1 RECORDS AND INFORMATION MANAGEMENT TRAINING Presented by the Agency Analysis Bureau of the Records Management Division November 2015
2 2 Training Agenda Basic Records Management Information and Best Practices Access and security Lifecycle of a record File maintenance systems Records classification Storage Disposition Records Management Personnel (forms completion) Designation Storage Disposition
3 3 Training Objective The objective of this training is to provide you with the fundamental tools to develop and implement a successful records management program within your organization.
4 State Commission of Public Records Your Access to Public Information 4 Public Records Act et seq. NMSA 1978 Created the Commission of Public Records Commission Responsibilities Establish Records Centers Appoint a State Records Administrator Manage the facility Develop and maintain the State s Records Management Program, which includes the creation of the records retention and disposition schedule Pursuant to the Public Records Act, an agency must receive prior approval from the State Records Administrator to destroy public records
5 What is a public record? 5 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. Public Records Act Section NMSA 1978
6 What is a non record? 6 Blank forms Extra copies Drafts SPAM mail NMAC
7 What is RIM? 7 Records and information management (RIM) is the field responsible for the efficient and systematic control of the creation, distribution, use, maintenance, and disposition of records. A good records management program has proper retention and disposition practices, and records are easy to find.
8 8 Requirements for Maintaining a Successful Records Management Program Written policies Standard Operating Procedures Records Retention and Disposition Schedule Procedures for identifying and protecting mission critical records (vital records) and historical records Training Audit and Compliance
9 Access/Security 9 Location of records (physical, electronic) Permissions (physical, electronic) Access Security Background checks Passwords Clearance levels Network
10 Why is Access Control necessary? 10 Ensure systematic control Ensure accurate and reliable records Authenticity Integrity Reliability Usability Protection of sensitive information Protection of personal information Protection of proprietary information
11 Who is Responsible for your agency s Records Management Program? 11 The success of your agency s records management program depends on every employee s efforts! All agency staff from: Cabinet Secretaries Division Directors Staff Managers Systems Administrators Administrative Staff
12 12 Lifecycle of a Record
13 File Maintenance Systems 13 A maintenance system is an internal control process utilized for rapid retrieval of records. For example: Chronological Alphabetical Numerical Combination An ideal maintenance system allows for efficient and effective retrieval of records and application of retention.
14 File Maintenance 14 Active and closed file maintenance systems may differ. Active records should be maintained for ease of access Closed records should be maintained primarily by the date of file closure (trigger event), and secondarily by active record maintenance system descriptor
15 What is a Closed Record? 15 means a record where the retention trigger event has occurred and the file is closed. If a record is suspended or dormant, it has not closed; all actions related to the file must have occurred with no other possible actions before a record can be considered closed.
16 What is a trigger event? 16 The Trigger Event is the action that caused the file to close. Date audit report released Superseded or obsolete Close of calendar year The date of this trigger event starts the retention (countdown to final disposition)
17 17 Classifying Records
18 18 What is a Records Retention and Disposition Schedule (RRDS)? A RRDS defines the timeframe a record shall be retained to meet all legal, fiscal, administrative, and historical requirements The Functional RRDS provides classification of records by function
19 Determining Official Copy of Record 19 The official copy of record is the single record determined to be official for the purposes of fulfilling the retention requirements as outlined in the record retention and disposition schedule. If your program requires original documentation to be submitted, and your agency is not required to submit this original documentation to another agency, your agency is the keeper of the official copy of record
21 Classifying Records 21 Master Categories Administration Employee services Financial and accounting Governance and compliance Legal and judiciary Natural resource management Public health and social services Public safety services
22 Classifying Records 22 Tool.html
23 Classifying Records 23 Master Category Sub Category Function ACCOUNTS PAYABLE: A. Category: Financial and accounting accounting management B. Description: Records relating to accounts payable including, but not limited to, purchasing and reimbursements. C. Retention: destroy six years from date audit report released
24 24 Storage of Public Records
25 Records Center v. Archives 25 Records Center Storage of closed records Retention has not been met Agency maintains legal custody Archives Preservation of permanent historical records Legal and physical custody is transferred to the Commission of Public Records (CPR)
26 Records Storage 26 Only closed records shall be accepted for storage at the state records center. Records will not be accepted for storage whose retention will be met within 36 months. If your agency does not store records at the records centers, you are responsible for maintaining those records in a secure environment until they meet their retention.
27 27 Disposition of Public Records
28 Disposition 28 Means the final action in the course of a record s lifecycle Destruction (via approved methods) Transfer to archives Authorization to destroy any public record shall be obtained from the State Records Administrator prior to destruction.
29 Litigation Holds 29 A well managed RIM program prepares an organization not only for government investigations but also for potential litigation. If your organization s staff has been notified of litigation regarding a particular record, the retention for that record ceases to exist until all legal issues regarding that record are done. Agencies are required to notify records center staff of any pending litigation affecting records stored at the records center ( NMAC)
30 Tampering with public records 30 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 NMSA 1978 Whoever commits tampering with public records is guilty of a fourth degree felony
31 RIM Personnel 31 Records Custodian Chief Records Officer (CRO) Records Liaison Officer (RLO)
32 32 Designating Records Management Personnel
33 Roles of a Records Manager 33 basic knowledge of records management laws and best practices so that guidance can be provided to agency staff on records management issues good working knowledge of the agency's organizational structure, the mission of the agency and the type of program records created by the various organizational units ability to process, track, and maintain a history of all storage, withdrawals, transfer, and destruction of records
34 Records Custodian 34 NM Statute , Subsection I Records Custodian records custodian means the statutory head of the agency *Not to be confused with the designated records custodian for Inspection of Public Records Act requests
35 Chief Records Officer (CRO) 35 Designated by the agency records custodian. Administers the agency s records management program as a whole NMAC for further duties These duties are in addition to the authorities and responsibilities of a record liaison officer
36 Designation of CRO Form: 36
37 Records Liaison Officer 37 Designated by record s custodian RLO has the authority to sign off on disposition forms approved by State Records Administrator Designation must be renewed every fiscal year NMAC for further duties
38 38 Designation of RLO Form:
39 Pick Up Personnel 39 Authorized to pick up records at the records center
40 Designation of Pick Up Personnel Form: 40
41 41 STORAGE and INDEX FORMS
42 Electronic Storage Form (General Input Form) 42
43 43 Electronic Storage Form
44 Practice PROGRAM AND PROJECT FILES: A. Category: Administration general management B. Description: Records related to administrative programs and projects not identified in other classifications. C. Retention: destroy five years from date file closed Start Range: Acequia Madre Restoration End Range: Gila River Restoration Start Date: 10/21/2014 Trigger Date: 10/01/ PRESS AND NEWS RELEASES: A. Category: Administration community and public relations B. Description: Records related to official government press, news releases and notices. C. Retention: permanent, transfer to archives five years from date file created Start Range: End Range: Start Date: 01/01/2015 Trigger Date: 08/31/2015
45 45 Electronic Storage Form
46 Electronic Storage Form (Practice Answers) 46
47 Storage of Permanent Records 47 Records with the disposition of transfer to archives, which include records with the retention of permanent or transfer to archives, shall include an index approved by the administrator that describes the contents of the box NMAC
48 48 Electronic Permanent Index Form
49 49 Box Withdrawal Form
50 50 Request for Destruction Forms
51 Records Center or On Site Destruction 51 Records Center destruction is free For legal and audit purposes, the agency shall retain proof of the records destroyed Confidential records shall be destroyed through a bonded document recycling vendor by shredding in such a manner that the information cannot be read Non confidential records can be destroyed by the following methods: Dumpsite burial Shredding NMAC
52 Request For Destruction Form 52
53 53 Request for Destruction Form (Example)
54 Practice ACCOUNTS PAYABLE: A. Category: Financial and accounting accounting management B. Description: Records relating to accounts payable including, but not limited to, purchasing and reimbursements. C. Retention: destroy six years from date audit report released [ NMAC N, 10/01/2015] Secondary descriptor: P.O. s and payment vouchers Trigger Date: 06/30/2009 Number of boxes: GOODS AND SERVICES: A. Category: Legal and judiciary contract management B. Description: Records related to contracting of goods and services. C. Retention: destroy six years from date file closed [ NMAC N, 10/01/2015] Secondary descriptor: PSC's and contracts (Sandia) Trigger Date: 09/15/2009 Number of boxes: 6
55 55 Request for Destruction Form (Example)
56 56 Local Government Notice of Destruction
57 57 QUESTIONS?
58 Commission of Public Records Contact information 58 AGENCY ANALYSIS BUREAU Jackie Garcia, Bureau Chief Jennifer Camp, Senior Management Analyst Susan Montoya, Management Analyst Tanya Vigil, Management Analyst STATE ARCHIVES Felicia Lujan, Division Director RECORDS CENTER MANAGER Crystal Wooldridge Phone No: SANTA FE RECORDS CENTER 1205 Camino Carlos Rey Santa Fe, NM Cameron O Rear Phone No: ALBUQUERQUE R.C Yale Blvd NE Ste. A Albuquerque, NM Martin Sandoval Phone No: Website: