Association of Records Managers & Administrators (ARMA) Fundamental Basics For Good Information Management (IM) Operations

2 Public Records, as defined in the New Mexico Public Records Act Section (C.), NMSA 1978 public records means all books, papers, maps, photographs, or other documentary materials, regardless of physical form or characteristics, made or received by any agency in pursuance of law or in connection with the transaction of public business and preserved,…

3 Non-Records (C.), NMSA 1978 Continued …extra copies of documents preserved only for convenience of reference and stocks of publications…

4 NM State Records Center & Archives ( SRCA ) Enabling Legislation 1959 Laws, Chapter 245 1)14-3-1, NMSA Public Records Act Title 2)14-3-2, NMSA Definitions 3)14-3-3, NMSA Creation of New Mexico State Commission of Public Records 4)14-3-4, NMSA Commissions Duties & Powers 5)14-3-6, NMSA Administrators Duties 6)14-3-7, NMSA Inspection & Survey of Records 7)14-3-8, NMSA Records Center 8)14-3-9, NMSA Disposition of Public Records 9) , NMSA Destruction of Records 10) , NMSA Protection of Public Records

New Mexico Commission of Public Records Chapter 14, Article 3, Section 3 ( § ), New Mexico Statutes Annotated (NMSA) Secretary of State Attorney General State Auditor State Law Librarian Secretary, General Services Department Director, Museum of New Mexico Historian specializing in New Mexico history, appointed by the Governor

6 New Mexico SRCA Organizational Chart

7 Information you will gain from this training. You will become familiarized with Records Management terms, the General Records Retention and Disposition Schedules, the process for storage, and the process for disposition that is used for destruction. You will gain a knowledge of the storage and disposition processes that you will need to know in order to conduct these types of operations.

8 What this training will not cover: This training will not cover agency specific schedules known as Executive Records Retention and Disposition Schedules. This training will not address specific questions, except in a broad sense.

9 RECORDS Records contain information captured on any type of medium. Hieroglyphics Floppy (computer) disks Petroglyphics Computer Disks (CDs) Papers Video cassette tapes Photographs Cassette tapes Etc.

10 What kinds of public records exist in your office?

11 Types of records media that exist in your office: Paper Microfilm- microfilm, and microfiche. Digital- anything created on a computer or with digital equipment (cameras). Analog- (audio and/or visual) recordings of hearings, security cameras, etc.

12 Types of Records VITAL RECORDS: critical to the operations of an organization. ESSENTIAL RECORDS: needed to continue the daily business. USEFUL RECORDS: containing information that exists elsewhere, but are helpful to operations. TRANSITORY RECORDS: containing information necessary for a brief duration that are unnecessary for continuation of business.

13 Microphotography Film Fiche Computer Output Microfilm (COM)

14 Electronic Records Database Etc., Etc., Etc… Data Migration

15 Storage versus Archiving STORING Any agency storing records at the State Records Center retains custody of its records. ARCHIVING Once records are transferred to the State Archives, the custody of those records are relinquished by the agency.

16 LIFECYCLE OF RECORDS Creation Use Disposition DestructionPreservation

17 Records Retention & Disposition Schedules GENERAL Schedules are for records common to agency operations- i.e. Administrative, Financial, Personnel, & Medical records (four schedules) EXECUTIVE Schedules are for records that target specific Agency Program Operations (one schedule per agency)

18 Records Retention & Disposition Schedules contain the following: A Section Number, A Records Series Title that is tied to the Section Number, A Maintenance System that describes how the records are managed, alphabetical, numeric, chronological, etc., A Description of the records, A retention that indicating how long a record needs to be kept.

19 Identification of a Records Series Key Programs Files (KPFs) Microscopic Management Division (MMD) New Mexico Know It All Department (KIAD) KPFs MMD Notifies SRCA of KPFs for Inclusion into KIAD ERRDS SRCA Agency Analysis Bureau Conducts Survey KPFs become part of KIAD ERRDS

20 What does your maintenance system for your records consist of??? Alphabetical, by name or topic Chronological, by day, month, and year Numerical, by a sequential numbering scheme Alphanumeric, by name or topic then by number Chrononumeric, by date then number Chronoalphbetical, by date then name or topic etc., etc., etc…

21 Agency Interaction With the State Records Center & Archives Records Liaison Officers (RLO) Responsible for the transfer, storage and destruction of an agencys records and must be designated by the Agency Cabinet Secretary or Executive Director every fiscal year. State Records Center & Archives communications with agencies on this matter begin in late May or early June of every year. Pick-Up Personnel Only authorized to pick-up records, and may only be appointed by an Agency Custodian or a RLO.

22 State Fiscal Year (FY): 7/X to 6/X + 1 For Example- a Purchasing Document with a 3 FY retention for 10/2010= FY 2010/ Would be eligible for destruction on: 7/ Federal FY: 10/X to 9/X + 1… While a Revenue Contract or Grant with a 6 year retention, tied to Federal Funding for 9/2009=Fed FY2009/ Would be eligible for destruction in 10/2016 From termination of record action… For example a (1) Legal Case File record with a 10 year retention after the case closed retention that was closed on 5/ Was eligible for destruction on: 6/ 2010 From Year in which record was created… For example a Storage Ticket (SRC 1) form on records with a retention of 3 years after the close of the calendar year in which records were destroyed on records destroyed on1/ years + 1 day = 4 years: +4 Would be eligible for destruction in: 1/2014 Type of RIM Calculations for Storage Operations

23 Storage Forms 369 State Records and Archives Records Management of Camino Carlos Rey John Doe Must be signed Santa Fe, New Mexico (2) REPORTS: 6/ / (Agency Analysis Monthly Reports) 7/ Purchase Document (SPD-101A): 7/ / 2010 with Purchase Document Continuation Sheets 2 3 Section Item Number / 2014

24 What happens to my Transmittal forms? The forms are reviewed by the Agency Analysis Bureau, then, if they are correct, they are forwarded to the State Records Center where the information is entered into the tracking system by staff and bar codes are printed. You should receive your bar codes within 10 working days. Once you receive your bar codes and have placed them on your storage boxes, call the State Records Center to arrange a time for your delivery.

25 Who can make a request for records? The Records Liaison Officer The Withdrawal person –The information you will need to provide the SRC staff with is the Permanent Box Number assigned by the State Records Center staff during in the final portion of the Transmittal Form process. –The turn around time from the time the box is requested is generally hours, dependant upon the number of boxes that are being requested.

26 Type of Disposition Operations Destruction For records that have met their retention. Transfer to Archives For records possessing A Transfer to Archives retention that have met their retention.

27 Destruction of Records may be via State Records Center Approved Disposition form for records that have met their retention period. On-Site Destruction Approved Disposition form for records held by agencies that have met their retention period. Agencies are willing to destroy and provide the State Records Center & Archives a Certificate of Destruction.

, NMSA 1978 Tampering with Public Records Tampering with public records consists of: A. knowingly altering any public record without lawful authority; B. any public officer or public employee knowingly filing or recording any written instrument, judicial order, judgment or decree in a form other than as the original thereof in fact appeared; C. any public officer or employee knowingly falsifying or falsely making any record or file, authorized or required by law to be kept; D. any public officer or public employee knowingly issuing or causing to be issued, any false or untrue certified copy of a public record; or E. knowingly destroying, concealing, mutilating or removing without lawful authority any public record or public document belonging to or received or kept by any public authority for information, record or pursuant to law. Whoever commits tampering with public records is guilty of a fourth degree felony.

29 RECAP General Schedules are schedules containing common Record Series used by most agencies. Executive Schedules are schedules unique to specific Agency Operations. RLO is a Records Liaison Officer Storage… : Custody remains with the Agency Vs. Archiving:Custody reverts to State Records Center & Archives for the prosperityof New Mexico History

30 What should I do if I receive a written request for information? Inspection of Public Records Act or the Federal Governments Freedom Of Information Act (FOIA)? Notify your supervisor!!! Remember, there are timelines and your agency can be fined for noncompliance!!!

31 Inspection of Public Records Act §14-2-1, NMSA 1978 to § , NMSA 1978 DEADLINES FLOW CHART Adapted from page 45 of the NM Attorney Generals Guidelines for State Agency Compliance to the NM Inspection of Public Record Act. -Custodian Receives Written Request -Day One (the day after the request is received) -Day Two -Day Three (business days) -Day Fifteen (calendar days)

32 What should you do to prepare for working with a written request for information? Obtain a copy of the Inspection of Public Records Act Compliance Guide from the Office of the Attorney General. Civil Division Phone Number: (505) This guide contains information about the law, exceptions to the law pertaining to confidentiality issues, and even contains sample forms that may be used for compliance in responding to written requests that you may encounter.

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