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
New Mexico local governments and educational institutions
[8-8-96; 1.15.3.2 NMAC - Rn, 1 NMAC 3.2.90.2, 10/01/2000; A, 1/6/2002]
1.15.3.3 STATUTORY
AUTHORITY: The administrator shall establish a records management
program and 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 not become effective until thirty days after the
filing date, Section 14-3-6 NMSA 1978.
[8-8-96; 1.15.3.3 NMAC - Rn, 1 NMAC 3.2.90.3, 10/01/2000; A, 1/6/2002]
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: To
establish records disposal schedules for the orderly retirement of
records, Section 14-3-6 NMSA 1978.
[8-6-96; 1.15.3.6 NMAC - Rn, 1 NMAC 3.2.90.6, 10/01/2000; A, 1/6/2002]
1.15.3.7 DEFINITIONS:
A. "Administrator" means
the state records administrator (Section 14-3-2 NMSA 1978).
B. "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” means
a periodic examination of an organization to determine whether appropriate
procedures and practices are followed.
D. "Commission" means
the state commission of public records (Section 14-3-2 NMSA 1978).
E. “Pending
litigation” means a proceeding in a court of law whose activity
is in progress but not yet completed.
F. “Records
management means the systematic control of all records from creation
or receipt through processing, distribution, maintenance and retrieval,
to their ultimate disposition.
G. “Records
retention period” means 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.
H. “Records
retention schedule” means a document prepared as part of a
records retention program that lists the period of time for retaining
records.
[8-8-96; 5-19-97; 1.15.3.7 NMAC - Rn, 1 NMAC 3.2.90.7, 10/01/2000;
A, 1/6/2002]
1.15.3.8 ABBREVIATIONS
AND ACRONYMS:
A. “SRC” stands
for state records center
B. “USC” stands
for United States code
[8-8-96; 5-7-97; 1.15.3.8 NMAC - Rn, 1 NMAC 3.2.90.8, 10/01/2000;
N, 1/6/2002]
1.15.3.9 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 agency.
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, 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. 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 1.13.70 NMAC:
Performance Guidelines for the Legal Acceptance of Public Records
Produced by Information Technology Systems).
[1.15.3.9 NMAC – Rn, 1 NMAC 3.2.90.8 & A, 1/6/2002]
1.15.3.10-100 [RESERVED]
1.15.3.101 NON-RECORD
MATERIALS:
A. Program: administrative
records
B. Maintenance
system: entity preference
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: none
[7-13-98; 1.15.3.101 NMAC - Rn, 1 NMAC 3.2.90.11.A101, 10/1/2000;
A, 1/6/2002]
1.15.3.102 SUBJECT
FILES:
A. Program: administrative
records
B. Maintenance
system: entity preference
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;
A, 1/6/2002]
1.15.3.103 PRIMARY
MISSION RECORDS:
A. Program: administrative
records
B. Maintenance
system: entity preference
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;
A, 1/6/2002]
1.15.3.104 AGENCY
ORGANIZATIONAL CHARTS:
A. Program: administrative
records
B. Maintenance
system: entity preference
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;
A, 1/6/2002]
1.15.3.105 ADMINISTRATIVE
RULES:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: rules,
regulations, orders, statements of policy, and amendments as defined
and filed in compliance with the state rules act (Section 14-4-3
NMSA 1978). Administrative rules shall be filed with state records
center, rules division (Section 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;
A, 1/6/2002]
1.15.3.106 ADMINISTRATIVE
FILES (EXECUTIVE LEVELS):
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: records
documenting actions of an agency director, deputy director, 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;
A, 1/6/2002]
1.15.3.107 ADMINISTRATIVE
REFERENCE FILES (NON-EXECUTIVE LEVELS):
A. Program: administrative
records
B. Maintenance
system: entity preference
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;
A, 1/6/2002]
1.15.3.108 ADMINISTRATIVE
CORRESPONDENCE FILES (EXECUTIVE LEVELS):
A. Program: administrative
records
B. Maintenance
system: entity preference
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;
A, 1/6/2002]
1.15.3.109 GENERAL
CORRESPONDENCE FILES (NON-EXECUTIVE LEVELS):
A. Program: administrative
records
B. Maintenance
system: entity preference
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;
A, 1/6/2002]
1.15.3.110 INTERSTATE
COMPACTS:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: interstate
compact or other intergovernmental agreement as defined in the public
records act (Section 14-3-20 NMSA 1978). Interstate compacts and
intergovernmental agreements shall be filed with state records center,
rules and publications division (Section 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;
A, 1/6/2002]
1.15.3.111 EXECUTIVE
ORDERS, PROCLAMATIONS, AND LEGISTLATIVE ADVISORIES:
A. Program: administrative
records
B. Maintenance
system: entity preference
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;
A, 1/6/2002]
1.15.3.112 GOVERNING
BOARD FILE:
A. Program: administrative
records
B. Maintenance
system: entity preference
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;
A, 1/6/2002]
1.15.3.113 COMMITTEES
OR COUNCILS FILES:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: records
concerning various committees/councils with which office or 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;
A, 1/6/2002]
1.15.3.114 MANUALS
OF PROCEDURES:
A. Program: administrative
records
B. Maintenance
system: entity preference
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;
A, 1/6/2002]
1.15.3.115 POLICIES
AND PROCEDURES FILES:
A. Program: administrative
records
B. Maintenance
system: entity preference
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;
A, 1/6/2002]
1.15.3.116 LEGISTLATION,
AGENCY FILES:
A. Program: administrative
records
B. Maintenance
system: entity preference
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
or 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;
A, 1/6/2002]
1.15.3.117 REPORTS:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: [RESERVED]
D. Retention:
(1) Annual,
biennial, or other periodic reports required by Article V, Section
9, N.M. Constitution, or by specific statute: permanent
(2) Routine,
interim, or progress reports: two years after close
of fiscal year in which created
(3) Ad
hoc reports: none
[7-13-98; 1.15.3.117 NMAC - Rn, 1 NMAC 3.2.90.11.A117, 10/1/2000;
A, 1/6/2002]
1.15.3.118 ACCIDENT
REPORT FILE:
A. Program: administrative
records
B. Maintenance
system: entity preference
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;
A, 1/6/2002]
1.15.3.119 MINUTES
OF MEETINGS:
A. Program: administrative
records
B. Maintenance
system: entity preference
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 and 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
or recordings of meetings: after minutes have been
transcribed and accepted at next meeting but no longer than two
years after meeting date. (Resolution No. 03-022 adopted
7-15-02 extended the retention to 10 years for the audio recording
of the city council meetings.)
(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;
A, 1/6/2002]
1.15.3.120 APPLICATIONS
FOR EMPLOYMENT FILE:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: applications
for employment within particular office or department. File may contain
application, resume, letters of reference or 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;
A, 1/6/2002]
1.15.3.121 PUBLIC
RELATIONS FILE:
A. Program: administrative
records
B. Maintenance
system: entity preference
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;
A, 1/6/2002]
1.15.3.122 MOTION
PICTURES OR VIDEO RECORDINGS:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: [RESERVED]
D. Retention:
(1) Documentary
or 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 or recordings: 30 days after
date created
(4) Footage
or 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;
A, 1/6/2002]
1.15.3.123 NEWSPAPER
RELEASES:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: includes
news or 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;
A, 1/6/2002]
1.15.3.124 PHOTOGRAPHS:
A. Program: administrative
records
B. Maintenance
system: entity preference
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;
A, 1/6/2002]
1.15.3.125 PROPERTY
FILES:
A. Program: administrative
records
B. Maintenance
system: entity preference
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
or leases and related documentation (agency information copy): six
years after termination of lease or six years after property is
sold, or disposed of, or relinquished
[7-13-98; 1.15.3.125 NMAC - Rn, 1 NMAC 3.2.90.11.A125, 10/1/2000;
A, 1/6/2002]
1.15.3.126 BUILDING
DRAWINGS, PLANS, AND BLUEPRINTS:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: original
of photographic reproduction of architectural plans or technical
drawings. Access to documentation of restricted or security areas
(i.e., correctional facilities, museum and archival vaults, etc.)
shall be limited to authorized personnel only.
D. Retention:
(1) Property
control copy: permanent. After no longer needed
for reference, files may be transferred to archives
(2) Agency
information copy: until no longer needed for reference,
then transfer to archives for appraisal and final disposal
[7-13-98; 1.15.3.126 NMAC - Rn, 1 NMAC 3.2.90.11.A126, 10/1/2000;
A, 1/6/2002]
1.15.3.127 SURVEYS
OR MAPS:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: surveys
or maps developed by an agency to carry out its mission and function.
Information concerns roads, property lines, corners, monuments, road
marker placements, structures, sites, and other related data.
D. Retention: until
no longer needed for reference, then transfer to archives for appraisal
and final disposal
[7-13-98; 1.15.3.127 NMAC - Rn, 1 NMAC 3.2.90.11.A127, 10/1/2000;
A, 1/6/2002]
1.15.3.128 MAINTENANCE
SERVICE FILE:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: records
concerning maintenance services conducted for office or department.
File may include work orders, maintenance reports, related documentation,
correspondence, memoranda, service agreements, etc.
D. Retention:
(1) Service
agreements: six years after termination of agreement
(2) All
other records: three years after date of last entry
[7-13-98; 1.15.3.128 NMAC - Rn, 1 NMAC 3.2.90.11.A128, 10/1/2000;
A, 1/6/2002]
1.15.3.129 SUPPLIES
AND EQUIPMENT FILE:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: records
concerning supplies and equipment. File may contain accounting records,
operating manuals, warranties, inventories, related documentation,
correspondence, memoranda, etc.
D. Retention:
(1) Warranties: six
years after termination of warranty
(2) Equipment
records, including operating manuals: until disposition
of equipment
(3) Supply
records: three years after audit report released
[7-13-98; 1.15.3.129 NMAC - Rn, 1 NMAC 3.2.90.11.A129, 10/1/2000;
A, 1/6/2002]
1.15.3.130 SURPLUS
PROPERTY FILE:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: records
concerning surplus property and its disposition. File may contain
inventories, records of disposal, accounting information, related
documentation, correspondence, memoranda, etc.
D. Retention: one
year after disposition of property or three years after all audits
are released, which ever is longer
[7-13-98; 1.15.3.130 NMAC - Rn, 1 NMAC 3.2.90.11.A130, 10/1/2000;
A, 1/6/2002]
1.15.3.131 TELEPHONE
BILLINGS FILE:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: reference
copies of monthly office telephone bills.
D. Retention: until
audit report released
[7-13-98; 1.15.3.131 NMAC - Rn, 1 NMAC 3.2.90.11.A131, 10/1/2000;
A, 1/6/2002]
1.15.3.132 TELEPHONE
LOGS:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: listing
of telephone calls made by agency personnel for a particular time
period. Logs may reflect date, time, caller, recipient of call, nature
of business discussed, etc.
D. Retention: three
years after close of fiscal year in which created
[7-13-98; 1.15.3.132 NMAC - Rn, 1 NMAC 3.2.90.11.A132, 10/1/2000;
A, 1/6/2002]
1.15.3.133 WORK
ORDERS FILE:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: work
orders submitted to maintenance office or physical plant
D. Retention:
(1) Reference
copy (copy maintained by entity requesting work): until
work completed
(2) Maintenance
office/physical plant copy: one year after work
completed
[7-13-98; 1.15.3.133 NMAC - Rn, 1 NMAC 3.2.90.11.A133, 10/1/2000;
A, 1/6/2002]
1.15.3.134 CALENDAR
OF EVENTS FILE:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: reference
copies of agency calendars of events.
D. Retention: until
superseded or obsolete
[7-13-98; 1.15.3.134 NMAC - Rn, 1 NMAC 3.2.90.11.A134, 10/1/2000;
A, 1/6/2002]
1.15.3.135 SCHEDULES
OF DAILY ACTIVITIES:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: records
used to keep track of work-related events and commitments of agency
staff members. Record includes daily appointment books, calendars,
and other records indicating dates for meeting and work activities
D. Retention: until
no longer needed for reference but no longer than one year after
close of calendar year in which created
[7-13-98; 1.15.3.135 NMAC - Rn, 1 NMAC 3.2.90.11.A135, 10/1/2000;
A, 1/6/2002]
1.15.3.136 LISTS
OR DIRECTORIES:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: includes
mailing lists, directories, rosters, and registers compiled by the
agency.
D. Retention: until
superseded
[7-13-98; 1.15.3.136 NMAC - Rn, 1 NMAC 3.2.90.11.A136, 10/1/2000;
A, 1/6/2002]
1.15.3.137 SPEECH
FILES:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: transcript
of speeches given by agency personnel. Speeches concern program
procedure, work activities, and related concepts.
D. Retention:
(1) Executive
levels (including elected and appointed officials): until
no longer needed for reference, then transfer to archives for appraisal
and final disposal
(2) Non-executive
levels: until no longer needed for reference
[7-13-98; 1.15.3.137 NMAC - Rn, 1 NMAC 3.2.90.11.A137, 10/1/2000;
A, 1/6/2002]
1.15.3.138 CONFERENCES
OR WORKSHOPS ATTENDED FILE:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: records
of conferences or workshops attended by office or departmental personnel.
File may contain agendas, programs, handouts, correspondence, memoranda,
related documentation, etc.
D. Retention: until
no longer needed for reference
[7-13-98; 1.15.3.138 NMAC - Rn, 1 NMAC 3.2.90.11.A138, 10/1/2000;
A, 1/6/2002]
1.15.3.139 CONFERENCES
OR WORKSHOPS CONDUCTED FILE:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: records
of conferences or workshops conducted by office or departmental personnel.
File may contain agendas, programs, handouts, reports, training materials,
critiques, questionnaires, correspondence, memoranda, related documentation,
etc.
D. Retention: after
five years, transfer to archives for appraisal and disposal
[7-13-98; 1.15.3.139 NMAC - Rn, 1 NMAC 3.2.90.11.A139, 10/1/2000;
A, 1/6/2002]
1.15.3.140 SIGNATURE
AUTHORIZATIONS:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: record
authorizing person to sign fiscal documents, personnel documents,
etc.
D. Retention: one
year after close of fiscal year in which created
[7-13-98; 1.15.3.140 NMAC - Rn, 1 NMAC 3.2.90.11.A140, 10/1/2000;
A, 1/6/2002]
1.15.3.141 ALCOHOL
AND DRUG ABUSE PROGRAM FILE:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: records
concerning the administration of the agency’s alcohol and drug
abuse program.
D. Retention: three
years after close of fiscal year in which created
[7-13-98; 1.15.3.141 NMAC - Rn, 1 NMAC 3.2.90.11.A141, 10/1/2000;
A, 1/6/2002]
1.15.3.142 OVERTIME
FILE:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: records
of overtime by office or department personnel.
D. Retention: one
year after overtime accrual date
[7-13-98; 1.15.3.142 NMAC - Rn, 1 NMAC 3.2.90.11.A142, 10/1/2000;
A, 1/6/2002]
1.15.3.143 AFFIRMATIVE
ACTION OR EQUAL EMPLOYMENT OPPORTUNUTY FILE:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: records
concerning agency’s affirmative action/equal opportunity program.
File may include regulations and guidelines, policies, reports, studies,
correspondence, and related records.
D. Retention:
(1) Annual
plan: three years after date issued, then transfer
to archives for appraisal and final disposal.
(2) Regulations,
policies, guidelines, reference materials: until
obsolete or superseded, then transfer to archives for appraisal
and final disposal
(3) Grievance
or complaint files: one year after date case closed
(4) Compliance
reviews: after five years, transfer to archives
for appraisal and final disposal
(5) Remaining
records: two years after date created
E. Confidentiality: Section 10-15-1
NMSA 1978.
[7-13-98; 1.15.3.143 NMAC - Rn, 1 NMAC 3.2.90.11.A143, 10/1/2000;
A, 1/6/2002]
1.15.3.144 SEARCH
COMMITTEE FILE:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: records
concerning activities of specially formed search committees charged
with recruiting new or replacement agency personnel. File may include
resumes, applications, correspondence, related records, memoranda,
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; 1.15.3.144 NMAC - Rn, 1 NMAC 3.2.90.11.A144, 10/1/2000;
A, 1/6/2002]
1.15.3.145 JOINT
POWERS AGREEMENTS:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: written
contractual agreement entered into between two or more public agencies
subject to any constitutional or legislative restrictions imposed
upon any of the contracting public agencies (Joint Powers Agreement
Act, Section 11-1-1 to Section 11-1-7 NMSA).
D. Retention: 10
years after termination of agreement, then transfer to archives for
review and final disposition
[7-13-98; 1.15.3.145 NMAC - Rn, 1 NMAC 3.2.90.11.A145, 10/1/2000;
A, 1/6/2002; A, 1/xx/2002]
1.15.3.146 DISASTER
RECOVERY FILE:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: records
concerning the preparation of a disaster plan and the organization
of salvage procedures for the agency. Records include the disaster
recovery plan, salvage procedures, information on training in disaster
recovery techniques, etc. A copy of this file should be maintained
off-site. In the event of a disaster, all copies of this file shall
be retained until any or all investigations have been concluded.
D. Retention: until
superseded by new plan or information
[7-13-98; 1.15.3.146 NMAC - Rn, 1 NMAC 3.2.90.11.A146, 10/1/2000;
A, 1/6/2002]
1.15.3.147 BUILDING
EMERGENCY EVACUATION FILE:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: records
concerning the safe and orderly evacuation of a building. Records
include evacuation plan, list of designated fire captains or coordination
leaders, training information, etc.
D. Retention: until
superseded by new plan or information
[7-13-98; 1.15.3.147 NMAC – Rn, 1 NMAC 3.2.90.11 A147, 10/1/2000;
A, 1/6/2002]
1.15.3.148 INTERNAL
AUDIT FILE:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: internal
audits of agency programs, operations, and of external contractors
and grantees. File may contain audit plan, entrance or exit conference
documentation, procedure questionnaires, correspondence, memoranda,
supporting documentation, and final audit report. This record series
does not include agency’s external audit report.
D. Retention: five
years after close of fiscal year audited
[7-13-98; 1.15.3.148 NMAC - Rn, 1 NMAC 3.2.90.11.A148, 10/1/2000;
A, 1/6/2002]
1.15.3.149 FINDING
AIDS (INDEXES):
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: indexes,
lists, registers, and other finding aids used to provide access to
records.
D. Retention: until
superseded or until related records are destroyed
[7-13-98; 1.15.3.149 NMAC - Rn, 1 NMAC 3.2.90.11.A149, 10/1/2000;
A, 1/6/2002]
1.15.3.150 PROJECT
CONTROL FILE:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: memoranda,
reports, and other records documenting assignments, progress, and
completion of projects. Record series does not include construction
project files.
D. Retention: one
year after close of fiscal year in which project completed or canceled
[7-13-98; 1.15.3.150 NMAC - Rn, 1 NMAC 3.2.90.11.A150, 10/1/2000;
A, 1/6/2002]
1.15.3.151 FEASIBILITY
STUDIES:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: studies
requested or conducted prior to the acquisition, installation, implementation,
or purchase of new technologies, equipment, properties, projects,
etc. Studies may be incorporated into other files (i.e., project
files).
D. Retention:
(1) Studies
requested or conducted by agency: five years after
completion or cancellation of study
(2) Courtesy
copies received by agency: until informational value
ends
[7-13-98; 1.15.3.151 NMAC - Rn, 1 NMAC 3.2.90.11.A151, 10/1/2000;
A, 1/6/2002]
1.15.3.152 CODE
OF CONDUCT:
A. Program: administrative
records
B. Maintenance
system: entity preference
C. Description: prescribed
standards which are peculiar and appropriate to the function and
purpose for which the agency or institution was created and exists. “All
codes approved by the governor shall be filed with the secretary
of state and shall be open to public inspection” (Section 10-16-11
NMSA 1978).
D. Retention:
(1) Agency
copy: until superseded by new code
(2) Secretary
of state: permanent
[7-13-98; 1.15.3.152 NMAC - Rn, 1 NMAC 3.2.90.11.A152, 10/1/2000;
A, 1/6/2002]
1.15.3.153-200 [RESERVED]
1.15.3.201 INSURANCE
POLICY FILE:
A. Program: risk
management records
B. Maintenance
system: entity preference
C. Description: records
concerning insurance coverage of agency property (buildings and contents,
equipment, automobiles, etc.).
D. Retention:
(1) Insurance
policy: 10 years after expiration of policy, provided
no claims or suits pending.
(2) Claim
files: three years after case close
[7-13-98; 1.15.3.201 NMAC – Rn, 1 NMAC 3.2.90.11A201, 10/1/2000;
A, 1/6/2002]
1.15.3.202 GROUP
INSURANCE POLICY FILE:
A. Program: risk
management records
B. Maintenance
system: entity preference
C. Description: records
concerning insurance coverage of agency employees (health, life,
accident, and long-term disability).
D. Retention:
(1) Group
insurance policy: 10 years after expiration of policy,
provided no claims or suits pending
(2) Individual
employee policy holders’ records (waiver and enrollment forms
applicable to group insurance in effect): three
years after employee terminated or retired, or three years after
termination of effective period
(3) Claim
file: until informational value ends
E. Confidentiality: claim
files containing health information are confidential. (14-6-1 NMSA
1978)
[7-13-98; 1.15.3.202 NMAC - Rn, 1 NMAC 3.2.90.11.A202, 10/1/2000;
A, 1/6/2002]
1.15.3.203 LIABILITY
CERTIFICATES OF COVERAGE FILE:
A. Program: risk
management records
B. Maintenance
system: entity preference
C. Description: records
concerning insurance coverage of agency liability.
D. Retention:
(1) Certificate
(policy): 10 years after expiration of policy, provided
no claims or suits pending
(2) Claim
files: three years after case closed
E. Confidentiality: claim
files containing health information are confidential. (Section 14-6-1
NMSA 1978)
[7-13-98; 1.15.3.203 NMAC - Rn, 1 NMAC 3.2.90.11.A203, 10/1/2000;
A, 1/6/2002]
1.15.3.204 SURETY
BOND FILE:
A. Program: risk
management records
B. Maintenance
system: entity preference
C. Description: records
concerning surety bond coverage of agency employees and persons acting
on behalf of or in service to the agency in any official capacity.
D. Retention:
(1) Certificate
(policy): 10 years after expiration of policy, provided
no claims or suits pending.
(2) Claim
files: three years after case closed
[7-13-98; 1.15.3.204 NMAC - Rn, 1 NMAC 3.2.90.11.A204, 10/1/2000;
A, 1/6/2002]
1.15.3.205 WORKER’S
COMPENSATION FILE:
A. Program: risk
management records
B. Maintenance
system: entity preference
C. Description: records
concerning workers’ compensation claims against agency. File
may include legal opinions and briefs, court documents, transcripts,
affidavits, photographs, findings, recommendations, correspondence,
related records, etc.
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