TITLE 1 GENERAL
GOVERNMENT ADMINISTRATION
CHAPTER 15 GENERAL RECORDS
RETENTION AND DISPOSITION SCHEDULES (GRRDS)
PART 7 GRRDS,
GENERAL PERSONNEL RECORDS (INTERPRETIVE)
1.15.7.1 ISSUING
AGENCY: [New Mexico Commission of Public Records]
State Records Center and Archives
[8-8-96; 1.15.7.1 NMAC - Rn, 1 NMAC 3.2.90.1, 10/01/2000]
1.15.7.2 SCOPE: (For
use by Counties, Municipalities, Universities and Public Schools)
[8-8-96; 1.15.7.2 NMAC - Rn, 1 NMAC 3.2.90.2, 10/01/2000]
1.15.7.3 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; 1.15.7.3 NMAC - Rn, 1 NMAC 3.2.90.3, 10/01/2000
1.15.7.4 DURATION: permanent
[8-8-96; 1.15.7.4 NMAC - Rn, 1 NMAC 3.2.90.4, 10/01/2000
1.15.7.5 EFFECTIVE
DATE: July 30, 1997
[1.15.7.5 NMAC - Rn, 1 NMAC 3.2.90.31, 10/01/2000
1.15.7.6 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; 1.15.7.6 NMAC - Rn, 1 NMAC 3.2.90.6, 10/01/2000
1.15.7.7 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 NMAC of Records Retention
and Disposition Schedule for General Administrative Records (1.15.2
NMAC filed 10/01/2000).]
[8-8-96; 5-19-97; 1.15.2.7 NMAC - Rn, 1 NMAC 3.2.90.7, 10/01/2000]
1.15.2.8 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; 1.15.2.8 NMAC - Rn, 1 NMAC 3.2.90.8, 10/01/2000]
1.15.7.9-100 [RESERVED]
1.15.7.101 PERSONNEL
FOLDERS:
A. Program: personnel
files
B. Maintenance
system: alphabetical by employee
C. Description: can
include but are not limited to personnel action requests. Salary
adjustment notices. Employee payroll information sheets, performance
evaluations, correspondence (includes disciplinary actions, commendations,
recommendation, etc.). General (includes applications, job
descriptions, test grades, certificates, resumes, transcripts, disclaimers,
etc.)
D. Retention:
(1) other
department copies: three years after employee terminated
or retired
(2) personnel
department copy: 55 years after employee terminated
or retires
[7-30-97; 1.15.7.101 NMAC – Rn, 1 NMAC 3.2.90.31.P101, 10/01/2000]
1.15.7.102 REJECTED
APPLICATIONS:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: [RESERVED]
D. Retention: three
years after rejected
[7-30-97; 1.15.7.102 NMAC – Rn, 1 NMAC 3.2.90.31.P102, 10/01/2000]
1.15.7.103 BACKGROUND
INVESTIGATION RECORD:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: can
include but are not limited to application, authorization, investigation,
final report, etc
D. Retention:
(1) hired
employees: three years after employee terminated
or rehired
(2) individual
not hired: three years after investigation
[7-30-97; 1.15.7.103 NMAC – Rn, 1 NMAC 3.2.90.31.P103, 10/01/2000]
1.15.7.104 PERSONNEL
EVALUATIONS:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: [RESERVED]
D. Retention: three
years after issued
[7-30-97; 1.15.7.104 NMAC – Rn, 1 NMAC 3.2.90.31.P104, 10/01/2000]
1.15.7.105 LEAVE
RECORDS:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: can
include but are not limited to application for leave, leave balance
sheets, etc
D. Retention: until
audit report released for year in which records created
[7-30-97; 1.15.7.105 NMAC – Rn, 1 NMAC 3.2.90.31.P105, 10/01/2000]
1.15.7.106 RETIREMENT
RECORDS:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: can
include but are not limited to application, certification, changes,
refunds, financial ledger, correspondence, etc
D. Retention:
(1) personnel
department copy: three years after employee terminated
or rehired
(2) retirement
association or board copy:
(a) inactive
employees: 70 years after employee’s date
of birth
(b) deceased
retirees: six years after deceased
[7-30-97; 1.15.7.106 NMAC – Rn, 1 NMAC 3.2.90.31.P106, 10/01/2000]
1.15.7.107 INSURANCE
RECORDS:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: deduction
authorization, request for change, waiver and copies of claims, correspondence,
etc
D. Retention:
(1) deduction
authorization, request for change, waiver: three
years after employee terminated or retired or three years after
termination of agreement
(2) copies
of claims, correspondence, etc.: until purpose is
served
[7-30-97; 1.15.7.107 NMAC – Rn, 1 NMAC 3.2.90.31.P107, 10/01/2000]
1.15.7.108 MISCELLANEOUS
DEDUCTION RECORDS:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: can
include but are not limited to records relative to credit union,
savings bonds, prepaid legal services, united way, garnishment, etc
D. Retention: three
years after final deduction
[7-30-97; 1.15.7.108 NMAC – Rn, 1 NMAC 3.2.90.31.P108, 10/01/2000]
1.15.7.109 REQUEST
FOR CERTIFICATE OF ELIGIBLES:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: shows
department name, proposed hire date, title position, name of interviewer,
kind of certificate, number of vacancies, authorization signatures,
etc
D. Retention: three
years after issued
[7-30-97; 1.15.7.109 NMAC – Rn, 1 NMAC 3.2.90.31.P109, 10/01/2000]
1.15.7.110 CERTIFICATE
OF ELIGIBLES:
A. Program: personnel
files
B. Maintenance
system: lists applicants in order of score
C. Description: shows
name and address, social security number, veteran’s preference
and residence points, phone number(s), department comment codes
D. Retention: three
years after issued
[7-30-97; 1.15.7.110 NMAC – Rn, 1 NMAC 3.2.90.31.P110, 10/01/2000]
1.15.7.111 PROMOTIONAL
AND TRANSFER OPPORTUNITY NOTICES (INTERNAL):
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: can
show position title, range, salary, location, supervisor, qualifications,
deadline, etc
D. Retention: three
years after issued
[7-30-97; 1.15.7.111 NMAC – Rn, 1 NMAC 3.2.90.31.P111, 10/01/2000]
1.15.7.112 EMPLOYEE
NUMBER LOGS:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: can
show number, name, date hired, etc
D. Retention: until
purpose is served
[7-30-97; 1.15.7.112 NMAC – Rn, 1 NMAC 3.2.90.31.P112, 10/01/2000]
1.15.7.113 EMPLOYEE
LISTING (PERSONNEL ROSTER):
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: can
list name, number, position, location, hire date, salary, etc
D. Retention:
(1) other
department: until new listing is issued
(2) personnel
department:
(a) bi-weekly: until
new listing is issued
(b) quarterly: five
years after issued
[7-30-97; 1.15.7.113 NMAC – Rn, 1 NMAC 3.2.90.31.P113, 10/01/2000]
1.15.7.114 CONTROL
LOGS:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: include
logs for controlling each step of personnel actions from initiation
through completion of action
D. Retention: until
all actions are completed
[7-30-97; 1.15.7.114 NMAC – Rn, 1 NMAC 3.2.90.31.P114, 10/01/2000]
1.15.7.115 ACTION
REMINDER LISTING, MONTHLY PRINTOUT:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: shows
personnel actions due to occur during the upcoming month
D. Retention: until
new listing is issued
[7-30-97; 1.15.7.115 NMAC – Rn, 1 NMAC 3.2.90.31.P115, 10/01/2000]
1.15.7.116 JOB
SPECIFICATION:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: shows
job title, definition, supervision and guidelines, examples of work
performed, distinguishing characteristics, minimum qualifications,
working conditions
D. Retention:
(1) other
department: once new specification is issued
(2) personnel
department: 10 years after job specification is
replaced
[7-30-97; 1.15.7.116 NMAC – Rn, 1 NMAC 3.2.90.31.P116, 10/01/2000]
1.15.7.117 JOB
DESCRIPTION QUESTIONNAIRE:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: shows
department, position, number, current and proposed classification,
name of incumbent and supervisor, personnel department signature,
description of work performed, etc
D. Retention:
(1) other
department: until new listing is issued
(2) personnel
department: 10 years after replaced
[7-30-97; 1.15.7.117 NMAC – Rn, 1 NMAC 3.2.90.31.P117, 10/01/2000]
1.15.7.118 TABLE
OF ORGANIZATIONAL LISTING (TOOL’S) MONTHLY PRINTOUT:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: shows
index of organizational units
D. Retention:
(1) other
department: until new listing is issued
(2) personnel
department:
(a) monthly: until
new listing is issued
(b) quarterly: permanent
[7-30-97; 1.15.7.118 NMAC – Rn, 1 NMAC 3.2.90.31.P118, 10/01/2000]
1.15.7.119 CLASSIFICATION
STUDY FILES:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: special
studies for proposed classifications; can include but are not limited
to job description, task statements, methodology, description of
study, salary surveys, relative correspondence, etc
D. Retention:
(1) other
department: three years after created
(2) personnel
department: 10 years after study is superseded
[7-30-97; 1.15.7.119 NMAC – Rn, 1 NMAC 3.2.90.31.P119, 10/01/2000]
1.15.7.120 STATE
GOVERNMENT INTERN POSITION REQUEST:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: shows
department identification, job description, preferred education/experience
requirement, special requirements of job, department authorization
and date
D. Retention:
(1) other
department: three years after issued
(2) personnel
department: three years after issued
[7-30-97; 1.15.7.120 NMAC – Rn, 1 NMAC 3.2.90.31.P120, 10/01/2000]
1.15.7.121 POSITION
CHANGE REQUEST:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: shows
type and identification of proposed change, department identification,
approved or disapproved signature of personnel office and finance
department
D. Retention:
(1) approved
request:
(a) finance
department copy: five years after close of fiscal
year in which created
(b) key
punch copy: until key punched and verified
(c) other
department: three years after issued
(d) personnel
office: see item 1.15.7.117 NMAC
(2) disapproved
request:
(a) other
department: three years after issued
(b) second
copy (if disapproved by personnel office: three
years after issued
(c) third
(canary) personnel office copy: until action is
completed
[7-30-97; 1.15.7.121 NMAC – Rn, 1 NMAC 3.2.90.31.P121, 10/01/2000]
1.15.7.122 LIST
OF APPROVED CLASS SPECIFICATIONS (CLASSIFICATION AND COMPENSATION
PLAN):
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: shows
specification number, range, abbreviated title, full title
D. Retention:
(1) other
department: until new list is issued
(2) personnel
office: 10 years after replaced
[7-30-97; 1.15.7.122 NMAC – Rn, 1 NMAC 3.2.90.31.P122, 10/01/2000]
1.15.7.123 NOTICE
OF CHANGE OF CLASS SPECIFICATION:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: shows
manifest number, effective date, present class title and specification
number, nature of action, etc
D. Retention:
(1) other
department: until new list is issued
(2) personnel
office: 10 years after replaced
[7-30-97; 1.15.7.123 NMAC – Rn, 1 NMAC 3.2.90.31.P123, 10/01/2000]
1.15.7.124 PERSONNEL
OFFICE MEMORANDUMS:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: [RESERVED]
D. Retention:
(1) other
department: until rescinded
(2) personnel
office: permanent
[7-30-97; 1.15.7.124 NMAC – Rn, 1 NMAC 3.2.90.31.P124, 10/01/2000]
1.15.7.125 EQUAL
EMPLOYMENT OPPORTUNITY AFFIRMATIVE ACTION PLANS, ANNUAL:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: required
annual by state and federal law, these are department assessments
of internal employment practices with specific policies and procedures
designed to eliminate the effects of institutional discrimination.
D. Retention: three
years after issued
[7-30-97; 1.15.7.125 NMAC – Rn, 1 NMAC 3.2.90.31.P125, 10/01/2000]
1.15.7.126 AGENCY
EEO STATISTICS, ANNUAL PRINTOUTS:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: reports
provided by the personnel office (or department generated) for use
in preparing affirmative action plans. They include but are not limited
to minority actions report, minority groups report, EEO profile of
employee job categories.
D. Retention:
(1) other
department: until affirmative action plan (item
no. 1.15.7.125) has been issued
(2) personnel
office: permanent
[7-30-97; 1.15.7.126 NMAC – Rn, 1 NMAC 3.2.90.31.P126, 10/01/2000]
1.15.7.127 GRIEVANCE
AND COMPLAINT FILES:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: can
contain but are not limited to complaint and grievance, correspondence,
summary of hearing, exhibits, committee, decisions, transcripts,
resolutions, depositions, etc
D. Retention: one
year after closed
[7-30-97; 1.15.7.127 NMAC – Rn, 1 NMAC 3.2.90.31.P127, 10/01/2000]
1.15.7.128 EDUCATION
AND TRAINING FILES:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: can
contain but are not limited to material relative to education of
training, test booklets, answer sheets, lists of attending employees,
course brochures, synopsis, copies of contracts, relative correspondence,
etc.
D. Retention: three
years after course conducted
[7-30-97; 1.15.7.128 NMAC – Rn, 1 NMAC 3.2.90.31.P128, 10/01/2000]
History of 1.15.7 NMAC:
Pre-NMAC History: the material in the part was derived from
that previously filed with the State Records Center under:
SRC Rule 81-4 Records Retention and Disposition Schedule for the
General Personnel Records, 8-31-81,
SRC Rule 94-17 Records Retention and Disposition Schedule for the
General Personnel Records, 6-30-97.
| 
Back