Functional Schedule for North Carolina State Agencies

Overview of the Functional Analysis Initiative

The overview provides a summary of the functional analysis initiative and elaborates on these topics:

• public records law and public records requests in North Carolina
• confidentiality
• destroying public records
• audits and litigation actions
• electronic records
• record copy
• record custody
• transitory records
• historical value
• schedules format

Table of Contents

The Table of Contents lists all 16 functions of the Functional Schedule for North Carolina State Agencies, pinpoints the page number for each sub-function and appendix, and lists all record types.
 

1. Agency Management

Agency management is the overarching management that occurs in all government agencies.  Agencies document the processes of making decisions for the agency and overseeing its operations.

2. Asset Management

The asset management function encompasses acquisition, maintenance, inventory, and disposal of physical assets.  Agencies document the management of physical assets, including facilities, land, equipment, vehicles, etc.

3. Economic Development

Economic development is the function of encouraging the conditions for economic growth and improved quality of life.  Agencies document efforts to support innovation and expand the availability of goods and services.

4. Education

The function of education is primarily the purview of local education agencies but also has some activities at the state level.  This schedule also applies to the Governor’s School program, the curriculum and assessment standards developed by DPI, and agencies that oversee professional credentialing.

5. Financial Management

Financial management is the function of caring for the financial resources and obligations of a government agency.

6. Governance

The governance function involves the creation of statutes and regulations, agency liaisons with government officials, the oversight provided by governing or advisory bodies, and the collection of archival election records.  The General Assembly documents statutes and regulations themselves along with the process of their development.  Governing bodies document their decision making.  The State Board of Elections and the Department of the Secretary of State collect key documents regarding the campaign and election processes.  The Office of Administrative Hearings is the codifier and publisher of all administrative rules.

7. Healthcare

The function of healthcare entails the maintaining and restoration of health by the treatment and prevention of disease.  The Division of State Operated Healthcare Facilities and the Division of Adult Correction and Juvenile Justice provide medical care to patients and residents in their facilities.  The Office of the Chief Medical Examiner and the State Laboratory of Public Health also perform health-related research.

8. Human Resources

Human resources records document the management of a government agency’s personnel.  This function incorporates both the human and the payroll management aspects of personnel.

9. Information Technology

The function of information technology addresses tangible resources like networking hardware and computers as well as intangible resources like software and data.

10. Infrastructure Management

The function of infrastructure management involves the construction of public buildings, roads, and other public works.

11. Law Enforcement

Law enforcement records document the efforts of state agencies to protect the lives and property of the state’s citizens and people who visit and work in the state as well as to supervise adults and juveniles sentenced after conviction for violations of North Carolina law.  This government function focuses on efforts to compel individuals to obey laws.

12. Legal

The legal function involves protecting the rights, obligations, and interests of the agency or its individual employees or constituents.

13. Monitoring and Compliance

The function of monitoring entails systematic, periodic reviews to ensure quality products, performance, and the accomplishments of objectives.  Compliance ensures that people and organizations meet all obligations and comply with regulations.

14. Public Assistance and Support Services

The function of public assistance and support services involves coordinating needs-related payments and providing a safety net for under-resourced populations.  These functions also encompass workforce development and vocational rehabilitation.  Agencies document programs offered, eligibility, and services rendered.

15. Public Relations

Public relations is an outward-facing function of state agencies.  Agencies document activities, promote initiatives, publicize accomplishments, provide instruction, and gather feedback from constituents.

16. Risk Management

Risk management is the function of identifying, analyzing, and assessing unacceptable risks along with handling their avoidance, control, minimization, or elimination.

Glossary and Key

The Glossary defines some important records management terms that are used within the Functional Schedule for North Carolina State Agencies.  The key provides an explanation of the abbreviations, symbols, and other cues that are used.

Index

The Index highlights common record types and pinpoints their location within the Functional Schedule for North Carolina State Agencies.  It also incorporates record types that appear under multiple functions, depending on why they are created or received.

Tutorials

A set of 4 tutorials is available on the State Archives YouTube page and through the Learning Management System.

The first module provides an overview of the functional analysis initiative:

The second module provides an overview of the 16 functions of state government along with listing sub-functions and examples of record types:

The third module reviews the anatomy of a functional schedule:

The fourth module provides guidance on how to transition to these new schedules and explains available crosswalking tools: