GRRDS, General Administrative Records

TITLE 1 GENERAL GOVERNMENT ADMINISTRATION

CHAPTER 15 GENERAL RECORDS RETENTION AND DISPOSITION SCHEDULES (GRRDS)

PART 3 GRRDS, GENERAL ADMINISTRATIVE RECORDS (For Use by Local Government and Educational Institutions)

1.15.3.1 ISSUING AGENCY: [New Mexico Commission of Public Records] – State Records Center and Archives

[8-8-96; 1.15.3.1 NMAC - Rn, 1 NMAC 3.2.90.1, 10/01/2000]

1.15.3.2 SCOPE: All state agencies

[8-8-96; 1.15.3.2 NMAC - Rn, 1 NMAC 3.2.90.2, 10/01/2000]

1.15.3.3 STATUTORY AUTHORITY: Section 14-3-6 NMSA 1978. Administrator: duties. The administrator shall establish a record management program for the application of efficient and economical management methods of the creation, utilization, maintenance, retention, preservation and disposal of official records. The administrator shall establish records disposal schedules for the orderly retirement of records and adopt regulations necessary for the carrying out of the public records act. Records disposal schedules shall be filed with the librarian of the supreme court library, and shall not become effective until thirty days after the filing date.

[8-8-96; 1.15.3.3 NMAC - Rn, 1 NMAC 3.2.90.3, 10/01/2000]

1.15.3.4 DURATION: permanent

[8-8-96; 1.15.3.4 NMAC - Rn, 1 NMAC 3.2.90.4, 10/01/2000]

1.15.3.5 EFFECTIVE DATE: July 13, 1998

[1.15.3.5 NMAC - Rn, 1 NMAC 3.2.90.5, 10/01/2000]

1.15.3.6 OBJECTIVE:

A. To establish a records management program for the application of and efficient and economical management methods to the creation, utilization, maintenance, retention, preservation and disposal of official records (section 14-3-6 NMSA 1978).

B. To establish records disposal schedules for the orderly retirement of records and adopt regulations necessary for the carrying out of the public records act (section 14-3-6 NMSA 1978).

[8-8-96; 1.15.3.6 NMAC - Rn, 1 NMAC 3.2.90.7, 10/01/2000]

1.15.3.7 DEFINITIONS:

A. Administrator: "Administrator" means the state records administrator. (Section 14-3-2, NMSA 1978)

B. Agency: "Agency" means any state agency, department, bureau, board, commission, institution or other organization of the state government, the territorial government and the Spanish and Mexican governments in New Mexico. (Section 14-3-2, NMSA 1978)

C. Audit: A periodic examination of an organization to determine whether appropriate procedures and practices are followed.

D. Commission: "Commission" means the state commission of public records. (Section 14-3-2, NMSA 1978)

E. Pending litigation: A proceeding in a court of law whose activity is in progress but not yet completed.

F. Record destruction: The process of totally obliterating information on records by any method to make the information unreadable or unusable under any circumstances.

G. Records management: The systematic control of all records from creation or receipt through processing, distribution, maintenance and retrieval, to their ultimate disposition.

H. Records retention period: The period of time during which records must be maintained by an organization because they are needed for operational, legal, fiscal, historical or other purposes.

I. Records retention schedule: A document prepared as part of a records retention program that lists the period of time for retaining records.

J. Public records: "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, or appropriate for preservation, by the agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations or other activities of the government, or because of the informational and historical value of data contained therein. (Section 14-4-2, NMSA 1978)

K. Non-records: Library or museum material of the state library, state institutions and state museums, extra copies of documents reserved only for convenience of reference and stocks of publications and processed documents are non-records. (Section 14-3-2 C, NMSA 1978). The following specific types of materials are non-records: extra copies of correspondence; documents preserved only for convenience of reference; blank forms/books which are outdated; materials neither made nor received in pursuance of statutory requirements nor in connection with the functional responsibility of the officer/agency; preliminary and non-final drafts of letters. reports and memoranda which may contain or reflect the working or deliberative process by which a final decision or position of the agency, board, department or subdivision thereof is reached: shorthand notes, steno tapes, mechanical recordings which have been transcribed, except where noted on agency retention schedules; routing and other interdepartmental forms which are not significant evidence of the activity concerned and do not otherwise have value as described above; stocks of publications already sent to archives and processed documents preserved for supply purposes only; form and guide letters, sample letters, form paragraphs; subject files, including copies of correspondence, memoranda, publications, reports and other information received by agency and filed by subject (also referred to as reading files or information files). [See also Item No. 1.15.2.101 of Records Retention and Disposition Schedule for General Administrative Records (1.15.2 NMAC filed 10/01/2000).]

[8-8-96; 5-19-97; 1.15.3.7 NMAC - Rn, 1 NMAC 3.2.90.7, 10/01/2000]

1.15.3.8 INSTRUCTIONS:

A. For records of an administrative nature, refer to the Records Retention and Disposition Schedule for General Administrative Records, 1.15.2 NMAC.

B. For records of a financial nature, refer to the Records Retention and Disposition Schedule for General Financial Records, 1.15.4 NMAC.

C. For records of a personnel nature, refer to the Records Retention and Disposition Schedule for General Personnel Records, 1.15.6 NMAC.

D. For records of a medical nature, refer to the Records Retention and Disposition Schedule for General Medical Records, 1.15.8 NMAC.

E. Retention periods shall be extended until six months after all current or pending litigation, current claims, audit exceptions or court orders involving a record have been resolved or concluded.

F. The descriptions of files are intended to be evocative, not complete. For example, there will always be some documents that are filed in a file that are not listed in the description, and similarly, not every file will contain an example of each document listed in the description.

G. Confidentiality is denoted as "-C-". Not all materials in a file may be confidential. Refer to NOTE. Where portions of file may be confidential, refer to legal counsel for agency.

H. Access to confidential documents and/or confidential files shall be only by authorization of agency or Attorney General and/or by court order, unless otherwise provided by statute. Release of confidential documents to law enforcement and other government agencies, shall only be upon specific statutory authorization or court order.

I. All records, papers or documents may be photographed, microfilmed, microphotographed or reproduced on film. Such photographs, microfilms, photographic film or microphotographs shall be deemed to be an original record for all purposes, including introduction in evidence in all courts or administrative agencies. (Section 14-1-5, 14-1-6 NMSA 1978)

J. Data processing and other machine readable records. Many paper records are being eliminated when the information has been placed on magnetic tapes, disks, or other data processing media. In these cases, the information on the data processing medium should be retained for the length of time specified in records retention & disposition schedules for paper records and should be subject to the same confidentiality and access restrictions as paper records. When the destruction of a record is required, all versions of said record shall be electronically over-written on machine readable media on which it is stored (or media destroyed). (See also 1.13.70 NMAC: PERFORMANCE GUIDELINES FOR THE LEGAL ACCEPTANCE OF PUBLIC RECORDS PRODUCED BY INFORMATION TECHNOLOGY SYSTEMS).

[8-8-96; 5-19-97; 1.15.3.8 NMAC - Rn, 1 NMAC 3.2.90.8, 10/01/2000]

1.15.3. 8-100 [RESERVED]

1.15.3.101 NON-RECORD MATERIALS:

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: the following specific types of materials are defined as “non-record” and may be disposed of at the convenience of the agency when they have no more value/use to the agency: extra copies of correspondence and other documents preserved only for convenience of reference; blank forms, books, etc., which are outdated; materials neither made nor received in pursuance of statutory requirement nor in connection with the functional responsibility of the office/agency; preliminary drafts of letters, reports, and memoranda which do represent significant basic steps in preparation of record documents; shorthand notes, steno tapes, mechanical recordings which have been transcribed, where noted on agency retention schedule; routing and other interdepartmental forms which do not add any significant material to the activity concerned; stocks of publication already sent to archives and processed documents preserved for supply purposes only; form and guide letters, sample letters, form paragraphs. All other materials either related or received in pursuance of statutory requirements or in connection with the transaction of public business which belong to the office concerned are government property and not personal property of the officer or employees concerned. Therefore, any material not included in the above definition cannot be destroyed, given, or taken away, or sold without complying with all the statutory requirements specifically relating to said records.

D. Retention:

[7-13-98; 1.15.3.101 NMAC - Rn, 1 NMAC 3.2.90.11.A101, 10/1/2000]

1.15.3.102 SUBJECT FILES:

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: correspondence, memoranda, publications, reports and other information received by agency and filed by subject. Also referred to as reading files or information files.

D. Retention: until superseded or until information no longer needed for reference

[7-13-98; 1.15.3.102 NMAC - Rn, 1 NMAC 3.2.90.11.A102, 10/1/2000]

1.15.3.103 PRIMARY MISSION RECORDS:

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: files concerning the establishment of the agency, its development and policies, its progress, operation summaries, plans for the future development, etc.

D. Retention: permanent

[7-13-98; 1.15.3.103 NMAC - Rn, 1 NMAC 3.2.90.11.A103, 10/1/2000]

1.15.3.104 AGENCY ORGANIZATIONAL CHARTS:

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: records that reflect the organizational structure of the agency and its divisions. Information includes a diagram, which shows a systematic and symbolic arrangement of an agency’s divisions and program areas by name and function.

D. Retention:

(1) Executive copy (agency director, deputy director, and division director): until superseded and until no longer needed for reference, then transfer to archives

(2) Non-executive copies: until superseded by new organizational chart

[7-13-98; 1.15.3.104 NMAC - Rn, 1 NMAC 3.2.90.11.A104, 10/1/2000]

1.15.3.105 ADMINISTRATIVE RULES:

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: rules, regulations, orders, statements of policy, and amendments as defined and filed in compliance with the state rules act (14-4-3 NMSA 1978). Administrative rules shall be filed with state records center, rules division (14-3-3 NMSA 1978).

D. Retention:

(1) Agency copy: until superseded or rescinded

(2) State records center (copy filed in rules and publications division): permanent

[7-13-98; 1.15.3.105 NMAC - Rn, 1 NMAC 3.2.90.11.A105, 10/1/2000]

1.15.3.106 ADMINISTRATIVE FILES (EXECUTIVE LEVELS):

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: records documenting actions of an agency director, deputy director, and/or division directors. Files may include memoranda and reports concerning agency policy, organizational and program development records, and non-routine fiscal data and personnel information. These records reflect administration of policy, coordination of agency functions, and management of program activity.

D. Retention: after five years transfer to archives for appraisal and final disposal

[7-13-98; 1.15.3.106 NMAC - Rn, 1 NMAC 3.2.90.11.A106, 10/1/2000]

1.15.3.107 ADMINISTRATIVE REFERENCE FILES (NON-EXECUTIVE LEVELS):

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: routine office management files retained below the agency director, deputy director, and division director levels. Included are convenience copies of memoranda, reports, printed matter, and other reference materials. Topics include such subjects as: job activities, program material, general office information, professional associations, charitable affairs, parking for staff, disaster preparedness, and other related topics.

D. Retention: until no longer needed for reference

[7-13-98; 1.15.3.107 NMAC - Rn, 1 NMAC 3.2.90.11.A107, 10/1/2000]

1.15.3.108 ADMINISTRATIVE CORRESPONDENCE FILES (EXECUTIVE LEVELS):

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: correspondence is related to the administration of an agency or division. Communications concern coordination of programs, agency policy, and responsibilities of a non-routine nature that impact on the agency or its divisions. These letters are usually found at the agency director, deputy director, and division director levels. This record group includes the correspondence files of all elected and appointed officials.

D. Retention: two years after close of fiscal year in which created, then transfer to archives for appraisal and final disposal

[7-13-98; 1.15.3.108 NMAC - Rn, 1 NMAC 3.2.90.11.A108, 10/1/2000]

1.15.3.109 GENERAL CORRESPONDENCE FILES (NON-EXECUTIVE LEVELS):

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: routine correspondence created or retained below the levels of agency director, deputy director, and division director. Letters and memoranda reflect communication regarding program procedures, general work activities, and responses to information requests.

D. Retention: one year after close of fiscal year in which created

[7-13-98; 1.15.3.109 NMAC - Rn, 1 NMAC 3.2.90.11.A109, 10/1/2000]

1.15.3.110 INTERSTATE COMPACTS:

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: interstate compact or other intergovernmental agreement as defined in the public records act (14-3-20 NMSA 1978). Interstate compacts and intergovernmental agreements shall be filed with state records center, rules and publications division (14-3-20 NMSA 1978)

D. Retention:

(1) Agency copy: six years after termination of compact or agreement

(2) State records center (copy filed in rules and publications division): permanent

[7-13-98; 1.15.3.110 NMAC - Rn, 1 NMAC 3.2.90.11.A110, 10/1/2000]

1.15.3.111 EXECUTIVE ORDERS, PROCLAMATIONS, AND LEGISTLATIVE ADVISORIES:

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: instructions issued by the governor as the chief executive of state government.

D. Retention:

(1) Agency copy: until superseded or rescinded

(2) Governor’s office copy: until transferred to archives for review

(3) Copy filed with state records center, rules and publications division (14-4-2 and 14-4-4, NMSA 1978): permanent

[7-13-98; 1.15.3.111 NMAC - Rn, 1 NMAC 3.2.90.11.A111, 10/1/2000]

1.15.3.112 GOVERNING BOARD FILE:

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: records concerning agency dealings with the governing board of said agency. File may include original or copy of minutes of meetings, reports, related documentation, correspondence, etc.

D. Retention: five years then transfer to archives for appraisal and final disposition

[7-13-98; 1.15.3.112 NMAC - Rn, 1 NMAC 3.2.90.11.A112, 10/1/2000]

1.15.3.113 COMMITTEES/COUNCILS FILES:

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: records concerning various committees/councils with which office/department deals. File may contain copies of minutes of meetings, reports, notifications, correspondence, memoranda, related documentation, etc.

D. Retention: five years after close of fiscal year in which created

[7-13-98; 1.15.3.113 NMAC - Rn, 1 NMAC 3.2.90.11.A113, 10/1/2000]

1.15.3.114 MANUALS OF PROCEDURES:

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: manuals of procedure prepared and published by state agencies for the guidance of public officers and employees engaged in operations required for the efficient operation of state and local government, including but not limited to acquiring space, budgeting, accounting, purchasing, contracting, vouchering, printing, appointment and dismissal of employees, record maintenance, etc.

D. Retention:

(1) Agency copy: until superseded by new manual of procedure

(2) State records center copy (copy filed as publication with state records center): permanent

[7-13-98; 1.15.3.114 NMAC - Rn, 1 NMAC 3.2.90.11.A114, 10/1/2000]

1.15.3.115 POLICIES AND PROCEDURES FILES:

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: reference copies of current policies and procedures of government and non-government entities with which an agency deals.

D. Retention: until superseded or obsolete

[7-13-98; 1.15.3.115 NMAC - Rn, 1 NMAC 3.2.90.11.A115, 10/1/2000]

1.15.3.116 LEGISTLATION, AGENCY FILES:

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: documents pertaining to bills’ prospective legislation. Copies of bills and proposed (drafted) legislation. Includes supporting material relating to legislation, such as newspaper clippings, reports, correspondence, memoranda, etc.

D. Retention:

(1) Enacted legislation: four years, then transfer to archives for review and final disposal

(2) Failed/vetoed legislation: four years after close of fiscal in which created

[7-13-98; 1.15.3.116 NMAC - Rn, 1 NMAC 3.2.90.11.A116, 10/1/2000]

1.15.3.117 REPORTS:

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: [RESERVED]

D. Retention:

(1) Annual, biennial, and/or other periodic reports required by article V, section 9, N.M. constitution, and/or by specific statute: permanent

(2) Routine, interim, or progress reports: two years after close of fiscal year in which created

[7-13-98; 1.15.3.117 NMAC - Rn, 1 NMAC 3.2.90.11.A117, 10/1/2000]

1.15.3.118 ACCIDENT REPORT FILE:

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: reports of accidents involving agency personnel.

D. Retention:

(1) Files resulting in no action/claim/litigation: two years after date of accident

(2) Files resulting in action/claim/litigation: until incorporated into workers’ compensation file

[7-13-98; 1.15.3.118 NMAC - Rn, 1 NMAC 3.2.90.11.A118, 10/1/2000]

1.15.3.119 MINUTES OF MEETINGS:

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: records of official proceedings of governing bodies. Information includes agenda, date, place, list of attendees, and a summary of discussion and decisions. Official minutes may also include all informational attachments such as reports, surveys, proposals, studies, and charts distributed to members for discussion and for use in making decisions on agency policy, planning, and administrative matters. Official minutes shall include only those documents/attachments that have been formally introduced as part of a record.

D. Retention:

(1) Minutes of meetings of boards, commissions, and/or other policy-making bodies, as defined in open meetings Act (10-15-1, NMSA 1978): permanent

(2) Minutes of meetings of all other bodies: five years, then transfer to archives for appraisal and final disposal

(3) Tapes/recordings of meetings: after minutes have been transcribed and accepted at next meeting but no longer than two years after meeting date

(4) All other documentation including agenda, agenda package, etc: after next meeting date but no longer than two years after meeting date

[7-13-98; 1.15.3.119 NMAC - Rn, 1 NMAC 3.2.90.11.A119, 10/1/2000]

1.15.3.120 APPLICATIONS FOR EMPLOYMENT FILE:

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: applications for employment within particular office/department. File may contain application, resume, letters of reference/recommendation, correspondence, memoranda, related documentation, etc.

D. Retention:

(1) Applications and records for individuals hired: transfer to personnel office when individual accepts position

(2) Applications and records for individuals not hired: transfer to personnel office when position is filled

(3) Unsolicited applications: transfer to personnel office when received

[7-13-98; 1.15.3.120 NMAC - Rn, 1 NMAC 3.2.90.11.A120, 10/1/2000]

1.15.3.121 PUBLIC RELATIONS FILE:

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: information concerning agency publicity. File may include press releases, biographies, newspaper clippings, promotional materials, bulletins, broadcast scripts, photographs, visual documentation, and other related items

D. Retention: until no longer needed for reference, then transfer to archives for appraisal and final disposal

[7-13-98; 1.15.3.121 NMAC - Rn, 1 NMAC 3.2.90.11.A121, 10/1/2000]

1.15.3.122 MOTION PICTURES/VIDEO RECORDINGS:

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: [RESERVED]

D. Retention:

(1) Documentary/training films produced or funded by agency: until informational value ends, then transfer to archives for review

(2) Films acquired from outside sources for personnel and management training: until informational value ends

(3) Routine surveillance footage/recordings: 30 days after date created

(4) Footage/recordings that document routing meetings: 30 days after date created

[7-13-98; 1.15.3.122 NMAC - Rn, 1 NMAC 3.2.90.11.A122, 10/1/2000]

1.15.3.123 NEWSPAPER RELEASES:

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: includes news/press releases issued by the agency

D. Retention: four years after close of fiscal year in which created, then transfer to archives for review

[7-13-98; 1.15.3.123 NMAC - Rn, 1 NMAC 3.2.90.11.A123, 10/1/2000]

1.15.3.124 PHOTOGRAPHS:

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: photographic proofs and negatives of agency activities. Photographs may include identification according to time, place, and agency activity.

D. Retention: until no longer needed for reference, then transfer to archives for review

[7-13-98; 1.15.3.124 NMAC - Rn, 1 NMAC 3.2.90.11.A124, 10/1/2000]

1.15.3.125 PROPERTY FILES:

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: records of deeds and leases to real property owned or used by agency. Information includes description and location of the property, maps, sale agreements, land acquisition forms, deeds, lease agreements, and related correspondence.

D. Retention:

(1) Deeds and related documentation (property control copy): permanent. After property is sold, disposed of, or relinquished, files may be transferred to archives

(2) Leases and related documentation (property control copy): six years after termination of lease, then transfer to archives for appraisal and final disposal

(3) Deeds/leases and related documentation (agency information copy): six years after termination of lease or six years after property is sold/disposed of/relinquished

[7-13-98; 1.15.3.125 NMAC - Rn, 1 NMAC 3.2.90.11.A125, 10/1/2000]

1.15.3.126 BUILDING DRAWINGS, PLANS, AND BLUEPRINTS:

A. Program: administrative records common to all local government offices and educational institutions

B. Maintenance system: [RESERVED]

C. Description: origin