Contract Times with alt approved Change Orders: Substantial completion (days or date):----- $ 3 'f 5":, 3q;i._ · SO Ready for final payment (days or date): ___ _ RECOMMENDED: ACCEPTED: ACCEP!E~~ By: ~$~ --By: By: C .. ~ ~ EJneer(Autho~ture) Owner (Authorized Signature) Contractor (Authorized Signature) Date.: O&,/q1t,/19 D.at~: Date.~ 5( t 7 ( l. CJ I ~ Approved by Funding Agency (if applicable): EJCDC c~ 1 Oaaage Order Prepared by tbc E11glnttrs Jolat Contract Documents Committee and endorsed by tbc Construction Speclficatiom ID5Cit1llt. P e 1 of2 '-rielsincofpmer@grnaiLCXJm Office 919-T72..,tJ393, Cdl 91~167S DAN1EIS INC. OF GARNER 1975 USHWY70E GARNER, NC 27529 I ,-. -. ---., I -------~ ---'·'-'·-------· ----· I C. Blake lewis, Jnc \ 4733 01d us Highway 64 East / Zebulon. NC 275fJ7 I i Est mate r·-·--·--..--....... ---- . Dae 11:stimate # f ·--·----<J--'----....1 Sf1/2019 S90 . ····· ....... --.. _____ _, r.:: .··· .. · -~.: _ Desaiplp.·:;1 ~· · · .. · ·. · Qty r-~--~--T--· 1~ · 1 I ... \ • . I ""N-eil-. ';...s C-reck--Park---T~is couns --'----· ·--..i..·""...._..:.--...J..! --· ; --, Pave appn,zimarely "'80 tons of 9.S B ~ @3• dqida Patch up lo Fence Post 13S.OO ' 2,.500.00 . I I S4,00Q.OCJ I 2,S00.00 i ---------·----------__;~--t-----~~-----! Additional I 00 tons of 95 B Asphalt to adticllc 3 " clq,di of pmng 100 / PAYMEHTlERt.ts AR.ENET 30 DAYS R>RM 1HE DATEOFlHE INVOICE. ALL PAST DUE INVOICES ARE SUBJECr 10 A l-112" PER MONllf ·---..... ---·· ···-~CRARriE ···· ......... .. 13S.OO · l l l l i I I i I ( I I l 1 ' i i l i l I m.000.00 I :..==:::::=============:::::=============:=:::::=::=-=::::'_. _____ ·'-----·------·--·---·---·-. _ _J To..._,.._.._........ s ... _._..__ ••111,1111.11111t111wia1r1111s1111•••111111101.i--L ,, .... 1 I i I i I Board Meeting Agenda Item Agenda Item :5 -G- MEETING DA TE: May 20, 2019 TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: LSTA 2018-19 Edge Technology Grant REQUESTED BY: Angela McCauley, Harnett Co. Library REQUEST: The Harnett County Public Library respectfully requests permission to accept the LST A Edge Technology Grant in the amount of $7478. Grant funds will be used to purchase technology tools and equipment to improve and increase community access to technology and digital learning. This is a reimbursement grant and there is no county match required. FINANCE OFFICER'S RECOMMENDATION: COUNTY MANAGER'S RECOMMENDATION: S:\staffdoc\Angela\LibraryDirector\contracts\Agenda Requests\Agenda Reque st-2019 Edge Technology Grant.docx Page I of I DocuSign Envelope ID: 1FA68DEA-CB36-4B59-949C-B817F7B33A90 GRANT AGREEMENT LSTA 2018-2019 Edge Technology Grant State Project Code: NC-18-68 Harnett county Public Library This is an agreement by and between , hereinafter referred to as "the Library," and the State Library of North Carolina, Department of Natural and Cultural Resources, hereinafter referred to as the "State Library." Institution and/or Library Name: Harnett county Public Library Mailing address: PO Box 1149 / Phyi sea 1 Address 601 s. Main st City, State, ZIP: Lil 1 i ngton NC 27546 ' Project manager name/title: Joanna Cox Project manager telephone : 910-814-6344 Project manager email: jrcox@harnett.org DUNS number: 159665603 Federal Employer Identification Number: 56-6000306-J Indirect cost rate for this award: N I A Library fiscal year ending date: June 30 Federal Award Identification Information required by 2 CFR 200.331 Federal Award ID number: LS-00-18-0034-18 Federal Award Date: April 5, 2018 Grant Award Period Start and End Date: July 1, 2018 -June 30, 2019 Amount of Federal F unds Obligated by this Action: $_7_4_7_8 ___ _ Federal Award Project Description as required by FF AT A: LST A State Grants Contact information for awarding official: Catherine Prince, Federal Programs Consultant, State Library of North Carolina, 4640 Mail Service Center, Raleigh, NC, 27699-4600, 919-814-6796 catherine.prince@ncdcr.gov. CFDA Name / Number: LST A State Grants / 45.310 This award is not R&D. The State Library has agreed to fund this grant with federal Library Services and Technology Act (LST A) funds to be disbursed through North Carolina Accounting System accounting fund 46011495410145. IN CONSIDERATION OF RECEIVING THE ABOVE REFERENCED GRANT FUNDING, THE LIBRARY HEREBY AGREES TO: 1. Accept and administer an LST A grant from the State Library in the amount of $_7_4_7_8 __ _ for costs associated with the project represented in the Library's grant application, grant award letter, and any amendments thereto. 2. Abide by all Grant Provisions as certified in this document and the grant application; including any certifications submitted with this grant agreement such as Children's Internet Protection Act (CIPA) Compliance and Certification Regarding Debannent and Suspension; Lobbying; Federal Debt Status; and Nondiscrimination. 2018-2019 LSTA Gra nt Agreement page l of6 DocuSign Envelope ID: 1FA68DEA-CB36-4B59-949C-B817F7B33A90 3. Regularly inform the State Library on the progress of project activities as defined in the grant application. 4. Encumber and expend project funds (grant and matching) • only upon or after the effective date of this grant agreement and before its termination; • in accordance with the project budget as submitted with the project application, or as modified in the grant award letter, or as amended and approved by the State Library; and • in accordance with all applicable local, state and federal laws and regulations . 5. Expend project funds in a manner that ensures free and open competition. 6. Submit grant reimbursement requests with appropriate documentation of eligible project expenditures (grant and matching) as defined in the grant application. 7. Complete all project expenditures (grant and matching) by July 31, 2019, or by the termination date of this agreement as amended by mutual consent. 8. On or before August 16, 2019, submit a final request for reimbursement. 9. If eligible, the Library and all subgrantees shall: (a) ask the North Carolina Department of Revenue for a refund of all sales and use taxes paid by them in the performance of this Contract, pursuant to N.C.G.S . 105-164.14; and (b) exclude all refundable sales and use taxes from all reportable expenditures before the expenses are entered in their reimbursement reports. I 0 . Request prior written approval from the State Library for any equipment with a per unit price above $5 ,000. Li st this equipment on the State Library Annual Equipment Tracking Survey, provided each January, for the remainder of its useful life. If fair market value at the time of surplus or dis pos al exceeds $5,000 , disposal must be cleared with the State Library. 11 . Acknowledge the Institute o f Museum and Library Services in all related publications and activities in conjunction with the use of grant funds as follows : "Thi s publication/activity/program/etc. was supported by grant funds from the Institute of Museum a nd Library Services under the provisions of the federal Library Services and Technology Act a s administered by the State Library of North Carolina, a divi s ion of the Department of Natural and Cultural Re sources." Submit a copy of any publications or materials produced under the grant to the State Library. 12 . Provide library services resulting from the grant to all members of the community served, in compliance with all Federal statutes relating to non-discrimination on the basis ofrace, color, national origin, sex, handicap, or age. I 3. Request prior written approv al from the State Library for any subcontracting or a ssignment to any subgrantee or a ssignee. Neither the Library nor any subgrantee or assignee is relieved of the duties and respons ibilities of this agreement. Subgrantees and assignees agree to abide by the terms of this agreement and mus t provide all information necessary for the Library to comply with the terms of this agreement. 14. Only approved, awarded expenditures are allow able; any fund s not expended a s defined in the grant application will be repurposed by the State Library upon termination of this agreement. 15 . Submit a final report to the State Library by August 30, 2019, providing a description of project expenditures, a narrative of project acti vities, and other elements required b y the funder. 16. Certify upon completion of the grant that grant funds were received , us ed, and expended for the purposes for which they were granted. 2018-20 19 L STA Grant Agreeme nt page 2 of 6 DocuSign Envelope ID: 1 FA68DEA-CB36-4B59-949C-B817F7B33A90 17. Complete the Single Audit Certification as directed and maintain adequate financial records to ensure complete reporting, and retain programmatic, financial, and audit records relating to the grant for a minimum of three years from the due date of the final grant report at the end of the Five Year Plan, or until all audit exceptions have been resolved, whichever is longer. Provide access upon request to the Department of Natural and Cultural Resources, Office of the State Auditor, Institute of Museum and Library Services and the Comptroller General or their designees, to all records and documents related to the award, including audit work papers in possession of any auditor of the Library. 18. Ensure that grant funds are audited in compliance with state and federal audit requirements for local governments and public authorities, institutions of higher education, and non-profit organizations, and , as applicable, according to the standards of 2 CFR 200 , Subpart F -Audit Requirements, as supplied by the Executive Office of the President, Office of Management and Budget, Washington, DC. 19 . Comply with the requirements ofNorth Carolina General Statute 143C-6-23: "State grant funds: administration; oversight and reporting requirements" and the corresponding rules of North Carolina Administrative Code, Title 9, Subchapter 03M, "Uniform Administration of State Grants," including submission of required financial reports within six months (or nine months for $500,000 threshold) of the end of the Library's fiscal year(s) in which grant funds are received . 20 . The State Auditor and the using agency's internal auditors shall have access to persons and records as a result of all contracts or grants entered into by State agencies or political subdivisions in accordance with General Statute 147-64.7 and Session Law 2010-194, Section 21 (i.e., the State Auditors and internal auditors may audit the records of the contractor during and after the term of the contract to verify accounts and data affecting fees or performance). 21. File with the State Library a copy of the Library's policy addressing conflicts of interest that may arise involving the Library's management employees and members of its board of directors, commissions, or other governing body. The policy shall address situations in which any of these individuals may directly or indirectly benefit, except as the Library's employees or members of it s board , commissions, or other governing body, from the Library's disbursing of grant funds and local matching funds and shall include actions to be taken by the Library or the individual, or both, to avoid conflicts of interest and the appearance of impropriety. (N.C.G.S. 143C-6-23(b)). The policy shall be filed before the State Library may disburse the grant funds , unless the Library is covered by the provisions ofN.C.G.S. 160A-479. l l and 14-234. 22. File with the State Library the Library's sworn written statement completed by the Library's board of directors or other governing body stating that, pursuant to N.C.G.S . 143C-6-23(c), the Library does not have any overdue tax debts, as defined by N.C.G.S. 105-243.1, at the federal, State, or local level. The policy shall be filed before the State Library may disburse the grant funds , unless the Library is covered by the provisions ofG.S. 160A-479.1 land 14-234. THE STATE LIBRARY AGREES TO: 1. Award LST A grant funds to the Library in the amount and under the terms and conditions stated above, subject to the availability of funds . 2. Pay LST A grant funds upon receipt of reimbursement requests for approved, awarded expenditures submitted quarterly by the Library. Pay by June 30, 2019, all approved requests received on or before April 15, 2019, and by August 31, 2019, all approved requests received by July 15 , 2019. 20 18-2019 LSTA Grant Agreement page 3 of6 DocuSign Envelope ID: 1 FA68DEA-CB36-4B59-949C-B817F7B33A90 3. Assist the Library as appropriate and necessary with the implementation of this project. Provide monitoring and oversight through a combination of periodic emails, calls, visits, and review of reimbursement requests and reports. 4. Report on this project to the federal funding agency, the Institute of Museum and Library Services, and the North Carolina Office of State Budget and Management in accordance with all applicable federal and state requirements. THIS AGREEMENT is in effect upon signing by all parties. It may be amended, if necessary, upon the mutual acceptance of a written amendment to this agreement signed and dated by the Library and the State Library. Such amendment(s) shall state any and/or all change(s) to be made. This agreement may be terminated by mutual consent with 60 days' prior written notice or as otherwise provided by law. Returning signed agreements signifies accepting the grant award; awards not accepted by June 14,2019 may be withdrawn. [Please sign below.] Angela McCauley Printed Name X Signature, Local Government or Institutional Representative Printed Name X Signature, Timothy G. Owens, State Librarian 2018-2 01 9 LSTA Grant Ag reement Date Title Date . . . . . . . . . . . . . . page4 of 6 :c en rn-:ai:> mz DocuSign Envelope ID: 1 FA68DEA-CB36-4B59-949C-B817F7B33A90 GRANT PROVISIONS The following state and federal provisions apply to the LSTA grant program . Libraries awarded grants must agree to comply with these provisions. 1. Grant Agreement and Timing of Expenditures Official notification of the grant award must be received from the State Library and a grant agreement (formal agreement between the grantee and the State Library) signed by both the representatives of the library and the State Librarian before any funds may be encumbered or expended for the project. 2. Allowable and Unallowable Costs Grantees must carry out the grant project according to the approved grant application, and all federal funds must be expended solely for the purpose for which a grant was awarded . The following costs are unallowable and may not be proposed as grant project costs : bad debts, contingencies, contributions and donations, entertainment, fines and penalties, under recovery of costs under grant agreements (excess costs from one grant agreement are not chargeable to another grant agreement). 3. Legal and Regulatory Compliance Grantees must expend grant funds in accordance with all applicable local , state, and federal laws and regulations. 4. Budget Revisions and Programmatic Changes Grantees must not deviate from the approved budget and plan for carrying out the grant project as contained in the approved grant application unless prior approval is obtained from the State Library. 5. Records Retention Grantees must maintain adequate records to ensure complete reporting , and retain programmatic and financial records relating to the grant for a minimum of three years from the due date of the final grant report at the end of the Five Year Plan, or until all audit exceptions have been resolved, whichever is longer. 6 . Free and Open Competition Purchases made from grant funds must be carried out to ensure free and open competition to the extent possible. Libraries eligible to purchase under state contract may use this option for grant purchases. 7. Debarment & Suspension Transactions for the purposes of this grant will not knowingly be made with parties who have been debarred or suspended from receiving Federal financial assistance under Federal programs and activities (Debarment and Suspension Certification). See Excluded Parties List System at https://www.sam .gov . 8. Equipment Purchases and Inventory Equipment with a per unit price above $5,000 requires advance written approval from the State Library. If fair market value at the time of surplus or disposal exceeds $5,000, disposal must be cleared with the State Library . 9 . Publicizing & Acknowledging Funds Grantees are required to credit IMLS/LSTA in all related publications and activities in conjunction with the use of grant funds . Grantees should publicize grant-supported activities in available and appropriate media. The following statement must be used when meeting these requ irements: "This publication/ activity/program was supported by grant funds from the Institute of Museum and Library Services under the provisions of the federal Library Services and Technology Act as administered by the State Library of North Carolina, a division of the Department of Natural and Cultural Resources." Copies of any publications or materials produced under the grant must be submitted to the State Library . IMLS logos are available at http://www .imls.gov/recipients/imls acknowledqement.aspx 10. Lobbying Grantees are prohibited by federal law from using grant funds to pay costs associated with lobbying Congress or the public for purposes of influencing elections, legislation, or the award of any federal funds . Grantees receiving an award of over $100,000 must file a certification regarding lobbying . 11. Non-discrimination All library services provided as a result of federal grant funds must be available without discrimination to all members of the community served. Participation may not be denied on the basis of race, color, national origin, handicap, age, or sex. Relevant legislation includes but is not limited to the following: Title VI of the Civil Rights Act of 1964 (42 U.S .C. 2000d through 2000d-4 ); Title IX of the Education Amendments of 1972 (20 U.S .C. 1681-1683); Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794); The Age Discrimination Act (42 U .S .C. 6101 et. seq); 45 CFR 1110 -Nondiscrimination in federally assisted programs; 45 CFR 1170 -Nondiscrimination on the basis of handicap in federally assisted programs and activities ; 45 CFR 1181 -Enforcement of nondiscrimination on the basis of handicap in programs or activities conducted by the Institute of Museum and Library Services. 12. Trafficking in Persons Grantees must comply with 22 U .S.C . § 7104(9) which prohibits engaging in trafficking in persons, procuring a commercial sex act, or using forced labor. 13. Audit and Financial Reporting Requirements LST A grants must be audited in compliance with federal and state audit requirements for local governments and public authorities , institutions of higher education, and non-profit organizations. The following source documents outline the standards and requirements : • United States Office of Management and Budget (0MB) 2 CFR 200, Subpart F -Audit Requirements • North Carolina General Statute 143C-6-23 "State grant funds: administration ; oversight and reporting requirements ," and the corresponding rules of North Carolina Administrative Code, Title 09, Chapter 03M, "Uniform Administration of State Grants." LEGAL REFERENCES : • 2 CFR 200 Uniform Administrative Requirements, Cost Principles , and Audit Requirements for Federal Awards [address grants and cooperative agreements perta ining to institutions of higher education, states, local governments, Indian tribes, and nonprofit organizations] • 2 CFR Part 3185 -Nonprocurement debarment and suspension • 2 CFR 3186 -Requirements fo r druQ-free workp lace 2 01 7-201 8 LST A Grant Agreement page 5 of 6 DocuS ign Envelope ID: 1FA68DEA-CB36-4859-949C-B817F7833A90 CERTIFICATION REGARDING DEBARMENT AND SUSPENSION; LOBBYING; FEDERAL DEBT STATUS; AND NONDISCRIMINATION 1. DEBARMENT AND SUSPENSION The grantee shall comply with 2 CFR Part 3185 . The undersigned, on behalf of the grantee, certifies to the best of his or her knowledge and belief that neither the grantee nor any of its principals: (a) Are presently excluded or disqualified; (b) Have been convicted within the preceding three years of any of the offenses listed in 2 CFR section l 80.800(a) or had a civil judgment rendered against you for one of those offenses within that time period; (c) Are presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses listed in 2 CFR section 180.800(a); or (d) Have had one or more public transactions (Federal, State, or local) terminated within the preceding three years for cause or default. Where the grantee is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this submission. The grantee is required to communicate the requirement to comply with 2 CFR Part 180 Subpart C (Responsibi1ities of Participants Regarding Transactions Doing Business With Other Persons) to persons at the next lower tier with whom the grantee enters into covered transactions. 2.LOBBYING As required by Section 1352, Title 31 of the United States Code, and implemented for persons entering into a grant or cooperative agreement over $100,000, the grantee certifies to the best of his or her knowledge and belief that: (a) 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 an 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 the awarding of a Federal contract, the making of a Federal grant, the making of a Federal loan, the entering into of a cooperative agreement, or the extension, continuation, renewal, amendment, or modification of a Federal contract, grant, loan, or cooperative agreement. (b) If any funds other than appropriated Federal funds have been paid or will be paid to any person (other than a regularly employed officer or employee of the grantee) for influencing or attempting to influence an 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 this Federal contract, grant, loan, or cooperative agreement, the undersigned shall request, complete, and submit Standard Fonn LLL, "Disclosure of Lobbying Activities," in accordance with its instructions. (c) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. page 1 of2 DocuSign En velope ID: 1 FA68DEA-CB36-4B59-949C-B817F7B33A90 3. FEDERAL DEBT STATUS The undersigned, on behalf of the grantee, certifies to the best of his or her !mow ledge and belief that the grantee is not delinquent in the repayment of any Federal debt. 4 . NONDISCRIMINATION As required by the Civil Rights Act of 1964, the Rehabilitation Act of 1973, the Education Amendments of 1972, and the Age Discrimination in Employment Act of 1975, as implemented at 45 C .F .R. Part 1180.44, the undersigned, on behalf of the grantee, certifies that the grantee will comply with the following nondiscrimination statutes and their implementing regulations: (a) Title VI of the Civil Rights Act of 1964, as amended (42 U.S .C . § 2000 et seq.), which provides that no person in the United States sha11, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or otherwise be subject to discrimination under any program or activity receiving Federal financial assistance; (b) Section 504 of the Rehabilitation Act of 1973 , as amended (29 U.S.C. § 701 et seq.), which prohibits discrimination on the basis of disability in Federally-assisted programs; ( c) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§ 1681-83, 1685-86), which prohibits discrimination on the basis of sex in education programs and activities receiving Federal financial assistance; (d) The Age Discrimination in Employment Act of 1975 , as amended (42 U.S.C. § 6101 et seq.), which prohibits discrimination on the basis of age in Federally-assisted programs; The undersigned further provides assurance that it will include the language of these certifications in all subawards and that all subrecipients shall certify and disclose accordingly. As the duly authorized representative of the grantee, I hereby certify that the grantee will comply with the above certifications. · Signature of Authorized Certifying Official Print Name and Title of Authorized Certifying Official Date Certification Regarding Debannent and Suspension; Lobbying; etc. ··········-~-......... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ···-·.··.·.·.·.·.· ·:·0 ·.·.·.·.·:: . . . . .... . . .. . . ... . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .___~....._, page 2 of2 Agenda Item 5 ... H Ha rnett NORTHWEST HARNETT ELEMENT ARY SCHOOL PROJECT CO UNTY CAPITAi PHQIFCI QRDINANCE www.harnett .org BE IT ORDAINED by the Board of Commissioners of Harnett County, North Carolina, sitting as the governing board for Hamett County. Section I. Section 2. Section 3. Section 4. Section 5. Section 6. Section 7. Section 8. Section 9. This project consists of the purchase of land for and construction of a new elementary school to be known as Northwest Hamett Elementary School. The new Northwest Hamett Elementary School will have capacity to accommodate up to l 050 students. The officers of this unit are hereby directed to proceed with the capital project within the terms of the loan documents and the budget contained herein. The following amounts are hereby appropriated for this project: Construction Construction -Site Work Land Engineering/Design Surveying Geotechnical Furnishings Contingency Total $ 20,469,240 4,548,720 2,000,000 1,501,078 40,000 75,000 500,000 500.359 $.2.2.634.397 The following revenues are anticipated to be available to complete this project: Debt Proceeds Special Revenue (Lottery Funds) Total $ 27 ,634 ,397 2,000,000 $ 29,634.397 The Finance Officer is hereby directed to maintain within the Capital Project Fund sufficient specific detailed accounting records to satisfy the requirements of the loan agreements and federal regulations. Funds may be advanced from the General Fund for the purpose of making payments as due. The Finance Officer is directed to report, on a quarterly basis, on the financial status of each project element in Section 3. The Budget Officer is directed to include a detailed analysis of past and future costs and revenues on this capital project in every budget submission made to this Board. Copies of this capital project ordinance shall be furnished to the Clerk to the Governing Board, and to the Budget Officer and the Finance Officer for direction in carrying out this project. Duly adopted this 20th day of May 2019. ATTEST: Gordon Springle, Chairman Margaret Regina Wheeler, Clerk to the Board strong roots • new growth Hamett County Board of Commissioners Agenda Item S -I. EXTRACTS FROM MINUTES OF BOA RD OF COMMISSIONERS A regular meeting of the Board of Commissioners (the "Board'') of the County of Hamett, North Carolina was held on May 20, 2019, at 6:00 p.m. in the County Commissioners ' Meeting Room, Hamett County Administration Building, 420 McKinney Parkway, Lillington, North Carolina, Gordon Springle, Chairman of the Board, presiding and the following Commissioners present: The following members were absent: Also present: * * * Commissioner moved that the following resolution (the "Resolution"), a copy of which was available with the Board and which was read by title: RESOLUTION OF THE COUNTY OF HARNETT, NORTH CAROLINA DECLARING THE INTENT OF THE COUNTY OF HARNETT, NORTH CAROLINA TO ISSUE APPROXIMATELY $28,000,000 GENERAL OBLIGATION SCHOOL BONDS TO FINANCE NW HARNETT ELEMENTARY SCHOOL, AS REQUESTED BY THE BOARD OF EDUCATION OF HARNETT COUNTY, AND TO REIMBURSE ITSELF FOR CAPITAL EXPENDITURES INCURRED IN CONNECTION WITH THE ACQUISITION AND CONSTRUCTION OF NW HARNETT ELEMENTARY SCHOOL FROM THE PROCEEDS OF SUCH GENERAL OBLIGATION SCHOOL BONDS EXPECTED TO BE ISSUED IN FISCAL YEAR2020. WHEREAS, the Board of Education of the County of Hamett (the "Board of Education ") has reques ted that the Board of Commissioners (the "Board") of the County of Hamett, North Carolina (the "Co unty ") iss ue approximately $28,000,000 of tax-exempt general obligation school bonds (the "Bonds") in order to finance the acquisition and construction of NW Hamett Elementary School (the "Project "), purs uant to the bond order adopted by the Board on July 21, 2014 and effective on approval by the voters of the County at a referendum duly held on November 4 , 2014; and WHEREAS, the County intends to proceed with the Project and expects to in c ur and pay certain expenditures in connection with the Project prior to the date of is s uance of the Bonds (the "Original Expenditures"), s uch Original Expenditures to be paid for originally from a so urce other than the proceeds of the Bonds, and the County intends, and reasonably expects, to be reimbursed for s uch Original Expenditures from a portion of the proceeds of the Bonds to be issued at a date occurring after the dates of s uch Original Expenditures; NOW, THEREFORE, BE IT RESOLVED by the Board of Commissioners of the County of Harnett, North Carolina as follows: PPAB 3 139930v l Section I. Official Declaration of Intent. The County presently intends, and reasonably expects, to reimburse itself for the Original Expenditures incurred and paid by the County on or after the date occurring 60 days prior to the date of adoption of this Resolution from a portion of the proceeds of the Bonds. The County reasonably expects to issue the Bonds in the fi scal year ending June 30, 2020, and the maximum principal amount of Bonds reasonably expected to be issued by the County to pay for all or a portion of the costs of the Project, which amount is subject to change, is expected to be approximately $28,000,000. Section 2. Compliance with Regulations. The County adopts this Resolution as a declaration of official intent under Section I .150-2 of the Treasury Regulations promulgated under Section l 03 of the Internal Revenue Code of 1986, as amended, to evidence the County's intent to reimburse itself for the Original Expenditures from proceeds of the Bonds. Section 3. Itemization of Capital Expenditures. The Finance Officer of the County, with advice from special counsel, is hereby authorized, directed and designated to act on behalf of the County in determining and itemizing all of the Original Expenditures incurred and paid by the County in connection with the Project during the period commencing on the date occurring 60 days prior to the date of adoption of this Resolution and ending on the date of issuance of the Bonds. Section 4. Effective Date. This Resolution is effective immediately on the date of its adoption. On motion of Commissioner , seconded by Commissioner ____ _ the foregoing resolution entitled "RESOLUTION OF THE COUNTY OF HARNETT, NORTH CAROLINA DECLARING THE INTENT OF THE COUNTY OF HARNETT, NORTH CAROLINA TO ISSUE APPROXIMATELY $28,000,000 GENERAL OBLIGATION SCHOOL BONDS TO FINANCE NW HARNETT ELEMENTARY SCHOOL, AS REQUESTED BY THE BOARD OF EDUCATION OF HARNETT COUNTY, AND TO REIMBURSE ITSELF FOR CAPITAL EXPENDITURES INCURRED IN CONNECTION WITH THE ACQUISITION AND CONSTRUCTION OF NW HARNETT ELEMENTARY SCHOOL FROM THE PROCEEDS OF SUCH GENERAL OBLIGATION SCHOOL BONDS EXPECTED TO BE ISSUED IN FISCAL YEAR 2020" was duly adopted by the following vote: AYES: NAYS: PPAB 3 139930vl STATE OF NORTH CAROLI NA COUNT Y OF HARNETT ) ) ) ss: I, MARGA RET R EGI NA WH EEL ER, Clerk to the Board of Commissioners of the County of Hamett, N orth Carolina, DO HEREBY CERTIFY that the foregoing is a true and exact copy of a resolution entitled "RESOLUTION OF THE COUNTY OF HARNETT, NORTH CAROLINA DECLARING THE INTENT OF THE COUNTY OF HARNETT, NORTH CAROLINA TO ISSUE APPROXIMATELY $28,000,000 GENERAL OBLIGATION SCHOOL BONDS TO FINANCE NW HARNETT ELEMENTARY SCHOOL, AS REQUESTED BY THE BOARD OF EDUCATION OF HARNETT COUNTY, AND TO REIMBURSE ITSELF FOR CAPITAL EXPENDITURES INCURRED IN CONNECTION WITH THE ACQUISITION AND CONSTRUCTION OF NW HARNETT ELEMENTARY SCHOOL FROM THE PROCEEDS OF SUCH GENERAL OBLIGATION SCHOOL BONDS EXPECTED TO BE ISSUED IN FISCAL YEAR 2020" adopted by the Board of Commi ssioners of the County of Harnett, North Carolina, at a meeting held on the 20th day of May, 2019. WITNESS my hand and the corporate seal of the County of Hamett, North Carolina, this the _ day of May 2019 . PPAB 3 139 930v l MAR GARET REGINA WH EE LER Clerk to the Board County of Hamett, North Carolina Agenda Item 5-::S Harnett ERWIN ELEMENT ARY SCHOOL PROJECT CA.PTT.U I PRQIFCI QROTNA,NCE ----=--... C O U N T Y NORTH CAROLINA www.harnett.org BE IT ORDATNED by the Board of Commissioners of Hamett County, North Carolina, sitting as the governing board for Hamett County. Section I. Section 2. Section 3. Section 4. Section 5. Section 6. Section 7. Section 8. Section 9. This project consists of demolition work of the old Erwin Elementary School and the construction of a new 700 student capacity Erwin Elementary School. The new Erwin Elementary School will combine the student populations from the current Erwin Elementary and Gentry Primary schools. The officers of this unit are hereby directed to proceed with the capital project within the terms of the loan documents and the budget contained herein. The following amounts are hereby appropriated for this project: Construction Construction -Site Work Demolition Engineering/Design Surveying Geotechnical Furnishings Contingency Total $ 16,963,200 3,482,840 1,000,000 1,226,762 25 ,000 25 ,000 350,000 408,92 1 .$_23 ,4 8 1. 723 The following revenues are anticipated to be available to complete this project: Debt Proceeds $__21,481.723 The Finance Officer is hereby directed to maintain within the Capital Project Fund s ufficient specific detailed accounting records to satisfy the requirements of the Joan agreements and federal regulations. Funds may be advanced from the General Fund for the purpose of making payments as due. T he F inance Officer is directed to report, on a quarterly bas is , on the financial status of each project element in Section 3. The Budget Officer is directed to include a detailed analysis of past and future costs and revenues on this capital project in every budget submission made to thi s Board. Co pies of this capital project ordinance shall be furnished to the C lerk to the Governing Board, and to the Budget Officer and the Finance Officer for direction in carrying out this project. Duly adopted this __ day of __ _, 2019. ATTEST: Gordon Springle, Chairman Margaret Regina Wheeler, C lerk to the Board strong roots • new growth Harnett County Board of Commissioners Agenda Item _S-=----=-1<----..; EXTRACTS FROM MINUTES OF BOARD OF COMMISSIONERS A regular meeting of the Board of Commissioners (the "Board') of the County of Harnett, North Carolina was held on May 20, 2019, at 6:00 p.m. in the County Commissioners' Meeting Room, Harnett County Administration Building, 420 McKinney Parkway, Lillington, North Carolina, Gordon Springle, Chairman of the Board , presiding and the following Commissioners present: The following members were absent: Also present: * * * Commissioner moved that the following resolution (the "Resolution"), a copy of which was available with the Board and which was read by title: RESOLUTION OF THE COUNTY OF HARNETT, NORTH CAROLINA DECLARING THE INTENT OF THE COUNTY OF HARNETT, NORTH CAROLINA TO ISSUE APPROXIMATELY $23,500,000 GENERAL OBLIGATION SCHOOL BONDS TO FINANCE ERWIN ELEMENTARY SCHOOL, AS REQUESTED BY THE BOARD OF EDUCATION OF HARNETT COUNTY, AND TO REIMBURSE ITSELF FOR CAPITAL EXPENDITURES INCURRED IN CONNECTION WITH THE ACQUISITION AND CONSTRUCTION OF ERWIN ELEMENTARY SCHOOL FROM THE PROCEEDS OF SUCH GENERAL OBLIGATION SCHOOL BONDS EXPECTED TO BE ISSUED IN FISCAL YEAR 2020. WHEREAS, the Board of Education of the County of Harnett (the "Board of Education") has requested that the Board of Commissioners (the "Board") of the County of Harnett, North Carolina (the "County") issue approximately $23,500,000 of tax-exempt general obligation school bonds (the "Bonds") in order to finance the acquisition and construction of Erwin Elementary School (the "Project"), pursuant to the bond order adopted by the Board on July 21 , 20 l 4 and effective on approval by the voters of the County at a referendum duly held on November 4 , 2014 ; and WHEREAS, the County intends to proceed with the Project and expects to incur and pay certain expenditures in connection with the Project prior to the date of issuance of the Bonds (the "Original Expenditures"), such Original Expenditures to be paid for originally from a source other than the proceeds of the Bonds, and the County intends, and reasonably expects, to be reimbursed for such Original Expenditures from a portion of the proceeds of the Bonds to be issued at a date occurring after the dates of s uch Original Expenditures; NOW, THEREFORE, BE IT RESOLVED by the Board of Commissioners of the County of Harnett, North Carolina as follows: Section 1. Official Declaration of Intent. The County presently intends, and reasonabl y expects , to reimburse itself for the Original Expenditures incurred and paid by the County on or after the date PPAB 3139930vl occurring 60 days prior to the date of adoption of this Resolution from a portion of the proceeds of the Bonds. The County reasonably expects to issue the Bonds in the fiscal year ending June 30, 2020, and the maximum principal amount of Bonds reasonably expected to be is s ued by the County to pay for all or a portion of the costs of the Project, which amount is subject to change, is expected to be approximately $23 ,500,000. Section 2. Compliance with Regulations. The County adopts this Resolution as a declaration of official intent under Section 1.150-2 of the Treasury Regulations promulgated under Section 103 of the Internal Revenue Code of 1986, as amended, to evidence the County's intent to reimburse itself for the Original Expenditures from proceeds of the Bonds . Section 3. Itemization of Capital Expenditures. The Finance Officer of the County, with advice from special counsel , is hereby authorized, directed and designated to act on behalf of the County in detennining and itemizing all of the Original Expenditures incurred and paid by the County in connection with the Project during the period commencing on the date occurring 60 day s prior to the date of adoption of this Resolution and ending on the date of issuance of the Bonds. Section 4. Effective Date. This Resolution is effective immediately on the date of its adoption . On motion of Commissioner , s econded by Commissioner ____ _ the foregoing resolution entitled "RESOLUTION OF THE COUNTY OF HARNETT, NORTH CAROLINA DECLARING THE INTENT OF THE COUNTY OF HARNETT, NORTH CAROLINA TO ISSUE APPROXIMATELY $23,500,000 GENERAL OBLIGATION SCHOOL BONDS TO FINANCE ERWIN ELEMENTARY SCHOOL, AS REQUESTED BY THE BOARD OF EDUCATION OF HARNETT COUNTY, AND TO REIMBURSE ITSELF FOR CAPITAL EXPENDITURES INCURRED IN CONNECTION WITH THE ACQUISITION AND CONSTRUCTION OF ERWIN ELEMENTARY SCHOOL FROM THE PROCEEDS OF SUCH GENERAL OBLIGATION SCHOOL BONDS EXPECTED TO BE ISSUED IN FISCAL YEAR 2020" was duly adopted by the following vote: AYES : NAYS : PPAB 3 I 39930v l STAT E OF NORTH CAROLI NA COUNTY OF HAR NETT ) ) ) ss: I, MARGARET REGI NA WH EELER, Clerk to the Board of Commissioners of the County of Hamett, North Carolina, DO HEREBY CERTIFY that the foregoing is a true and exact copy of a resolution entitled "RESOLUTION OF THE COUNTY OF HARNETT, NORTH CAROLINA DECLARING THE INTENT OF THE COUNTY OF HARNETT, NORTH CAROLINA TO ISSUE APPROXIMATELY $23,500,000 GENERAL OBLIGATION SCHOOL BONDS TO FINANCE ERWIN ELEMENTARY SCHOOL, AS REQUESTED BY THE BOARD OF EDUCATION OF HARNETT COUNTY, AND TO REIMBURSE ITSELF FOR CAPITAL EXPENDITURES INCURRED lN CONNECTION WITH THE ACQUISITION AND CONSTRUCTION OF ERWIN ELEMENTARY SCHOOL FROM THE PROCEEDS OF SUCH GENERAL OBLIGATION SCHOOL BONDS EXPECTED TO BE ISSUED IN FISCAL YEAR 2020" adopted by the Board of Commissioners of the County of Hamett, North Carolina, at a meeting held on the 20th day of May, 2019. WITNESS my hand and the corporate seal of the County of Harnett, North Carolina, this the _ day of May 2019. PPAB 3 139930v l MARG ARET REGfNA WHEE LER Clerk to the Board County of Harnett, North Carolina AGENDA ITEM 7 May 20, 2019 APPOINTMENTS NEEDED ADULT CARE HOME COMMUNITY ADVISORY COMMITTEE There are five (5) vacancies on this committee. BOARD OF HEAL TH There is (1) vacancy for an engineer position on this board. CEMETERY BOARD OF TRUSTEES Anne Marsh would like to be reappointed to serve on this board. HARNETT COUNTY REGIONAL JETPORT There is one vacancy for a Hamett County Economic Development Council member. HARNETT COUNTY BOARD OF ADJUSTMENT There is one (1) vacancy for an alternate member representing District 3 on this Board. There is one (1) vacancy for an alternate member representing District 5 on this Board. HISTORIC PROPERTIES COMMISSION Melanie Collins would like to be reapyointed to serve on this board as an alternate. There is (1) vacancy for District 3 and (I) vacancy for an alternate on this committee. HOME AND COMMUNITY CARE BLOCK GRANT COMMITTEE There are (2) vacancies on this committee. NURSING HOME COMMUNITY ADVISORY COMMITTEE There is (1) vacancy on this committee. NONPROFIT FUNDING COMMITTEE There is (1) vacancy for a District 4 representative on this committee. Page 1 of 1 Board Meeting Agenda Item Agenda Item __ .. R.__---' MEETING DA TE: May 20, 2019 TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: Proposed Zoning Change: Case# PLAN1903-0002 REQUESTED BY: Development Services/ Mark Locklear REQUEST: Landowners/Applicants: Southeast Properties Family, LLC ; 7.12 acres; Pin #'s 0513-76- 3120 & 0513-76-0085 ; From RA-20M to Commercial Zoning District; NC Hwy 210 South ; Anderson Creek Township. Development Services staff reommends this rezoning request be APPROVED. This request is compatible with Hamett County regulatory documents and would not have an unreasonable impact on the surrounding community based on the existing nonresidential uses on this site as well as within the area. On May 6th , the Hamett County Planning Board voted 5-0 to recommend approval of this of the application based on surrounding residential uses , adjacent identical zoning disctricts, as well as overall compliance with the Land Use Plan. No one spoke in opposition. FINANCE OFFICER'S RECOMMENDATION: COUNTY MANAGER'S RECOMMENDATION: C: \U sers\gwheeler\AppData \Local\M icrosoft \ W indows\lN et Cach e\Content. Outlook\OZ M K6 6X9\S outheast_ CC agenda fonn.docx Page I of I Harnett COUNTY NORTH CAROLINA REZONING STAFF REPORT Case: PLAN1903-0002 David McRae dmcrae@harnett.org Phone: (910) 893-7525 Fax: (910) 814-8278 Planning Board: May 6, 2019 County Commissioners: May 20, 2019 Requesting a Rezoning from RA-20M to Commercial Applicant Information Owner of Record: Name: Southeast Properties Family, LLC Address: PO Box 2318 City/State/Zip: Smithfield, NC 27577 Property Description PIN(s): 0513-76-3120 0513-76-0085 Applicant: Name: Southeast Properties Family, LLC Address: PO Box 2318 City/State/Zip : Smithfield, NC 27577 Acreage: +/-7 .12 ------ Address/SR No.: ---'N'-'-C-=-=2=1--=--0---=S'---------------------------------- Township: IZI (01) Anderson Creek D (02) Averasboro D (03) Barbecue D ( 04) Black River Vicinit Page 1 of 6 D (05) Buckhorn D (06) Duke D (07) Grove D (08) Hectors Creek Cumberland County D (09) Johnsonville D (10) Lillington D (11) Neill's Creek D (12) Stewart's Creek D (13) Upper Little River STAFF REPORT Physical Characteristics Site Description: Site is currently occupied by a nonresidential structure Surrounding Land Uses: Surrounding Land Uses: Area land uses consist of residential developments, various nonresidential uses, and vacant/ undeveloped land Services Available Water: ~Public (Harnett County) 0Private (Well) D Other: Unverified Page 2 of 6 Sewer : ~ Public (Harnett County) D Private (Septic Tank) D Other : unverified Transportation: Annual Daily Traffic Count: "' 18,000 on Hwy 87 Site Distances: good STAFF REPORT Zonin District Com atibilit The following is a summary list of potential uses. For actual permitted uses lease refer to the UDO's Table of Uses . RA -20U Land Use Classification Com lowDt,nsily RHiN-(ltb:I Future Land Use Map Page 3 of 6 Parks & Re c Natural Preserves Bona Fide Farms Sing le Family Manufactured Homes, Design Regulated Manufactured Homes Mu lti-Family Institutional Commercial Services Retail Wholesale Industria l Manufacturing Parks & Rec Natural Preserves Bona Fide Farms Single Family Manufactured Ho mes, De sig n Regulated Manufactured Homes Multi-Family Institutional Commercial Service Retail Wholesale Industrial Ma nufacturing CURRENT RA -20M X X X X X REQUESTED Commercial X X X X ZONING LAND USE Commercial Low Den sity Res X X X X X X X X X X C DTA X CDTA Within a Compatibility Development Target Area & Rural Center development area, such uses could be appropriate. STAFF REPORT Site Photographs Site & parking area Site & entrance/ drive aisle Hwy 87 S view & adjacent business Hwy 87 S view & adja cent business Pag e 4 of 6 STA FF REPO RT Evaluation [gl Yes D No The IMPACT to the adjacent property owners and the su r rounding community is reasonable , and the benefits of the rezoning outweigh any potential inconvenience or harm to the community. REASONING: The requested zoning change to Commercial will not have a negative impact on the community as it has been used for nonresidential purposes for many years, as well as being adjacent to several ex isting Commercial parcels in the area . [gl Yes O No The requested zoning district is COMPATIBLE with the existing Land Use Classification. REASONING: The requested zoning district is not fully compatible with the existing Land use classification of Low Density Residential. However, th is site is within the within a Compatibility Development Target area. This allows for uses that would make the most of the presence of Public water & sewer availability . Also, a Rural Center development node is just north of this site. So when studied again , a Land Use map amendment would be to recommend extending this existing Rural Center development node along the NC 210 corridor. [gl Yes D No The proposal does ENHANCE or maintain the public health, safety and general welfare . REASONING: The requested rezoning to Commercial would maintain or enhance the public health , safety, and general welfare due to the site's history of commercial use. 0 Yes [gl No The request is for a SMALL SCALE REZONING and should be evaluated for reasonableness. REASONING: Since these tracts are immediately adjacent to a Commercial zoning classification, this application does not need to be evaluated for Small Scale Rezoning. Suggested Statement-of-Consistency (Staff concludes that ... ) As stated in the evaluation, the requested rezoning to Commercial i s compatible with Harnett County regulatory documents and would not have an unreasonable impact on the surrounding community based on the ex isting nonres idential uses on this site a s well as within the area. Therefore it is recommended that this rezoning request be APPROVED. Additional Information On May 5 th , the Harnett County Planning Board voted unanimously (5-0) to recommend approval of application based the historical , nonresidential u se and the ex isting Commercial zoning in the area. *No one spoke in oppo sition. Page 5 of 6 STA FF RE PORT Review Worksheet TRADITIONAL STANDARDS OF REVIEW The Planning Board shall consider and make recommendations to the County Board of Commissioners concerning each proposed zoning district. The following policy guidelines shall be followed by the Planning Board concerning zoning districts and no proposed zoning district will receive favorable recommendation unless: D Yes D No A . The proposal will place all property similarly situated in the area in the same category, or in appropriate complementary categories. D Yes O No B. There is convincing demonstration that all uses permitted under the proposed district classification would be in the general public interest and not merely in the interest of the individual or small group. D Yes D No C. There is convincing demonstration that all uses permitted under the proposed district classification would be appropriate in the area included in the proposed change. (When a new district designation is assigned, any use permitted in the district is allowable, so long as it meets district requirements, and not merely uses which applicants state they intend to make of the property involved.) D Yes O No D. There is convincing demonstration that the character of the neighborhood will not be materially and adversely affected by any use permitted in the proposed change . D Yes D No E. The proposed change is in accordance with the comprehensive plan and sound planning practices. 0 GRANTING THE REZONING REQUEST Motion to grant the rezoning upon finding that the rezoning is reasonable based on All of the above findings of fact A-E being found in the affirmative and that the rezoning advances the public interest. 0 DENYING THE REZONING REQUEST Motion to deny the re zoning upon finding that the proposed rezoning does not advance the public interest and is unreasonable due to the following: D The proposal will not place all property similarly situated in the area in the same category, or in appropriate complementary categories. D There is not convincing demonstration that all uses permitted under the proposed district classification would be in the general public interest and not merely i n the interest of the individual or small group. D There is not convincing demonstration that all uses permitted under the proposed district classification would be appropriate in the area included in the proposed change. (When a new district designation is assigned, any use permitted in the district is allowable, so long as it meets district requirements, and not merely uses which applicants state they intend to make of the property involved .) D There is not convincing demonstration that the character of the neighborhood will not be materially and adversely affected by any use permitted in the proposed change. D The proposed change is not in accordance with the comprehensive plan and sound planning practices. D The proposed change was not found to be reasonable for a small scale rezoning Pa ge 6 of 6 STAFF REPORT APPLICATION FOR ZONING CHANGE Harnett Planning Department 108 E. Front Street COUNTY ··----P.O . Box 65, Lill i ngton, NC 27546 NORl H CA R O i J NA Phone: (910) 893-7525 Fax: (910) 893-2793 Total Fee: $250.00 -------·-···------. ----------·-- Receipt:-=>,.~-...__----~---___ _ Permit: =f'/qn /qo3 -oood-l Hearing Date: [b a Ll£. __ .d_Q_J,c;:J _:__ __ Applicant Information owner of Record; Applicant; Name: Southeast Properties Family, LLC Address: PO Box 2318 Name: SAME AS OWNER OF RECORD City/State/Zip: Smithfield, NC 27577 E-mail: ardielupton@aol.com Phone : (919)934-5176 Fax: (919)934-9832 Address : City/State/Zip: E-mail : Phone: Fax: Property Description 05 \ 3-'l ~--'3 (;}o, OS i3 'Hr · co i ~, a.~..., PIN(s): 01-0513---0189AND01-0513-• -0235 Acreage: +/-7.12 Acres Address/SR No .: 14260 NC 210 S. Spring Lake, NC Directions from Lillington : Take NC 21 O out of Lillington to Spring Lake, property located behind Veterar]S !3uilding after you pass_through traffic light and traffic turns 4 1~~1:-N~?_1 OS. ____ _ Deed Book: 297~---Page: _967-~ Plat Book: --·---Page: ____ _ Existing Zoning: D Conservation 0 RA-20M ~ RA-20R 0 RA-30 0 RA-40 0 Commercial 0 Light Industrial 0 Industrial 0 Office & Inst'! Attachments Requested Zoning: D Conservation 0 RA-20M 0 RA-20R 0 RA-30 0 RA-40 E' Commercial D Light Industrial D Industrial D Office & Inst'I Township : ~ {01) Anderson Creek 0 (02) Averasboro 0 (03) Barbecue D (04) Black River D (OS) Buckhorn D (06) Duke • Written description of property from recorded deed D (07) Grove D (08) Hectors Creek D (09) Johnsonville D (10) Lllllngton D (11) Nelli's Creek 0 (12) Stewart's Creek D (13) Upper Little River • Recorded map of property at scale of not less than one (1) inch = 200 feet • Explanation of why the zoning change is requested, addressing applicable portions of Article XII of the Zoning Ordinance Signatures The undersigned applicant hereby certifies that, to the hest of his or her knowledge and belief, al l information supplied with this application is true and~-. >~~L~ 3/19/2019 _ __,_..._.c.......J'oj=.V.C..-ff:A"'+'-''-'1--3/19/201_~ _ Property Owner Signature Date Aut ized Agent Signa Date W ilson E. Blackmon. Member/Manager Ardieth Lupton, Property anager Page 1 of2 APPLICATION FOR ZONING CHANGE EXHIBIT A TRACT 1: BEGINNI NG at an iron stake which stake marks t.he Southeast corner of a 3 .88 acre tract previously cor-veyed by the Grantor to Frar-k 1, __ Wall bv deed da::ed Nover:tbe::::-17, 1969 and recorded in Book 52 2, Page 99 Harnett Cou~c.y Regi st.ry which stake is located North 55 deorees 36 minutes West. 1 2 8 .70 feet from a n iron stake in t h e Western line of the :aruce J. Ho ward residence lot and runs thence fr om said beginning poi~~ as a c ontinuation of the Frank A. Wall property Southeastern li!le Souch 38 degr ees 41 minutes West 1 00 fee ~ to an iron stake , new line with t he Bruce J. Howard property; t h ence as a new l ine wit~ Bruce C. Howard North 47 degrees 32 minutes West 1076 feet to ar-iron stake ; thence as the o:d Bruce J. Howard -McLa~chlin line South 85 degrees 51 minutes East 53 0 feet to an iron stake; t hence South 4 degrees 09 minutes West 358. SO feet to an iron stake; thence South 55 degrees 36 minutes East -427.50 feet to the point of BEGINNING , containing 3.29 ac r es according to survey and p l at of Gordon L. Dwiggins, Reg. Engineer, dated December 1971 ar-d entit:ed "Property of Bruce J. Howard. 11 And being the same property conveyed to Na than B. Blackmon et als by Brue~ J. Howard , Sr ., by deed recorded in Book 573 , Page 212, Harn~tt County Registry. TRACT 2: BEGINNING at original nort hwe st cor~er of a 13.1 acre tract of land known as "Howard's Beach Property" a n d is shown upon a plat prepared by J.P. McMillan , Jr ., Re gistered Su=veyor, i n October, 1969, and runs thence S 85 deg 51 min E 186.) ft to a stake ; thence S 32 deg 19 m~n E 5 01.5 ft. to a stake ; thence S 38 deg 41 min W 210.2 ft. to an iron stake ; thence N 55 deg 36 min w 427 .S ft . to an iron stake; thence N 4 deG 9 min 3 358.5 ft. to the point of beginning and conta i ning 3. 8-8 acres , more or le ss, according to the survey by J.P. McMillan , Jr., ~egi stered Surveyor; see Book 522 , Page 98, Harnett County Regis t ry. And being the same property conveyed to Nathan B. Blackmon et a l s by Frank L. Walls et ux by deed recorded in Book 561 , Page 146, Harnett County Reg i s try. TR.Z\CT 3: BEGINNING at a stake in the western margin o f N. c. Highway 210 original sout~west corner of a 13.l acre trac t known as "Howard's Beach Property," as shown upon a p l at prepared by J.P. McMillan, Jr. , Reg;_stered surveyor, in October, 1969, and r uns t h ence N 67 deg 20 min W 340.80 ft. to a stake in the line of a 3.88 acre tract conveyed to Frank L. Walls, et ux, and r ~n s the nce N 38 deg 41 min E 60 ft.; thence S 68 deo 20 min E 347.8 feet to the point i~ the western ma=gin o f N.C. Eichwav 210; thence witI'- the western margin of N.C . Highway 2 10 S 34 -deg-45 min W 60 ft. co the point of BEGINNING . See Book 561 , Page 146. EXPLANATION OF WHY THE ZONING CHANGE IS REQUESTED The Property has been an Auto Auction s ite for approxi mately 48 years of which our company has owned for the past 42 years . We purchased from the original owner. When this area of the county was zoned , it appears they only took the road front properties as commercial and inadvertently omitted our +/-7 .12 acres from commercial zoning . Our easement to this property (PIN#01-05 13-02--9002 --01) was correctly zoned as commercial. We are currently changing tenants and our new tenant (also an auction company) requires that the property is properly zoned as commercial for thei r use . This is a company requirement. We respectfully request that the properties noted in the attached application be corre ctly rezoned to Commercial. Thank you in advance for your assistance . _?~~ Wilson E. Blackmon , Member/Manager Southeast Properties Family, LLC PO Box 2318 Smithfield , NC 27577 (919)934 -5176 phone (919)934-9832 fax ardielupton@aol .com I' Harnett COUNTY ProjectTRAK PLAN1903-0002 Address : 14260 NC 210 S APN : 0513-76-3120.000 PLANNING BOARD REZONING Date Paid: Thursday, March 21, 20 19 Paid By: SOUTHEAST PROPERTIES FAMILY LLC Cashier : JB Pa y Method: CHECK 15407 Printed : Thursday, March 21, 2019 12:18 PM 1 of 1 $250.00 $250.00 $250.00 1 • ..... , Board Meeting Agenda Item Agenda Item __ q.....__---' MEETING DA TE: May 20, 2019 TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: Proposed Zoning Change: Case# PLAN1904-0001 REQUESTED BY: Development Services/ Mark Locklear REQUEST: Landowners/Applicants: Barbara Jones; 5.33 acres; Pin #'s 1528-52-9101, 1528-52-1018, and 1528-61-2922; From Commercial to RA -30 Zoning District; US 301 N , Neill 's Creek Township. Development Services staff reccomends AP PROV AL for the requested rezoning from Commercial to RA-30. Staff concluded this would not have an unreasonable impact on the surrounding community due to the existing residential use on site as well as in the area . Additional Information: On May 6th, the Hamett County Planning Board voted unanimously (5 -0) to recommend approval based on compatibility with the surrounding uses. No one spoke in opposition. FINANCE OFFICER'S RECOMMENDATION: COUNTY MANAGER'S RECOMMENDATION: C:\Users\gwheeler\AppData\Local\Micro soft\Windows\l NetCa ch e\Con tent.Ou t look\OZMK66X9Vones_CC agenda fo rm .docx Page I of I Harnett COUNTY NORTH CAROLINA REZONING STAFF REPORT Case: PLAN1904- 0001 David McRae dmcrae@harnett.org Phone : (910) 893-7525 Fax : (910 ) 814-8278 Planning Board : May 6, 2018 County Commissioners: _M_a.,_y_2_0_,_,_2_0_1_8 ___ _ Requesting a Rezoning from Commercial to RA-30 Applicant Information Owner of Record: Name: Barbara Jones Address : 3900 US 301 N City/State/Zip: Dunn, NC 28334 Property Description PIN(s): 1528-52-9101, 1528-52-1018, 1528-61-2922 Address/SR No.: 3900 & 3924 US 301 N Township: D (01) Anderson Creek ~ (02) Averasboro D (03) Barbecue D (05) Buckhorn D (06) Duke D (07) Grove Applicant: Name: Barbara Jones Address : 3900 US 301 N City/State/Zip : Dunn, NC 28334 Acreage: _5_._3_3 ___ _ D (09) Johnsonville D (10) Lillington D (11) Neill's Creek D (04) Black River D (08) Hectors Creek D (12) Stewart's Creek D (13) Upper Little River Page 1 of 6 STAF F REPORT Physical Characteristics Site Description: One parcel is currently occupied by a house, the other an auto repair facility. Surrounding Land Uses: Farmland, residential uses, and various nonresidential uses. Services Available Water: [gj Public (Harnett County) D Private (Well) D Other : Unverified Page 2 of 6 Sewer: D Public (Harnett County) [gj Private (Septic Tank) D Other: unverified Transportation: Annual Daily Traffic Count: rvS,000 vehicles per day Site Distances: Good STAFF REPORT Zonin District Com atibilit RA .JO \ Zoning Map Land Use Classification Com Page 3 of 6 Parks & Rec Natural Preserves Bona Fide Farms Sinale Family Manufactured Homes, Design Regulated Manufactured Homes Multi -Family Institutional Commercial Services Retail Wholesale Industrial Manufacturing Parks & Rec Natural Preserves Bona Fide Farms Single Family Manufactured Ho m es, Design Regulated Manufactured Homes Multi-Family Institutional Commercial Service Retail Wholesale Industrial Manufacturing CURRENT Commercial X X X X X X X X ZONING RA-30 X X X X X X X X REQUESTED RA-30 X X X X X X X LAND USE CMU X X X X X X X X X STAFF REPORT Site (residence & auto repair) Site (residence & auto repair) Hwy 301 S view & property across from house Hwy 301 N view & property across from business Page 4 of 6 ST A FF REPORT Evaluation [gl Yes D No The IMPACT to the adjacent property owners and the surrounding community is reasonable, and the benefits of the rezoning outweigh any potential inconvenience or harm to the community. REASONING: The requested zoning change to RA-30 will not have a negative impact on the community since one site has been used as a residence for many years, and the other site's use of an auto repair shop is an allowable Conditional Use in RA-30. [gl Yes D No The requested zoning district is COMPATIBLE with the existing Land Use Classification. REASONING: The requested zoning to RA-30 is compatible with the land use classification of Compact Mixed Use area. These are areas with access to major thoroughfares & utilities and incorporate a mix of residential & nonresidential uses. [gl Yes D No The proposal does ENHANCE or maintain the public health, safety and general welfare. REASONING: The requested zoning to RA-30 would maintain the public health, safety and general welfare due to the existing residential uses within the area. D Yes [gl No The request is for a SMALL SCALE REZONING and should be evaluated for reasonableness . REASONING: Due to the total acreage of all of the parcels, the application does need to be evaluated for Small Scale Rezoning. Suggested Statement-of-Consistency (Staff concludes that...) As stated in the evaluation, the requested rezoning to RA-30 would not have an unreasonable impact on the surrounding community as it is compliant with the County's Land Use Plan as well as due to the presence of the existing residential uses in the area. Therefore it is recommended that this rezoning request be APPROVED. Additional Information On May 6th, the Harnett County Planning Board voted unanimously (5-0) to recommend approval of application based the historical, nonresidential use and the existing Commercial zoning in the area. *No one spoke in opposition. Page 5 of 6 STAFF REPORT Standards of Review and Worksheet TYPICAL REVIEW STANDARDS The Planning Board shall consider and make recommendations to the County Board of Commissioners concerning each proposed zoning district. The following policy guidelines shall be followed by the Planning Board concerning zoning districts and no proposed zoning district will receive favorable recommendation unless : D Yes D No A. The proposal will place all property similarly situated in the area in the same category, or in appropriate complementary categories . 0 Yes O No B. There is convincing demonstration that all uses permitted under the proposed district classification would be in the general public interest and not merely in the interest of the individual or small group. D Yes D No C. There is convincing demonstration that all uses permitted under the proposed district classification would be appropriate in the area i ncluded in the proposed change . (When a new district designation is assigned, any use permitted in the district is allowable, so long as it meets district requirements, and not merely uses which applicants state they intend to make of the property involved.) 0 Yes D No D. There is convincing demonstration that the character of the neighborhood will not be materially and adversely affected by any use permitted in the proposed change. 0 Yes D No E. The proposed change is in accordance with the comprehensive plan and sound planning practices. 0 GRANTING THE REZONING REQUEST Motion to grant the rezoning upon finding that the rezoning is reasonable based on All of the above findings of fact A-E being found in the affirmative and that the rezoning advances the public interest. 0 DENYING THE REZONING REQUEST Motion to deny the rezoning upon finding that the proposed rezoning does not advance the public interest and is unreasonable due to the following: D The proposal will not place all property similarly situated in the area in the same category, or in appropriate complementary categories. D There is not convincing demonstration that all uses permitted under the proposed district classification would be in the general public interest and not merely in the interest of the individual or small group. D There is not convincing demonstration that all uses permitted under the proposed district classification would be appropriate in the area included in the proposed change. (When a new district designation is assigned, any use permitted in the district is allowable, so long as it meets district requirements, and not merely uses which applicants state they intend to make of the property involved .) D There is not convincing demonstration that the character of the neighborhood will not be materially and adversely affected by any use permitted in the proposed change. D The proposed change is not in accordance with the comprehensive plan and sound planning practices. D The proposed change was not found to be reasonable for a small scale rezoning Page 6 of 6 STAFF REPORT APPLICATION FOR ZONING CHANGE Harnett Plann i ng Department 108 E. Front Street COUNTY NORTH C AROLINA P.O. Box 65, LIiiington, NC 27546 Phone: (910) 893-7525 Fax: {910) 893-2793 Total Fee: -------------- Receipt: -------------- Permit: --------------- Hearing Date: --------------- Applicant Information Owner of Record: Name: &buc:t A 'J'ol'\t~ Address: 3C\oo u.~ ~I ;J City/State/Zip: Du.""' r-.ic,. '1~a3tl E-mail: Cf't:icw;.on '5'@ ~m0,i\. ,o"" Phone: ~\C\-5"2."\·531?S Fax: Applicant: Name: Some, ru. ownµ: Address : City/State/Zip: E-mail : Phone: Fax : Property Description PIN(s): ,~i.s -2.-101 , ~ ol& ,ntHll·2'11Z. Acreage : ,.oi/~.,11/0.1~ Acres Address/SR No.: ?,q t ,3'12.'4 u~ !iol N t>utJIJ N t.. zg?.34 Directions from Lillington: Wl.l lo "/)uNfJ h, Hw:, &>1 'ffl/l)Ol',/s Benson Ats$ nc,-,hbor!z red . IIE :O'l.'2.3 p:,optrf:'j QO Lt£+ a.bout: 1/cl &,,'It,. Deed Book: 11_e.:_o_w ___ Page: ___ _ Plat Book: Page: ___ _ Existing Zoning : D Conservation 0 RA-20M . 0 RA-20R 0 RA-30 0 RA-40 J8f' Commercial D Light Industrial 0 Industrial 0 Office & Inst'I Req!!_ested Zoning: D Conservation 0 RA-20M 0 RA-20R jg! RA-30 0 RA-40 D Commercial D light Industrial D Industrial D Office & Inst'I Township: ~ (01) Anderson Creek O (07) Grove (02} Averasboro O (08) Hectors Creek (03) Barbecue O (09) Johnsonville D (04} Black River O (10) LIiiington 0 (05) Buckhorn O (11) Neill 's Creek 0 (06) Duke O (12) Stewart's Creek 0 (13) Upper Little River Attachments • Written description of property from recorded deed • Recorded map of property at scale of not less than one (1) Inch = 200 feet • Explanation of why the zoning change Is requested , addressing applicable portions of Article XII of the Zoning Ordinance Signatures The undersigned applicant hereby certifies that, to the hest of his or her knowledge and belief, all Information supplied with this application is true and accurate: P~;:-:; 5~~r 3r,;..31 · I 9 Authori zed Agent Signature Date Page 1 of 3 APPLICATION FOR ZONING CHANGE Scanned with CamScanner Ill . .";r'r• .... en ", Cl) ::, C: •· \ C: .., C \ ta .\. (.) "' .. IU en ..a .. E ~ ta 0 0 LI. ~ .c: 0 ... z 'i "C Cl) C: C: ta (.) en Recycle Center City L1m1ts NC Parcels N Harnett -W~E " 0 Address Numbers °"')(--CUUNTY L!,_j Landfills us Surrounding County Boundaries ~ Airport Roads s GIS/E-911 Addressing I Federal Property MajorRoads 0 Mile_Markers jo 80 160 3~,l March 31, 2019 -Interstate Railroad 1 inch = 188 feet Requesting zoning change for property belonging to Barbara A Jones, PINS 1528-52-9101, 1528-62-1018, 1528-61-2922 due to real estate transaction. Property is being purchased by family and a Residential mortgage cannot be obtained for property that is zoned Commercial. Scanned with CamScanner Board Meeting Agenda Item Agenda Item _.._JO=---- MEETING DATE: May 20, 2019 TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: CONSIDERATION OF SHA WTOWN AREA COMMUNITY CENTER FEASIBILITY STUDY CAPITAL PROJECT ORDINANCE REQUESTED BY: ADMINISTRATION REQUEST: Administration requests approval of a Capital Project Ordinance for the "Shawtown Area Community Center Feasibility Study." This project includes the preparation of a conceptual site plan, development of a rendered site plan and building evaluation plan, and preliminary estimation of construction costs for a community center to be constructed by the Shawtown Alumni Association on property the Association acquired from Harnett County behind the former Shawtown School. The County gave the property to the Alumni Association in 2012 with the requirement that a community center be constructed on the property by 2032. This project will be funded through a $10,000 grant-in-aid, which Harnett County was awarded for the development of this project. No County funds are included in thi s project. FINANCE OFFICER'S RECOMMENDATION: COUNTY MANAGER'S RECOMMENDATION: C:\Users\gwhee ler\AppData\Local\Micro soft \Windows\!NetCache\Content.Outl ook\OZMK66X9\Sh awtown Alumni Community Center agenda request.docx Page I of 2 Harnett COUNTY NORTH CAROLINA www.harnett .org SHA WTOWN AREA COMMUNITY CENTER FEASIBILITY STUDY CAPITAL PROJECT ORDINANCE BE IT ORDAINED by the Board of Commissioners of Harnett County, North Carolina, sitting as the governing board for Hamett County. Section l. Section 2. Section 3. Section 4. Section 5. Section 6. Section 7. Section 8. Section 9. This project will include preparation of a conceptual site plan, development of a rendered site plan and building elevation plan, and preliminary estimation of construction costs for a Community Center to be constructed by the Shawtown Alumni Association on property acquired from Harnett County behind the former Shawtown School. The officers of this unit are hereby directed to proceed with the capital project within the terms of the grant documents, loan documents, and the budget contained herein. The following amounts are hereby appropriated for this project: Engineering/Design =-$_....;al..aa.0=,0-"-0""0 Total $ 10,000 The following revenues are anticipated to be available to complete this project: State Grant Funds $ 10,000 The Finance Officer is hereby directed to maintain within the Capital Project Fund s ufficient specific detailed accounting records to satisfy the requirements of the grantor agency, the grant agreements, and federal regulations. Funds may be advanced from the General Fund for the purpose of making payments a s due . Reimbursement request should be made to the grantor in an orderly and timely manner. The Finance Officer is directed to report, on a quarterly basis, on the financial status of each project element in Section 3and on the total grant revenues received or claimed. The Budget Officer is directed to include a detailed analysis of past and future costs and revenue s on this capital project in every budget submission made to this Board. Copies of thi s capital project ordinance s hall be furnished to the Clerk to the Governing Board, and to the Budget Officer and the Finance Officer for direction in carrying out this project. Duly adopted this 20th day of May, 2019 . ATTEST: _____________ _ Margaret Regina Wheeler, Clerk to the Board strong roots • new growth Gordon Sprin g le , Chairman Harnett County Board of Commiss ioners Board Meeting Agenda Item Agenda Item --+I-ti~-.....; MEETING DA TE: May 20, 2019 TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: Terminal Project Design -For Site Improvement and Terminal Construction -60 % Submittal Options REQUESTED BY: Barry A. Blevins, General Services Director REQUEST: General Services Director requests the Board of Commissioners consider and recommend a Terminal Design exterior concept (option #1 or #2) -to complete a sixty percent (60%) project submittal requirement for submission to the NCDOT / Division of Aviation. Once the exterior concept has been selected, the airport consultant with the county's endorsement will move forward with the (90%) project submittal. Previously, a straw poll of project team members chose Option #2 but requested the Board of Commissioners offer a consensus to solidify the team's vote . Although this is not a final design for color, or exterior materials, the exterior concept that is selected will allow the architect firm, The Wilson Group, to finalize the drawings for the terminal building design. The Terminal Construction project's total projected cost is $4 . l 8M with approximately $ l .9M available in grant funding through NCDOT/Division of Aviation. FINANCE OFFICER'S RECOMMENDATION: COUNTY MANAGER'S RECOMMENDATION: C:\Users\gwheele r\AppData\Lo cal\Micro soft\ Windows\1NetCache\Content.Outlook\OZ MK66X 9\TE RMIN AL CONSTRUC T ION AGEND A ITEM 19 .05 .15 .d ocx Page I of2 THE WIL50N GROUP LANDSIDB PBRSPBCJ1VB NBWTBRMINAL-OPr!ON I APRIL 18, 2019 HARNETI REGIONAL JETPORT TALBERT & BRIGHT THE WIL50N GROUP AIRSIDB PBRSPBCI1VE NEW TERMINAL -OPTION 1 APRIL 18,2019 HARNETI REGIONAL JETPORT TALBERT & BRIGHT TifE WILSON GROUP LANDSIDE PERSPECTIVE NEW TERMINAL -OPTION 2 APRIL 18,2019 HARNETT REGIONAL JETPORT TALBERT & BRIGHT THE WILSON GROUP AIRSIDE PERSPECTIVE NEW TERMINAL -OPTION 2 APRIL 18, 2019 HARNETT REGIONAL JETPORT TALBERT & BRIGHT ®llew.:) ARST lEVEl UFE SAFETY PLAN ...... c:5: (TJ: i= [gJ [gJ [gJ --.... -'.g] lDl / -00 CE) :g [gJ lg) [gJ [gJ [gJ I OCCUPANCY CALCULATIONS LIFE SAFETY PLAN LEGEND ..... •<JOCOJ" ... S "" ..... ~tll•O.~in, t'JSIIK{ ll'TllfT'I (l'ff\ on cau ru:'1:1. Mt.a ·-= 11"9'1.WW: nmtclQIU'iUK• Q:o) -'ltfU#t 01• l(llalW OC(.~~.)----1 -lilllill (ICC T" @'] IIJ[:it.lllfl'll~l(lll"-ICI) (!) © lilCftllll·l)~ .. tN,"tt••t, D(U,Off)[at(\'l\CI). @ IG,DOl'rllll't'Q'S ® ·~ ,._ __ ......,., NEW TERMINAL BUILDING ._M0....,..11,t 60r H[VilW SE ~OT FOR COM$ 1 ~UC 1 ION I~ l--·--TAL8ERT & Mk3HT ------··----. "'"' """"' """"""" I V 1tFlilTlfl;ii1~ SlEWAAT ..... _.._ __ ---..l:'...00::. ~..:=i::.=-· SABER ENOINEERINO _ .. _9f. __ -----1--_,,, .. ......,.,_ .. _ ...,,.., ~~ I FIRST LEVEL ~ UFESAFETY PLAN ~ 1--;. .. " .... LS-101 r-------------OCCUPANCY CALCUI.ATIONS _.._ ....... NEW TERMINAL BUILDING -·~"I -:-1-:::::: .... .,,..,, .. tc.t SECOND LEVEL UfE SAFETY PLAN -;.;j-(.,::} ~-(,:) 1 I I @" -f--+---~ PLAN L£GEl'O --_j ~ ..... _ ("D ~ frtat!IM ,c•1.,11:a.., ..... ~ I _...,._ace~--\ m·rnJ--l'Itt. ~""1 --~·~'fl ~~~~----==-~ ··-~-= ;,u,] NOi fOR CO'ISIRUC"ON' -w THE WI.SON GROUP ··-------TAUIERT l 8RIOHT -·-.::..-:. STEWART .... _ ... __ ----=-.-::. ---· ---SABER ENGINEERING -·-... -----------~~ ..... mu. 1---,. SECOND LEVEL .... LIFE SAFETY @ PIM .. ~--... _,.,,. I LS-102 Board Meeting Agenda Item Agenda Item _ .... 1 ..... a ___ _ MEETING DATE : May 20, 2019 TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: Project Budget Ordinance Amendment REQUESTED BY: Finance Officer/Administration REQUEST: Finance Officer/ Administration requests approval of the Project Budget Ordinance Amendment to increase the project budget to reflect the estimated cost of $24,027,257 to construct the new Hamett County Resource Center and Library, the DSS building addition and site improvements as presented during the Board's May 14th work session. It was the consensus of the Board members present to consider approval of the Project Budget Ordinance Amendment as presented, financing $23 ,000,000 of the project cost and authorized County staff to seek alternative methods of funding the FF&E cost of the project. FINANCE OFFICER'S RECOMMENDATION: COUNTY MANAGER'S RECOMMENDATION: P:\BOC\ag e ndaform 201 9 .docx Page I of I COUNTY OF HARNETT BUDGET ORDINANCE AMENDMENT 8E IT ORDAINED by the Governing Boord of the County of Harnett, North Carolina. that the following amendment be mode to the annual budget ordinance for the fiscal year ending June 30, 2019 . Section l. To amend the General Capital Project Fund, Government Complex South Project the appropriations are to be changed as follows: EXPENDITURE AMOUNT ORG OBJECT PROJECT TASK SUB-TASK JOB DESCRIPTION OF CODE INCREASE DECREASE 4054230 553000 GCSTH CNSTR CONSTRU BALFOUR CONSTRUCTION $ 2,397,985 4054230 519060 GCSTH FEES ARCHT ARCHITECT ARCHITECTURE $ 125.000 4054230 587000 GCSTH OPERT OTHERCOST FFE FURNITURE. FIXTURES EQUIP $ 1.500,000 4054230 555000 GCSTH MMATER MTSUP MAT&SUPPLY MATERIALS & SUPPLIES $ 20.058 4054230 599000 GCSTH CONTGCY CONTINGENC CONTINGENC CONTINGENCY $ 384,330 4054230 519090 GCSTH PFRSV OTHERSVCS GEOTECHN GEOTECHNICAL .i 10.000 REVENUE AMOUNT ORG OBJECT PROJECT TASK SUB-TASK JOB DESCRIPTION OF CODE INCREASE 4053900 390910 GCSTH DEBT SERV OTHER LOAN LOAN PROCEEDS $ 3,745,000 4053900 390982 GCSTH INTERF OTHER SPREVENUE SPECIAL REVENUE $ 632,257 EXPLANATION: To adjust the project budget to the reflect the estimated cost of $24,027,257 to construct the current DSS building addition along with the Harnett County Resource Center and Library , a s presented at the Board's May 14th work session. Al that work session the Board agreed to financing $23,000,000 of the project cost and authorized County staff to seek alternative methods to funding the FF&E cost of the project. APPROVALS : Dept Head [date) Finance Officer (date) County Manager [date) Section 2. Copies of this budget amendment shall be furnished to the Clerk to the Board, and to the Budget Officer and the Fin ance Officer for their direction. Adopted this ___ day of ________ , 20 _. Margaret Regina Wheeler. Clerk to the Board Gordon Spring le. Chairman Board of Commissioners DECREASE July 1, 2018 -June 30, 2019 Front Desk -Check-in Aooointments Health Clinics Adult Women Wellness Clinic Harnett County Department of Public Health Activities Summary Jul Aug Sep Oct Nov Dec Jan Feb 964 1197 886 1255 1071 923 1178 1069 4 3 2 2 4 1 2 2 Care Coordination for Children (CC4C) 241 258 241 150 158 185 210 207 Child Health -Sick Clinic 75 85 87 127 131 118 175 142 Child Health -Well Clinic 77 165 115 104 96 71 71 86 Countv Employee Health Clinic 138 145 94 145 136 152 190 219 Family Planning 157 168 113 177 144 122 175 145 Immunizations 171 265 555 1628 370 184 250 213 Matemitv (Prenatal Clinic) 227 184 144 166 221 189 237 172 OB Care ManaQement (OBCM} 116 122 113 97 75 68 73 120 Postpartum Home Visits 20 11 11 23 28 18 19 22 Refer/Repeat Pap 0 0 0 0 0 0 0 0 STD Services 112 107 77 99 86 81 101 89 TB Services 178 220 124 153 101 88 124 113 Welcome Baby Home Visits 22 11 12 23 28 19 21 22 Total Services 1538 1744 1688 2894 1578 1296 1648 1552 Reportable Disease Cases Tuberculosis 1 0 1 0 0 0 0 1 HIV -(Quarterly report} 0 0 0 0 0 0 0 0 AIDS -(Quarterly reoort) 0 0 0 0 0 0 0 0 SYPHILIS -(Quarterly reoort) 2 0 0 0 0 0 3 0 OTHER STD's 52 50 32 40 55 21 32 47 Other (salmonella , campylobacter, etc) 13 1 2 1 1 5 2 2 Total Services 68 51 35 41 56 26 37 50 Health Education Outreach 308 479 258 694 558 359 562 517 Laboratory Clients 841 786 505 763 702 649 815 884 Laboratorv Tests 1346 1347 941 1340 1247 1103 1347 1325 HIV Tests 161 157 90 172 216 114 141 134 Agenda Item --"J .... ~~-- Mar Apr May Jun troTAL AVG. 1014 1016 10573 1057.3 4 3 27 2.7 212 193 2055 205.5 165 124 1229 122.9 82 87 954 95.4 180 133 1532 153.2 119 155 1475 147.5 189 145 3970 397 193 206 1939 193.9 123 120 1027 102 .7 27 11 190 19 0 0 0 0 101 107 960 96 109 108 1318 131.8 27 12 197 19.7 1531 1404 0 0 16873 1687.3 0 0 3 0.3 0 0 0 0 0 0 0 0 1 1 7 0.7 76 62 467 46.7 12 7 46 4.6 89 70 523 52.3 273 245 4249 424.9 758 729 7432 743.2 1230 1241 12467 1246.7 139 158 1482 148.2 WIC Active Participation 2934 3150 3174 2876 2809 2784 2751 2662 2681 25821 2869 Vital Statistics Births In Countv 49 44 36 55 43 45 43 39 43 49 446 44.6 Births Out of Countv 111 133 135 144 110 138 113 123 107 106 1220 122 Deaths 57 72 49 68 67 63 59 58 58 67 618 61.8 Environmental Health # of Improvement APPS Confirmed 17 24 28 23 28 42 71 90 83 70 476 47.6 Number of Permits Issued 36 41 24 45 31 47 56 50 69 41 440 44 Number of Completions 41 50 19 54 54 16 34 55 35 62 420 42 Number of Existing Permits 52 31 15 35 19 14 34 19 28 21 268 26.8 Repair Permits Issued 3 3 3 11 11 2 5 2 11 7 58 5.8 Permits Denied 0 0 0 1 1 1 0 0 0 0 3 0.3 Food and LodginQ Establishments lnsoect'd/Reinspected 55 86 66 84 60 68 91 72 84 84 750 75 Visits / Critical Voliations Verfication 59 51 31 45 23 10 32 27 48 38 364 36.4 Private Water Suoolies Applications Received 21 17 7 11 10 5 23 13 10 0 117 11.7 updated 05/07/2019