TITLE 1 GENERAL GOVERNMENT ADMINISTRATION
CHAPTER 19 LOCAL
GOVERNMENT RECORDS RETENTION AND DISPOSITION SCHEDULES (LGRRDS)
PART 9 LGRDS,
NEW MEXICO MUNICIPAL COURTS
1.19.9.1 ISSUING
AGENCY: New Mexico Commission of Public Records – State
Records Center and Archives
[1.19.9.1 NMAC - N, _/_/____]
1.19.9.2 SCOPE: New
Mexico municipal courts
[1.19.9.2 NMAC - N, _/_/____]
1.19.9.3 STATUTORY
AUTHORITY: The state records administrator shall
establish records disposal schedules for the orderly retirement
of records in compliance with the Public Records Act.
[1.19.9.3 NMAC - N, _/_/____]
1.19.9.4 DURATION: permanent
[1.19.9.4 NMAC - N, _/_/____]
1.19.9.5 EFFECTIVE
DATE: July 9, 2002 unless a later date is cited
at the end of a section.
[1.19.9.5 NMAC - N, _/_/____]
1.19.9.6 OBJECTIVE:
A. To
establish a records management program for the application of efficient
and economical management methods to the creation, utilization,
maintenance, retention, preservation and disposal of official court
records.
B. To
establish records disposal schedules for the orderly retirement
of records regulations necessary for the carrying out of the Public
Records Act.
[1.19.9.6 NMAC - N, _/_/____]
1.19.9.7 DEFINITIONS:
A. “Note
bene” stands for information important for the administration
of the retention period.
B. “DUI” stands
for driving under the influence.
C. “DV” stands
for domestic violence.
[1.19.9.7 NMAC - N, _/_/____]
1.19.9.8 INSTRUCTIONS:
A. For
records of an administrative nature, refer to the Records Retention
and Disposition Schedule for General Administrative Records, 1.15.3
NMAC.
B. For
records of a financial nature, refer to the Records Retention and
Disposition Schedule for General Financial Records, 1.15.5 NMAC.
C. For
records of a personnel nature, refer to the Records Retention and
Disposition Schedule for General Personnel Records, 1.15.7 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 for files likely to contain confidential materials,
but files without a confidentiality note nonetheless may contain
confidential or privileged materials and failure to include an
express confidentiality note in the description of a file does
not waive the confidential or privileged nature of those materials. Refer
questions concerning the confidentiality of a file or portions
of a file to legal counsel for the court.
H. Access
to confidential documents or confidential files shall be only by
authorization of agency or attorney general 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,
micro photographed 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. Electronic
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 and 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 3.2.70.1 NMAC: Performance Guidelines for the Legal
Acceptance of Public Records Produced by Information Technology
Systems).
[1.19.9.8 NMAC - N, _/_/____]
1.19.9.9 ACRONYMS
A. “DUI” stands
for driving under the influence.
B. “DV” stands
for domestic violence.
C. “DWI” stands
for driving while intoxicated and means DUI.
[1.19.9.9 NMAC - N, _/_/____]
1.19.9.10 – 1.19.9.100 [reserved]
1.19.9.101 MONEY
TRANSACTION REPORTS:
A. Program: administration
B. Maintenance
System: chronological by fiscal year
C. Description: record
concerning the receipt and disbursement of bonds, fines and fees. Record
may show report and date, judge, docket number, receipt number,
receipt amount, defendant name, authorizing signature, etc. [Record
may be original or output from an automated system.]
D. Retention: 3
years after close of fiscal year in which created
E. Confidentiality:
F. Note
bene: Court may keep a unified Money Transaction
Report or may keep reports based on type of transaction (i.e.
Bond Transaction Report, Fine Transaction Report, Refund Transaction
Report, etc.).
[1.19.9.101 NMAC - Rp 1 NMAC 3.2.94.950.101, _/_/____]
1.19.9.102 COURT
AGENDA:
A. Program: administration
B. Maintenance
System: chronological by court date and time
C. Description: record
of court schedule. Record may show court date, judges, violation
date, citation number, defendant name, docket number, etc. [Record
may be original or output from an automated system.]
D. Retention: 30
days after scheduled court date [retention on final version]
E. Confidentiality:
F. Note
bene: Court Agenda is also known as Docket Call
or Court Calendar.
[1.19.9.102 NMAC - Rp 1 NMAC 3.2.94.950.102, _/_/____]
1.19.9.103 NON-DUI
AND NON-DOMESTIC VIOLENCE CRIMINAL CASE FILE (DOCKET FILE):
A. Program: criminal
matters
B. Maintenance
System: numerical by docket number
C. Description: record
of proceedings in municipal court [excluding DUI and DV cases]. File
may contain criminal docket sheet, Uniform Traffic Citation, arrest
report, criminal complaint, summons, Probable Cause Form, bail
bond forms, Condition of Release forms, Notice of Appeal, Warrants,
Failure to Appear Notices, Entry of Appearance form, Remand Order,
Waiver of Counsel forms, No Contest forms, transportation documentation,
Judgment & Sentence forms, etc. [Documents may be original
or output from an automated system.]
D. Retention: 3
years from offense date
E. Confidentiality:
F. Note
bene:
(1) Issuance
of a Search Warrant requires the creation of a Case File and Docket.
(2) When
citations are filed, a docket number shall be issued and a Case
File created.
(3) Treatment
and psychological evaluations, supervision histories (i.e. probation,
mandatory programs, etc.) should not be part of the Criminal Case
File. Said documentation shall be returned to generating
entity or destroyed.
[1.19.9.103 NMAC - Rp 1 NMAC 3.2.94.950.103, _/_/____]
1.19.9.104 DUI
AND DOMESTIC VIOLENCE CRIMINAL CASE FILE (DOCKET FILE):
A. Program: criminal
matters
B. Maintenance
System: numerical by docket number
C. Description: record
of DUI and domestic violence proceedings in municipal court. File
may contain criminal docket sheet, Uniform Traffic Citation, arrest
report, criminal complaint, summons, Probable Cause Form, bail
bond forms, Condition of Release forms, Notice of Appeal, Warrants,
Failure to Appear Notices, Entry of Appearance form, Remand Order,
Waiver of Counsel forms, No Contest forms, transportation documentation,
Judgment & Sentence forms, etc.). [Record may be original or
output from an automated system.]
D. Retention: 3
years from offence date provided that a conviction report has been
filed when required.
E. Confidentiality:
F. Note
bene:
(1) Issuance
of a Search Warrant requires the creation of a case file and docket.
(2) When
citations are filed, a docket number shall be issued and a case
file created.
(3) Treatment/psychological
evaluations, supervision histories (i.e. probation, mandatory programs,
etc.) should not be part of the Criminal Case File. Said
documentation shall be returned to generating entity or destroyed.
(4) Cases
involving driving under the influence where there has been a conviction,
shall not be destroyed until DWI Conviction Report has been prepared
and forwarded to the administrative office of the courts.
(5) Cases
involving domestic violence where there has been a conviction shall
not be destroyed until Domestic Violence Conviction Report has
been prepared and forwarded to the administrative office of the
courts.
[1.19.9.104 NMAC - Rp 1 NMAC 3.2.94.950.104, _/_/____]
1.19.9.105 CRIMINAL
DOCKET:
A. Program: criminal
matters
B. Maintenance
System: numerical by docket number
C. Description: sequential
entries of matters coming into the court. Record may show
defendant name, docket number, offense, date, file date, judge,
charge, ordinance number, citation number, officer name, etc. [Record
may be original or output from an automated system.]
D. Retention: 3
years from date of last entry
E. Confidentiality:
F. Note
bene: Maintenance of Criminal Docket is optional
where a numbered docket index is available. [1.19.9.105
NMAC, - Rp 1 NMAC 3.2.94.950.105, _/_/____
1.19.9.106 DOCKET
CARDS (DOCKET SHEETS, CASE HISTORY FORMS):
A. Program: administration
B. Maintenance
System: numerical by docket number
C. Description: abstract
of case file data. Record may show docket number, defendant
name, defendant personal data, charge, charge date, officer's name,
citation number, police case number, bond information, entry dates,
appearance date, judge, dispositions, etc. [If court has
an automated system that allows searching by docket number, docket
cards nor sheets are required.]
D. Retention: 3
years from offense date
E. Confidentiality:
F. Note
bene: If Docket Cards are filed in other than
docket number order, a numeric index or docket book shall be
maintained.
[1.19.9.106 NMAC - Rp 1 NMAC 3.2.94.950.106, _/_/____]
1.19.9.107 CASE
INDEX:
A. Program: administration
B. Maintenance
System: alphabetical by defendant name
C. Description: record
of individual defendant coming into the court. Index may
show docket number, defendant name, incident date, etc. [If
court has an automated system that insures alphabetical indexing
by defendant, indexing is not required separately.]
D. Retention: 3
years after date index produced, or for cards, 3 years after of
date offense
E. Confidentiality:
F. Note
bene: Court shall insure that both alphabetical
and numerical access to case files is produced.
[1.19.9.107 NMAC - Rp 1 NMAC 3.2.94.950.107, _/_/____]
1.19.9.108 WARNINGS:
A. Program: administration
B. Maintenance
System:
C. Description: Uniform
Traffic Citation used for warnings.
D. Retention: no
retention required on this item.
E. Confidentiality:
F. Note
bene:
[1.19.9.108 NMAC - Rp 1 NMAC 3.2.94.950.108, _/_/____]
HISTORY OF 1.19.9 NMAC
Pre-NMAC History: The material in this part was derived
from that previously filed with State Records Center and Archives.
SRC Rule No. 92-01, Records Retention and Disposition Schedule
for New Mexico Municipal Courts, 4-16-92.
SRC Rule No. 94-10, Records Retention and Disposition Schedule
for New Mexico Municipal Courts, 7-5-94.
History of Repealed Material:
1 NMAC 3.2.94.950, Local Retention and Disposition Schedule, New
Mexico Municipal Courts – Repealed, 4-11-2002.
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