CITY OF LAS CRUCES

 

ã Shirley Clark, MMC

City Clerk

City of Las Cruces

P. O. Box 20000

Las Cruces, NM 88004

Phone 505 541 2118 • Fax 505 541 2117

November 2002

Table of Contents

WHY MANAGE RECORDS?. 1

PUBLIC RECORD.. 3

Inspection of Public Record. 4

Inspection of Public Records Policy. 5

Procedures for Requesting Records. 5

Fees For Reproduction of Public Record  6

RECORD INVENTORY.. 8

Cubic Foot Equivalency Chart 9

INACTIVE RECORD STORAGE.. - 11 -

RETENTION SCHEDULES. - 13 -

DESTRUCTION OF PUBLIC RECORD   - 16 -

Tampering with public records. - 17 -

 Certificate of Destruction. - 17 -

PRESERVATION OF PUBLIC RECORD   - 18 -

Micrographics and Electronic Records  - 19 -

Micrographics - - 19 -

Electronic records. - 20 -

Electronic Record as Original - 20 -

Steps to Designation of Computer as Original Record  - 20 -

Document Imaging Programs. - 21 -

TERMS USED IN MANAGING RECORDS  - 22 -

               

WHY MANAGE RECORDS?

 

One manages records for information, not the storage of paper  or other media.

 

“P ublic records are public property, owned by the people in the same sense that the citizens own their courthouse or city hall, sidewalks and streets, funds in the treasury.  Because records document the conduct of the public’s business, including the protection of rights, privileges, and property of individual citizens, they constitute a species of public property of a higher value than buildings, equipment and even money, all of which usually can be replaced.”

H. G. Jones, Local Government Records: An Introduction to Their Management, Preservation and Use (Nashville: American Association for State and Local History, 1980.  The only book that focuses exclusively on local government records management and archival programs.)

 

 

“The proper retention of official documents is not only essential to ensure the documents' safekeeping but also, equally critically, to our ability to retrieve these documents in response to legitimate inquiries by our residents.  Records retention also is important in response to the occasional litigation that arises in the normal course of business."

                                                ‑Raymond W. Stone

                                                Administrator

                                                Township of East Brunswick New Jersey

 

 

 

Records Management  is the control of information required in doing business.  The goal is the ability to find a needed piece of information, in the correct place, as quickly as possible, at the lowest reasonable cost.

 

Local government is under siege by paper, thanks to mandates, regulations and programs that require us to produce and file more documents than ever before.  Each year, more staff time and office space are spent to store, retrieve, copy and distribute documents.  That means less time is spent on delivering crucial services to taxpayers. 

Three percent of all documents are misfiled , costing an average of $200 per document to recover. ¹  

The National Archives  was created in 1934 as part of the General Services Administration (GSA).  Records Management  was created as a separate, identifiable function during World War II in response to a paperwork crisis.  It is still misunderstood. 

 

 

Government professionals don’t want more raw data, they want quick, easy access to relevant information.  Information that provides answers, information that enables government professionals to do their jobs better.

 

There are several reasons why it is not good business practice to keep records that have met their retention.  Two examples follow:

 

1.      The Town of Silver City was under siege by local government activists around 1996.  In an effort to ‘prove’ the activist’s point that all government was corrupt, Inspection of Public Record requests were made.  When all was said and done, the city clerk filled a 10’ x 12’ room from floor to ceiling with boxes of information requested.  Most of the documents had met their retention, but because they chose to keep them, they had to produce them.

 

2.      Quote from Richard M. Nixon, “It’s not the records you destroy that harm you, but the ones you keep.”

 

 

 

 

 

 

PUBLIC RECORD

 

Chapter 14, of the New Mexico State Statutes, contains regulations on  public records of the state, county and municipalities. Resolution No. 97-368 appoints the city clerk as the custodian of the pubic record and adopts the state records retention schedules as a guideline for the City of Las Cruces.

 

“Public record” means all documents, papers, letters, books, maps, tapes, photographs, recordings and other materials, regardless of physical form or characteristics, that are used, created, received, maintained or held by or on behalf of any public body and relate to public business, whether or not the records are required by law to be created or maintained.  (14-2-6(E) NMSA 1978)

 

 

A public record can include information received or created by the City of Las Cruces, in various forms including computer records.

 

A public record is defined above by statute.  If a document is categorized as ‘Confidential’, it is still a public record.  ‘Confidential’ only pertains to public disclosure  of the document, which is not permitted. 

 

There are instances where a court will issue an order to produce documents for litigation.  If the documents are confidential, there is a process to follow.  If you receive a court order, contact the city attorney or city clerk.

 

 

Inspection of Public Record  

 

Public records are open to inspection by any person.  Reasonable restrictions and conditions on access may be made for safekeeping of the documents.  Request for records from the police department are to be made directly to the record custodian  at the police department.

 

Employees are members of the public.  Although they have access to information created and received by the City of Las Cruces as part of their jobs, they do not have the right to give out information in any record without using the inspection process.  Employees do not have a right to information that is an exemption to the public records, act, unless it is included as part of their job duties.

 

Inspection of public records procedures have been adopted by Resolution No. 01-291.  Fees for the inspections are included in this resolution.  The Inspection of Public Record form is located on page 7 of this document.  If you need an electronic copy, please contact the city clerk’s office.

 

A denial to inspect the record requires a copy to the city manager and city attorney.

 

Review the first step in the process for inspection.  If a request is simple, it can be completed in the office the request is made.  However, when a request becomes complex, relating to several offices, it is preferable to send the written request to the city clerk to coordinate.

 

In the exceptions to the public’s right to inspect is Number 6, as otherwise provided by law.  There are specific exceptions to information contained in public documents that are not permitted to be released.  A complete list is available in the office of the city clerk.  If you have questions on the public disclosure  of a document, call the city attorney or city clerk.

 

 

 

 

 

 

 

 

 

 

 

 

 

Inspection of Public Records Policy

Everyone Has a Right to Inspect Any Public of the City of Las Cruces, Except:

 

1.                                          Records concerning physical or mental examinations.  

2.                                          Letters of reference  concerning employment, licensing or permits.

3.                                           Letters that are matters of opinion in personnel files .

4.                                          Law enforcement records revealing confidential sources.

5.                                          As provided by the Confidential Materials Act.

6.                                          As otherwise provided by law.

 

Procedures for Requesting Records

I.                                             An oral or written request is made to the custodian of record.  The City Clerk is the custodian of record for the City of Las Cruces. If a record is readily available where it is created, stored, or maintained, the request may be made in that office.  Police incident records are in the Las Cruces Police Department and requests shall be made to the Records Section.

 

II.                                           A written request shall provide the name, address and telephone number of the person requesting review of records .  Records shall be identified as accurately as possible.  A form is available in any city office.

 

III.                                          Inspection will be granted immediately, or when is practicable under circumstances, but no later than 15 days.

 

IV.                                       If the inspection is not granted within three business days, you will receive a letter from the custodian of record telling you when it will be available.

 

V.                                         Confidential information  in a specific record will be removed.

 

VI.                                       The City of Las Cruces is not required to create a record that does not exist.

 

VII.                                      Very difficult or large requests may take longer than 15 days.  If time extends past 15 days, you will receive a letter from the custodian of record telling you when it will be available.

 

VIII.                                    If your request to inspect records  is denied, the custodian of record will explain the denial.

 

IX.                                       If the custodian of record  does not deliver the records requested, or denied the inspection of the records incorrectly, a penalty may be imposed on the city. 

 

X.                                         Actions to enforce the Inspection of Public Records Act are taken by the Attorney General, or the District Attorney.

 

Fees For Reproduction of Public Record

                       

 

 

REQUEST FOR PUBLIC RECORDS       In accordance with Section 14‑2‑1 NMSA 1978, as amended, I would like to inspect the following documents, Please List Records with reasonable particularity:                         If your department does not maintain these public records, please let me know who does, and include the proper custodian name and address.   I promise to pay $ .50 per page for copying charges.  If the copying charges will exceed $___________, please call me to discuss.  I understand that I may be asked to pay the fee for copies in advance before you make any copies.   Public records will be available for inspection from 8:00 am to 5:00 pm on normal business days, in the presence of the records custodian.  Original records may not be removed from the City Offices.   Applicant  _______________________________                 Date _______________          Address    _______________________________ Telephone  _______________________________
For department use only
The request to inspect public records is: Approved ____________        Cost        ____________	Date filled:      _____________ No. of pages    _____________
Disapproved for the following reason(s):	____________________     ________ (Records custodian)                 (Date)

 

 

 

 

 

 

RECORD INVENTORY

Identifying types and quantities of records, and the storage equipment within an area, to determine the length of time to keep as an active or inactive record, or schedule for destruction.

 

The objectives of an inventory  include:

 

1.      Identify the types and quantities of records stored, and the record’s storage equipment used;

 

2.      To provide information on the type of business activity conducted now and in the past;

 

3.      To determine the value of records currently stored;

 

4.      To identify the location of and need for stored records within the city;

 

5.      To provide a basis for records destruction and retention schedules on a city wide basis.

 

Record inventory is not a one time activity, but a continuing process.  As each record series moves from an active to inactive record, the inventory form (RMF001) should be completed.  The Inventory form is located on page 10 of this document.  If you need an electronic copy, please contact the city clerk’s office. 

 

 

Volume of records is an important part of inventory .  A chart follows that shows the equivalency of file drawers to cubic feet, etc.  The measurement cubic feet is the industry norm for volume.

 

See Chapter 5 for retention schedules.

Cubic Foot  Equivalency Chart

 

File Folder Drawers  Cu.Ft.  Other Containers                  Cu.Ft.

Letter                             1.5          10" x 12" x 15"                 1.0

Letter Transfile             2.0          3 ½“x 8"x 14"-tab            0.2

Legal                             2.0          3 ½“x 8"x 24"-check  0.4

Legal Transfile              2.5          6" x 6" x 36" –check  0.6

Ledger                           3.0          6" x 6" x 48" –map          0.8

Jumbo                           4.0          4" x 4" x 48" - map          0.3

 

Shelf Units                                    Other items

Letter 36" long              2.4          3000 sheets of paper     1.0

Legal 36" long              3.0          100 microfilm rolls     1.0

 

Card File drawers       

3"x 5"x 26" long            0.4          All other Use Formula

3"x 5"x 14" long            0.2          L x W x H (inches)

3 ½ “x 7 ½ “ x 26"         0.4                                              1728" = 1 cu.ft.

3 ½ “x 7 ½ “ x 14"         0.2

4" x 6" x 26"                  0.5

4" x 6" x 14"                  0.2

5" x 8" x 26"                  0.7

5" x 8" x 14"                  0.4

6" x 9" x 26"                  1.0

6" x 9" x 14"                  0.6

8" x 8" x 26"                  1.2

8" x 8" x 14"                  0.6

 

Map or Plan Drawers

2" x 26" x 38"                1.1

2" x 38" x 50"                2.2

4" x 26" x 38"                2.3

4" x 38" x 50"                4.4

 

Map or Plan Tubes

2" x 2" x 38"                  0.1

2" x 2" x 50"                  0.1

4" x 4" x 38"                  0.3

4" x 4" x 50"                  0.5

RECORDS INVENTORY FORM

LOCATION

DEPARTMENT	OFFICE	STORAGE PLACE
CONTACT	TITLE	PHONE

IDENTIFICATION

ITEM NUMBER

OFFICIAL RECORDS SERIES TITLE

CONTENTS/CASE FILE

DESCRIPTION (Check all that apply)

ARRANGEMENT  SUBJECT                       GEO  ALPHA                           ORG  NUMERIC                      OTHER  CHRONOLOGICAL		FORMAT  < LETTER   DP PRINTOUT  MAGMED  LETTER      BOUND VOLS    ONLINE  LEGAL        MAPS DRAW     PHOTOS >LEGAL       MICROFILM      AVMEDIA		STORAGE  CABINET/SHELF  DESK DRAWER  BOXED  OTHER
VOLUME   TOTAL CUBIC FEET   __________   ANNUAL ACCUMULATION________	INCLUSIVE DATES   FROM _________________________   TO     ___________________________		ACTIVITY  MULTI DAILY       OTHER  DAILY  WEEKLY  MONTHLY

STATUS   (Check all that apply)

LEGAL STATUS  OFFICIAL RECORD  SUPPORTING FILES  REFERENCE MATERIALS	RESTRICTIONS           PUBLIC DISCLOSURE  VITAL RECORD      REQUIRED  CONFIDENTIAL      PROHIBITED  ARCHIVAL  SUBJECT TO AUDIT	FILE INTEGRITY  FILE BREAKS  MISSING ITEMS  RELATED ITEMS ELSEWHERE
INFORMATION DUPLICATED or SUMMARIZED ELSEWHERE? WHERE:                                                                       FORMAT:

ANALYSIS (Record Designee or Record Center use only)

RETENTION PERIOD: OFFICE                                       INACTIVE STORAGE                                       ARCHIVE

MICROFILM OR IMAGING RECOMMENDATIONS

RECEIVED BY:                                                        DELIVERED BY:                                   DATE:

INVENTORIED BY:                                                 DATE:                                                 DESTRUCTION DATE:

RECORDS CENTER STORAGE LOCATION: SHELF                                                           CABINET                                          NO. OF BOXES

 

INACTIVE RECORD STORAGE

 

The city clerk’s office can be responsible for maintaining inactive records for any department.  A record center is now located at the Hadley complex.  The control over the content of the records remains with the department or section.   The records are only maintained in a central facility.  Access to the record center is available to all employees or the public.  Information from document boxes is available by fax, email or inter-office mail. 

 

In order to use the record storage center , the following steps are required:

 

1.                  Proper storage box –

a.      The documents must be properly boxed in standard one cubic foot record storage boxes ( 10" x 12" x 15");

b.      Other box sizes will be allowed, if appropriate for the documents stored, for example – cancelled checks in check boxes (6”x6”x36”);

 

2.                  Label the box -                      

a.      Label which clearly states the contents of the box;

b.      Title of the record;

c.      Range of dates;

d.      Section the box belongs to;

e.      Date the records can be destroyed, according to the approved retention schedule;

 

3.                  Filling the box –

a.      Avoid filling a box with more than one type of record;

b.      If volume of one type of record is very small, records with the same destruction date would be permissible;

c.      Keep the contents of the box in good order, or in the order the records were filed in active storage;

d.      Do not dump or pile records in the box;

e.      Do not overfill the box;

 

 

4.                  Inventory  the box –

a.      The documents must be entered correctly on an inventory sheet, RMF001;

b.      Department Secretary is responsible for entering the inventory  information in the database; 

c.      Copy of RMF001 is given to the Department Secretary and the Records Center.

 

5.                  Departments and Sections are responsible for transportation of record boxes to the Records Center.

 

6.                  Destruction  of the record is the responsibility of the city clerk’s office.

 

7.                  Final authority to send documents to destruction remains with the Departments and Sections who store the record with the City Clerk.

 

 

RETENTION SCHEDULES

 

The City of Las Cruces has adopted the Record Retention Schedules as approved by New Mexico State Records and Archives. 

 

There are several schedules that can be used by municipalities.  Each schedule is printed in the Appendix of this manual. 

 

1.19.8            New Mexico Municipalities

 

In this schedule are those items which are peculiar to cities: 

           

1.19.8.105     Business Licenses

 

            1.19.8.106     Business Registrations

 

            1.19.8.116     Collective Bargaining

 

            1.19.8.201     Zoning Case Files

 

            1.19.8.402     Public Utility Maintenance Files

 

            1.19.8.804     Arrest Reports

 

1.19.8.943     Daily Bus Passenger Report

 

You need to become familiar with the contents of this schedule.  Normally, records relating to one department are within the same area in the schedule. 

 

1.15.3            General Administrative Record Retention

           

This schedule contains items which are used by municipalities, state agencies, and counties.  These items are of a general nature:

1.15.3.101           Non-Record Material

1.15.3.106     Administrative Files (Executive Levels)

1.15.3.109           General Correspondence Files (Non-Executive Levels)

1.15.3.118     Accident Report File

1.15.3.133     Work Orders File

1.15.3.149     Finding Aids (Indexes)

1.15.3.401     Legal Case File

1.15.3.509     Vehicle Accident Report File

1.15.3.604     Borrowing/Loaning Records

Understand what is classified a Non-Record.  Mostly what people keep in their offices are copies of memos, etc.  Non-Records need not be inventoried, and can be disposed of when their use is complete.  However, make sure the document you have is not the original.  The original document is normally from the sending or receiving party.   

1.15.5            General Financial Schedule

 

The items in this schedule relate to finance, but not necessarily to the finance department. 

1.15.5.101     Budget Work Papers

1.15.5.303     Purchase Orders

1.1.5.314        Trip Ticket File

1.15.5.402     Time Sheets

 

1.15.7            General Personnel Records

 

These items relate to mostly personnel records, however from time to time, a department will maintain some files on personnel. 

The official personnel folder (1.15.7.101) is filed in Human Resources.  Keeping important original documentation in the section where the employee is assigned is not good practice. 

It is best to keep only copies of the original documents which are sent to Human Resources. 

1.15.7.105           Leave Records

1.15.7.113     Employee Listing (Personnel Roster)

1.15.7.124     Personnel Office Memorandums

Identify the documents as you inventory the records from the description in the retention schedule.  After you identify the records, it should be simple to maintain the inventory sheets. 

 

Requests for waivers from the retention scheduled should be addressed, with complete justification, to the city clerk for review and approval.  Requests which are denied by the custodian may be appealed to the city manager. 

 

 

 

 

DESTRUCTION OF PUBLIC RECORD

The city clerk’s office maintains a data base of records that have been inventoried correctly.  In that data base are all the records which have been properly entered by a department secretary or the city clerk’s office.   With the creation of the Record Center, a database will be maintained to identify the location of stored inactive records. 

 

From the databases, a report is created in April or May of each year.  The report is sent to each Department Director, asking for review of documents scheduled for destruction as of July 1 of that year. 

 

After Directors review and concurrence with the documents scheduled on the report, a resolution is created and sent to the Las Cruces City Council.  City Council is the authority for creation of the record, and is the only authority to authorize the destruction.  (See Section 30-25-1(E) NMSA 1978, as amended)

 

After approval of the resolution, the city clerk will send a listing to each department and section, providing authority for destruction. 

 

If the documents are still in the physical control of the department or section, it is their responsibility to destroy the record.  A certificate of destruction is signed and sent to the city clerk’s office, with a list of the documents destroyed.

 

If the documents are in the Record Center, the city clerk will be responsible for destroying the documents by approved means.  When the destruction is complete a copy will be sent to each department or section whose records are affected.  The original is filed with the city clerk.

 

Tampering with public records  consists of:

 

                        A.        Knowing altering any public record without lawful authority;

                        B.        Any public officer of public employee knowingly filing or recording any written instrument, judicial order, judgment or decree in a form other than as the original thereof in fact appeared;

                        C.        Any public officer or public employee knowingly falsifying or falsely making any record of file, authorized or required by law to be kept;

                        D.        Any public officer or public employee knowingly issuing or causing to be issued, any false or untrue certified copy of a public records; or

                        E.        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.

 

Whoever commits tampering with public records is guilty of a fourth degree felony.

(30-26-1 NMSA 1978 as amended)

 

Sample Certificate of Destruction

 

I, ___________________________,  the duly appointed and acting ________ of the City of Las Cruces, New Mexico, do hereby certify that I have destroyed public records that have met their legal retention.  This destruction was authorized by the Las Cruces City Council on Resolution No. xxxxx. These records are being destroyed pursuant to state statute section 3-8-71, NMSA 1978; NMAC 1.15.5: General Finance (10-01-00); NMAC 1.15.7: General Personnel (10-01-00); NMAC 1.15.3: General Administrative (10-01-00); SRC Rule No. 92-01: Municipal Courts (5-16-92); and NMAC 1.19.8: Retention for Municipalities (9-28-01).

 

Destruction  was accomplished by     (method)                     .

 

Date this       day of                   , 2002.

 

                                                                        _________________

Signed

 

PRESERVATION OF PUBLIC RECORD

 

Methods to preserve public record -

 

1.                                          Purchase acid-free paper  for all uses that call for long-term retention of record.  Use acid-free folders for records that are required and expected to be retained many years;

 

2.                                          Avoid storage of both paper and microfilm records in rooms where temperatures vary greatly.  Keep records out of especially hot rooms.  Normal room temperatures are best;

 

3.                                          Do not laminate any records or record volumes.  Lamination seals the doom of the record.  The process involves literally cooking the page in plastic.  While the paper is encased in plastic protecting it from dirty fingerprints and oily hands, it will nevertheless turn brown and become unreadable because of the cooking;

 

4.                                          Avoid using rubber bands and staples to fasten records together.  Remove paper clips when possible as records are filed;

 

5.                                          Do not tolerate rough handling of records in your custody by users or researchers.  Supervise the use of records.

 

 

Micrographics  and Electronic Records

 

                Micrographics  -

           

Micrographics  is photographically reducing an image and placing it on a durable medium for storage and future use.  There are three main types of micrographics media and technology: microfilm, microfiche and computer output microfiche (COM).

 

After documents are microfilmed, the original paper can be destroyed, making the microform document the original.  According to NMAC 1.13.70.12, the reproduction becomes the original. 

 

1.13.70.12     LEGAL STATUS OF PUBLIC RECORDS OFFERED AS EVIDENCE:

 

A.        The destruction of the original copy of a public record, after reproduction, will not affect the legal status of such reproduction as a public record.

B.        An agency's ability to show that the process or system used to store and reproduce a public record is trustworthy in terms of producing an accurate result, will normally be sufficient to insure reliability.

 

Ill considered and poorly executed microfilming of public records can be a tremendous waste of taxpayer’s money.  No one should microfilm everything that comes into the office.  Only certain records merit being microfilmed.  The criteria for deciding to microfilm public records include –

 

a.                                          Importance of record.  If the record is vital, microfilm back up ensures its survival and preservation;

 

b.                                          Length of retention.  If the record must be retained for many years, it is advisable to microfilm.  Records required to be retained for ten years or less should not be microfilmed;

 

c.                                          Bulk of records.  If the amount of records is great and straining the storage, microfilming the record to reduce storage may be advisable.  Do not microfilm bulky records that need not be retained long; the expense of microfilming will offset any advantage that reducing the bulk of records;

 

d.                                          Frequency of use.  If for reasons of legal necessity a record must be retained for a long period but will rarely if ever be consulted, microfilm may be advisable.

           

To be usable, microfilm requires that the original records be in good order prior to filming. 

 

Such documentation is essential to have microfilm that can be consulted and relied on. 

 

To be admissible in court, proper documentation to show the microfilm is complete, accurate and legible reproduction of the original is required. 

 

After microfilm is created, it must be stored in an environment that will maintain and preserve the images. 

 

Image degradation of original negative microfilm is rapid if stored in a poor environment.

 

Electronic records  

 

A number of electronic means to create and store information have appeared in recent years.  Technologies such as optical disks, CD-ROM , GIS, and others have emerged to fuel the proliferation of documentation as well as to solve the problems they create. 

 

The records created with computers and computer driven machines are public records as much as paper records. 

 

Constant backups are required to preserve the data.  Even then, the data can be quickly, easily and irretrievable lost.  Magnetic media are not stable enough to preserve important information of permanent value.  Caution must be observed when permanent records or public records of long term importance are stored by computer or other electronic means.

 

Electronic Record as Original

 

An alternative to storage of large volumes of paper documents is the designation of the computer record as the original document. 

 

In order to use the computer as original record, there are specific steps to be taken. 

 

Steps to Designation of Computer as Original Record

Record Designee certifies:

I.                     All information contained on computer is original record.

II.                   Record is maintained for the correct retention period.

III.                  There is a procedure to inventory the record.

IV.               There is a process to purge records after approval of records destruction.

V.                 Back up process is verified.

VI.               Back up information is maintained off site.

Procedures are filed in writing with the City Clerk.

 

Document Imaging Programs

 

If you wish to implement a Document Imaging Program to use for preservation, public access or ease in retrieval, a Microphotography Plan is required to be filed with the City Clerk.

A Microphotography Plan Includes:

1.      Purpose of System

2.      Specific Goals of System

3.      Affected Records

4.      Disposition Plan for Imaged Records when Legal Retention has Been Met

5.      System Description

6.      Storage Media Master

7.      Storage Media Working Copy

8.      Storage Back up Process System

9.      Implementation Date

10. System Expected Life Span

11. Disposition Plan for Original Records

 

 

 

 

 

           

TERMS USED IN MANAGING RECORDS

Active Record

An active record is a file document used frequently; example - current files.

 

Archival Record  

An Archival Record  is a document that has historical significance to the organization.  Example would be the Municipal Charter.

 

Archives  

                1.         The non-current historical records of the organization, preserved because of their lasting value. 

            2.         The agency responsible for selecting, preserving and making available records determined to have permanent or continuing value. 

            3.         The building in which an archival repository is located.

 

Custodian of Record 

The Custodian of Record  is appointed by the governing body, by state law Section 14-1-13 NMSA, 1978.  The Las Cruces City Council has appointed the City Clerk, Custodian of Record with Resolution No.  97-368 adopted on 6-2-97.  This person is responsible for the oversight of all records belonging to the City of Las Cruces.

 

Destruction 

Destruction is the process of deleting information by any method to make the data unreadable or unusable under any circumstance.  Acceptable methods of destruction include witnessed burial, incineration, certified recycling or witnessed shredding.

 

Inactive Records 

Inactive Records are a series of records with a reference rate of less than one search per file drawer per month.

 

Inventory 

Identifying types and quantities of records, and the storage equipment within an area, to determine the length of time to keep as an active or inactive record, or schedule for destruction.

 

 

Microfiche 

Microfilm  containing multiple micro images in a grid transparent sheet.  Documents are filmed, then cut, and separated into jackets belonging to individual record series.

 

Microfilm  

Microfilm is a reduced scale photographic image of a record used for preservation, filming of documents, on a roll of film that provides a clear record of the original document.  After a document is microfilmed, the paper document is no longer needed and can be destroyed.  The microfilm image becomes the original, admissible in court.  Microfilming documents requires adherence to N. M. State Standards before the image is acceptable.

 

Microform 

Microfilm  media, including reels, fiche, jackets and computer output microfilm (COM) containing micro images.

 

Micrographics  

The technology involved in the creation and use of micro images.

 

Non-Record 

Library or museum material; extra copies of documents reserved only for convenience or references and stocks of publications and processed documents are non-records. The following specific types of materials are non-records:

 

C           extra copies of correspondence;

C           documents preserved only for convenience of reference;

C           blank forms or books which are outdated;

C           materials neither made nor received in the pursuance of statutory requirements nor concerning the functional responsibility of the officer/agency;

C           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;

C           shorthand notes, steno tapes, mechanical records which have been transcribed, except where noted on agency retention schedules;

C           routing and other interdepartmental forms which are not significant evidence of the activity concerned and do not otherwise have value as described above;

C           stocks of publications already sent to archives and processed documents preserved for supply purposes only;

C           form and guide letters, sample letters, form paragraphs;

C           subject files, including copies of correspondence, memoranda, publications, reports and other information received by agency and filed by subject, also called reading files or information files.

 

Public Record 

“Public record” means all documents, papers, letters, books, maps, tapes, photographs, recordings and other materials, regardless of physical form or characteristics, that are used, created, received, maintained or held by or on behalf of any public body and relate to public business, whether or not the records are required by law to be created or maintained.  14-2-6(E) NMSA 1978.

 

Records Management 

Records Management is the logical control of all records from creation or receipt through processing, distribution, maintenance and retrieval, to their ultimate disposition undertaken to reduce costs and improve efficiency in record keeping.

 

Records Retention Period 

Retention is the period during which records must be maintained by an organization because they are needed for operational, legal, fiscal, historical or other purposes. 

 

Records Retention Schedule   

A document prepared as part of a record retention program that lists the time for retaining records.   State Records and Archives Center has developed various retention schedules for records held in the State.  Their objective is “To establish records disposal schedules for the orderly retirement of records....” 

 

Records Series 

A group of identical or related records, files, documents or other media created by one agency that are normally used, indexed or filed together, and that permit evaluation for retention and disposition purposes.  An example would be Accounts Payable Vouchers.

 

Vital Records 

Vital Records are essential to the continued functioning or reconstruction of an organization during and after a disaster. Vital records are those documents which provide the basis of information to perform the function of the organization.  Examples would be payroll records.

RECORDS INVENTORY FORM

LOCATION

DEPARTMENT (1)	OFFICE (2)	STORAGE PLACE (3)
CONTACT (4)	TITLE (5)	PHONE  (6)

IDENTIFICATION

ITEM NUMBER  (7)

OFFICIAL RECORDS SERIES TITLE  (8)

CONTENTS/CASE FILE  (9)

DESCRIPTION (Check all that apply)

ARRANGEMENT (10)  SUBJECT                       GEO  ALPHA                           ORG  NUMERIC                      OTHER  CHRONOLOGICAL		FORMAT (11)  < LETTER   DP PRINTOUT  MAGMED  LETTER      BOUND VOLS    ONLINE  LEGAL        MAPS DRAW     PHOTOS >LEGAL       MICROFILM      AVMEDIA		STORAGE  (12)  CABINET/SHELF  DESK DRAWER  BOXED  OTHER
VOLUME (13)   TOTAL CUBIC FEET   __________   ANNUAL ACCUMULATION________	INCLUSIVE DATES (14)   FROM _________________________   TO     ___________________________		ACTIVITY (15)  MULTI DAILY       OTHER  DAILY  WEEKLY  MONTHLY

STATUS   (Check all that apply)

LEGAL STATUS (16)  OFFICIAL RECORD  SUPPORTING FILES  REFERENCE MATERIALS	RESTRICTION (17) PUBLIC DISCLOSURE  VITAL RECORD      REQUIRED  CONFIDENTIAL      PROHIBITED  ARCHIVAL  SUBJECT TO AUDIT	FILE INTEGRITY (18)  FILE BREAKS  MISSING ITEMS  RELATED ITEMS ELSEWHERE
INFORMATION DUPLICATED or SUMMARIZED  ELSEWHERE? (19) WHERE:                                                                       FORMAT:

ANALYSIS (Record Designee or Record Center use Only)

RETENTION PERIOD: OFFICE                                       INACTIVE STORAGE                                       ARCHIVE (20)

MICROFILM OR IMAGING RECOMMENDATIONS (21)

RECEIVED BY:                                                        DELIVERED BY:                                   DATE: (22)

INVENTORIED BY:                                                 DATE:                                                 DESTRUCTION DATE: (23)

RECORDS CENTER STORAGE LOCATION: SHELF                                                           CABINET                                          NO. OF BOXES (24)

 

 

 

RECORDS INVENTORY FORM

 

Number	Action	Example
(1)	List the Department	Financial Services
(2)	List the Section or Office	Disbursements
(3)	Storage Cabinet inventoried, number assigned by record designee.  Can reflect the box number assigned by the section for inactive storage.	A-16
(4)	Who acts as the records designee in the section or office
(5)	Title of record designee
(6)	Telephone number of record designee (It is easier to have the first 6 items filled in, before making copies to use for inventory.)
(7)	Item number of the record series inventoried.	1.15.3.107
(8)	List the official record series title from the item number (7)	Vouchers
(9)	Payments to Vendors
(10)	What type of arrangement is the record series filed in	Numeric (check #)
(11)	Is the file letter size or legal size; microfilm;	Letter
(12)	Are the records in a cabinet; desk or box
(13)	What is the volume of the cabinet; desk or box You need the total created each year, and the amount being inventoried.  This information is critical to include.	25 cu. ft. 35 cu ft annually
(14)	Date of the record series.  This is critical information.	2001-2002
(15)	How often do you search in this area for information	Monthly
(16)	What type of document is this	Official record
(17)	Is the document vital, confidential, etc.; is public review allowed or not?	Subject to audit Required
(18)	Is the file complete
(19)	If the information is duplicated or summarized someplace else, identify the place and format.
	Record Designee or the Record Center fills out items 20-24
(20)	Retention in office, inactive storage (record center) or archives
(21)	Should this record series be microfilmed or imaged?
(22)	Received in the Record Center; Delivered to the Record Center; Date
(23)	Who performed the inventory at the Record Center?
(24)	Identify the area where these records are stored at the Record Center.

 

 

 

 

 

REQUEST FOR PUBLIC RECORDS       In accordance with Section 14‑2‑1 NMSA 1978, as amended, I would like to inspect the following documents, Please List Records with reasonable particularity:     (1)                         If your department does not maintain these public records, please let me know who does, and include the proper custodian name and address.   I promise to pay $ .50 per page for copying charges.  If the copying charges will exceed $__(2)_________, please call me to discuss.  I understand that I may be asked to pay the fee for copies in advance before you make any copies.   Public records will be available for inspection from 8:00 am to 5:00 pm on normal business days, in the presence of the records custodian.  Original records may not be removed from the City Offices.   Applicant  _(3)______________________________             Date _(6)______________      Address    _(4)______________________________ Telephone  _(5)______________________________
For department use only
The request to inspect public records is: Approved __(7)__________    Cost        __(8)__________	Date filled:      __(9)___________ No. of pages    __(10)___________
Disapproved for the following reason(s):   (11)	__(12)___                  __     _(13)______ (Records custodian)                 (Date)

 

 

 

 

 

 

 

 

REQUEST FOR PUBLIC RECORDS    

 

Number	Action	Example
(1)	Person requesting information fills out this section with as much detail as they know.  This helps to locate the document	Copy of the 1999 report on convention center
(2)	The maximum amount of money the requesting person is willing to pay for the information	$20.00
(3)	The applicants name	John Doe
(4)	Address of the applicant	1123 Main St
(5)	Telephone number of the applicant	532-1111
(6)	Date of the request	1-1-01
(7)	If the information is approved, check mark
(8)	Cost to applicant	$18.00
(9)	Date filled (within 3 business days or letter notifying the applicant of the delay and when the information will be available.  No longer than 15 calendar days from request)
(10)	Number of pages involved
(11)	Why the request is disapproved, if it is.  A copy is sent to the city manager and the city attorney
(12)	Whoever approves or disapproves the request
(13)	Date completed

 

 

STORAGE TICKET

 

SECTION / OFFICE:  (1)		DEPARTMENT: (2)
LOCATION: (3)		BOX NO.   (4)                                     OF
RECORDS    DESCRIPTION (5)			INCLUSIVE DATES (6)	SCHEDULE ITEM NUMBER (7)
RECORDS   CENTER  USE ONLY STORAGE APPROVED            DATE  (8)	SIGNATURE: (9)
RECORDS CENTER STORAGE LOCATION	SHELF    (10)                               NUMBER
TRANSFER TO (MICROFILM) ( STORAGE)   (11)	DESTRUCTION DATE                                 MONTH                              YEAR   (12)

2 COPIES: (1) ATTACH TO BOX (2) ORIGINATING DEPARTMENT

RMF003 - 10/02

 

 

STORAGE TICKET

 

Number	Action	Example
(1)	Section or Office storing box	Disbursements
(2)	Department	Financial Services
(3)	Location stored prior to bringing to Record Center
(4)	Which box number of how many in the series	3 of 34
(5)	Description of the record series being stored (Item (8) from the Record Inventory Form)	Vouchers
(6)	Inclusive Dates (Item (14) from the Record Inventory Form)	FY 00/01
(7)	Item number from retention schedule (Item (7) from the Record Inventory Form)	1.15.5.309
(8)	Record Center marks if the storage is approved and when	OK – 3-02
(9)	Signature of Record Center personnel
(10)	Location of the box when stored at the Record Center	A-14
(11)	Noted for microfilmed or storage
(12)	Month and Year the record is eligible for destruction	July 2005

 

 

 

RECORDS TRANSFER SHEET Instructions: 1.   List one record series per transfer sheet. 2.   Pack one record series per box. 3.   Complete all non-shaded areas of this form. 4.   Record Series number must appear on this form. 5.  Original transfer sheet plus one copy must accompany shipment. 6.   Do not place completed transfer sheets in packed box. 7.   Contact City Clerk’s Office staff one day prior to shipment.
Department/Section     (1)
Record’s Designee Name (Printed or typed) (2)			Phone: (3)
Immediate Supervisor’s Name (Printed or typed) (4)			Phone: (5)
Responsible Authority Name (Printed or typed) (6)			Phone: (7)
Signature of Responsible Authority                                               Date: (8)                                                                                                                                                         (9)
Record Series Title with Inclusive Dates (10)
Classification:           Public           Private           Controlled           Protected          Exempt/Limited  (11)
Accession Number (Archives use only) (12)	Total Boxes Sent (13) Signature of Receiver (14)	Page 1 of _____ Pages (15) Date: _______________
Office/Section Box Number	Description and Date of Records in Each Box	Storage Center Location
(16)	(17)	(18)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

RECORDS TRANSFER SHEET

Page _______ of _________

 

Office/Section Box Number	Description and Date of Records in Each Box	Storage Center Location

 

 

 

 

RECORDS TRANSFER SHEET

Number	Action	Example
Instructions	Follow the instructions on each transfer sheet.  Information regarding proper storage box; label on the box (RMF003); filling the box; and inventory is found in Chapter 4.  Boxes not following the information in Chapter 4 will not be accepted by the Record Center.
(1)	Enter the department and section	Finance/Accounts Payable
(2)	Record designee for the section
(3)	Phone number of record designee
(4)	Supervisor of the record designee
(5)	Phone number of the supervisor
(6)	Supervisor/Section Head/Department Head.  Who ever wants to be responsible (Can be the supervisor/department head/or record designee.)
(7)	Phone number of responsible person
(8)	Signature of Supervisor/Section Head/Department Head.  Who ever wants to be responsible
(9)	Date signed by Responsible person
(10)	Record series being transferred to Record Center
(11)	Information on type of record.  (See Item (17) on Record Inventory.)
(12)	For archival records only to be filled out by Record Center
(13)	Total number of boxes to be transferred to Record Center
(14)	Signature of Record Center employee who receives the boxes
(15)	Number of pages of the Records Transfer Sheet, and date
(16)	Number given to box by the Office/Section.  (The box number identified on the Inventory Form (3))
(17)	Official records series title and dates.  (Information found on the Record Inventory Form (8) and (14).)
(18)	Record Center employee identifies where the box is stored in the Record Center.
	Use as many pages that are necessary for the transfer of records from your office/section/department to the Record Center.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

RECORD WITHDRAWAL

 

SECTION/OFFICE: (1)	DATE OF REQUEST: (2)
REQUESTED BY:   (3)	TITLE: (4)
BOX NUMBER: (5)	LOCATION: (6)
ENTIRE BOX    (7)	FOLLOWING RECORD ONLY  (8)
RECORD TO BE WITHDRAWN:       (9)
DATE OF WITHDRAWAL: (10)	RECIEVED BY: (11)
TEMPORARY   (12)	PERMANENT    (13)
DATE RETURNED: (14)	RETURNED BY: (15)

Original:  Record Center         Copy: Requestor

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

RECORD WITHDRAWAL

 

Number	Action	Example
(1)	Section or Office requesting a record
(2)	Date of request
(3)	Person requesting a record
(4)	Title of the person requesting a record
(5)	Box number in which the record is located or the entire box being requested.  (Item (3) from the Record Inventory Form; Item (4) from the Storage Ticket and Item (16) from the Records Transfer Sheet.)
(6)	Location assigned by Records Center personnel.  (Item (18) on the Records Transfer Sheet; Item (10) on Storage Ticket)
(7) & (8)	Mark if the entire box is being requested or only specific records in the box.
(9)	Identify the record you are looking for
(10)	Date of document withdrawal
(11)	Who picked up the document
(12) & (13)	Mark whether the withdrawal will be temporary or permanent
(14)	Date document returned
(15)	Who returned the document

 

This form is to be used when original documents are taken from the Records Center.  It is not for use when a copy is sent by fax, email or inter-department mail.

 

 

REQUEST FOR DESTRUCTION

 

The following records located in   (1)____________, are eligible for destruction according to the  adopted Records Retention and disposition Schedule.

Department:
Record Description   (2)	Inclusive Dates   (3)	Schedule Item Number (4)	Quantity of Boxes   (5)
Authorized by: (6)		Destroyed by: (7)
Date: (8)		Date: (9)

Original: To City Clerk;   Copy: To Department

 

 

REQUEST FOR DESTRUCTION

 

Number	Action	Example
(1)	Location of records scheduled for destruction (Item (18) on the Records Transfer Sheet; Item (10) on Storage Ticket)
(2)	Description of documents to be destroyed (Item (8) from Record Inventory Form)
(3)	Date of documents to be destroyed.  (Item (14) from Record Inventory Form)
(4)	Item number from Retention Schedule  (Item (7) from Record Inventory Form)
(5)	Number of boxes (Item (4) from the Storage Ticket; Item (13) from the Records Transfer sheet)
(6)	Authority to proceed to destroy by responsible authority. (Item( 6) on the Records Transfer Sheet)
(7)	Method to be used to destroy documents
(8)	Date of authority from responsible person.
(9)	Date of Scheduled Destruction

 

The City Clerk will send this Request for Destruction to Department Directors, with a listing of those records eligible for destruction.  After the authorized person approves, the listing will be compiled in a resolution for Council approval by Resolution.  A certificate of destruction will be filed with the Request for Destruction, showing when the destruction was completed and by whom.