Association of Records Managers & Administrators (ARMA)

Fundamental Basics For GoodInformation Management (IM)

Operations

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Public Records, as defined in the New Mexico

Public Records ActSection 14-3-2 (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,…”

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Non-Records

14-3-2 (C.), NMSA 1978 Continued

“…extra copies of documents preserved only for convenience of reference and stocks of publications…”

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NM State Records Center & Archives (SRCA)

Enabling Legislation 1959 Laws, Chapter 2451) 14-3-1, NMSA 1978- Public Records Act Title

2) 14-3-2, NMSA 1978- Definitions

3) 14-3-3, NMSA 1978- Creation of New Mexico

State Commission of Public Records

4) 14-3-4, NMSA 1978- Commission’s Duties & Powers

5) 14-3-6, NMSA 1978- Administrator’s Duties

6) 14-3-7, NMSA 1978- Inspection & Survey of Records

7) 14-3-8, NMSA 1978- Records Center

8) 14-3-9, NMSA 1978- Disposition of Public Records

9) 14-3-11, NMSA 1978- Destruction of Records

10) 14-3-13, NMSA 1978- Protection of Public Records

New Mexico Commission of Public RecordsChapter 14, Article 3, Section 3 (§ 14-3-3),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

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New Mexico SRCA Organizational Chart

New M exicoHistorian

AdministrativeServicesDivision

New M exicoAdvisory Board

Archives andHistorical

Services Div.

AdministrativeLaw Division

Division

ElectronicRecords Bureau

Santa FeRecords Center

AlbuquerqueRecords Center

Records CenterBureau

Agency AnalysisBureau

RecordsM anagement

Division

State Records Center & Archives Administrator

New Mexico Com mission of Public Records

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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.

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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.

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RECORDSRecords contain information captured on any type

of medium.

Hieroglyphics Floppy (computer) disks

Petroglyphics Computer Disks (CDs)

Papers Video cassette tapes

Photographs Cassette tapes

Etc.

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What kinds of public records exist in your office?

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Types of records media that exist in your office:

• Paper

• Microfilm- microfilm,and microfiche.

• Digital- anything created on a computer or with digitalequipment (cameras).

• Analog- (audio and/or visual) recordings of hearings, security cameras, etc.

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Types of RecordsVITAL 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.

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Microphotography

• Film

• Fiche

• Computer

Output

Microfilm

(COM)

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Electronic Records• E-Mail

• Database

• Etc., Etc., Etc…

• Data Migration

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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.

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LIFECYCLE OF RECORDS

Creation

Use

Disposition

Destruction Preservation

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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)

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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.

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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

SRCAAgency

Analysis Bureau Conducts

Survey

KPFs become part ofKIAD ERRDS

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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…

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Agency Interaction With the State Records Center

& ArchivesRecords Liaison Officers (RLO)

Responsible for the transfer, storage and destruction of an agency’s 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 PersonnelOnly authorized to pick-up records, and may only be

appointed by an Agency Custodian or a RLO.

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State Fiscal Year (FY): 7/X to 6/X + 1 For Example- a 1.15.4.302 Purchasing Document with a 3 FY retention for 10/2010= FY 2010/2011

+3 Would be eligible for destruction on: 7/2014

Federal FY: 10/X to 9/X + 1… While a 1.15.4.208 Revenue Contract or Grant with a 6

year retention, tied to Federal Funding for 9/2009=Fed FY2009/2010

+ 6

Would be eligible for destruction in 10/2016 From termination of record action… For example a 1.15.2.401(1) Legal Case File record

with a 10 year retention after the case closed retention that was closed on 5/ 2000

+ 1 10 Was eligible for destruction on: 6/ 2010

From Year in which record was created… For example a 1.15.2.702 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 on 1/20103 years + 1 day = 4 years: +4Would be eligible for destruction in: 1/2014

Type of RIM Calculations for Storage Operations

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Storage Forms

369 State Records and Archives Records Management 10-15-2011 1 of 1

1205 Camino Carlos Rey John Doe Must be signed 476-7935

Santa Fe, New Mexico 87507 476-7905

1.15.2.117(2) REPORTS: 6/ 2011-7/ 2011

1 3 (Agency Analysis Monthly Reports) 7/ 2014

1.15.4.302 Purchase Document (SPD-101A): 7/ 2010 - 8/ 2010• with Purchase Document Continuation Sheets

2 3 Section Item Number 1.15.4.303 7/ 2014

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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.

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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.

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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.

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Destruction of Records may be via

State Records Center

Approved Disposition

form for records that

have met their

retention period.

On-Site Destruction Approved Dispositionform for records held byagencies that have mettheir retention period.Agencies are willing todestroy and provide theState Records Center & Archives a Certificate ofDestruction.

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30-26-1, NMSA 1978Tampering 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.

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RECAPGeneral 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 OfficerStorage… : Custody remains with the Agency

Vs. Archiving: Custody reverts to State Records

Center & Archives for the prosperity of New Mexico History

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What should I do if I receive a written request for information?

Inspection of Public Records Act or the Federal Government’s Freedom Of

Information Act (FOIA)?

Notify your supervisor!!!

Remember, there are timelines and your agency can be fined for noncompliance!!!

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Inspection of Public Records Act§14-2-1, NMSA 1978 to §14-2-12, NMSA 1978

• DEADLINES FLOW CHART• Adapted from page 45 of the NM Attorney General’s 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)

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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) 827-6070

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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