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All About Discovery!

New Mexico State University

nmsu.edu

™

Records Management and Retention

(RMR)

for


August 2019

Senior VP for Administration and Finance

FSA-RMR Office



nmsu.edu

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RMR Information Session Agenda

1. Training Goals

2. Why should you care about Records?

3. What is a Record?

4. What are the Basic Requirements for RMR?

5. Historical & Damaged Records

6. Bridge to BDMS & PCard Receipt Destruction



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Training GoalsYou will know

– Records management and retentionrequirements.

– How to identify a record.

– Procedures to follow for disposing of and destroying records.

– Steps to get your department compliant with State and Federal records laws.

– Where to get help.



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Why should I care about RMR?

• NMSU must follow state laws.• State laws require that we obtain permission from the New

Mexico Commission of Public Records (NMCPR) prior to

destroying, shredding, etc. any NMSU records.

• Knowing and following the NMSU procedures regarding

Disposition & Destruction of records keeps you compliant.

• Good records management makes you more efficient

and minimizes NMSU’s litigation risk.



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Value of Information over Time

Source: CGOC. Information Lifecycle Governance Leader Reference Guide, 2014.

https://www.cgoc.com/wp-content/uploads/members/get-pdf.php?

name=ILG_LeaderReferenceGuide_SecondEdition_FINAL_web2

https://www.cgoc.com/wp-content/uploads/members/get-pdf.php



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Is it a record?

Did you create it/

receive it/?

Are you responsible to take

action on it?

Is it a draft or

incomplete?

Is it related to NMSU

business?

NOT an NMSU

recordNMSU record

Yes Yes

No

No

No

Yes



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0

50

100

150

200

250

Related to NMSU

but not your records

Records

Non-records:

• Duplicates/copies

• Published materials

• Blank/incomplete forms

• Drafts

• Not related to NMSU

Records may be

• Any format

• Made or received

• Related to transaction

of public business

• Evidence of activities

Confi

den

tial

Non-C

onfi

den

tial

Non-records

What is a record?



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Key Terms• Records have a life cycle that begins with creation and

ends when the record is no longer useful and is

destroyed.

• Retention is how long I must keep the records

o Organizational business needs (fiscal, historical,

operational)

o Legal requirements

– Documented in a retention schedule

• Disposition is what happens when a record has met its

retention requirement: destruction or transfer to the

archives.



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Principles1. Records need only to be kept by the Responsible Organization.

Copies are non-records.

2. The Responsible Organization is the office that originated the

record OR the office that is directly and primarily responsible to

take action on a task or transaction.

3. Classification is based on the purpose of the record or how you

file. Classification determines retention. If multiple

classifications apply, retain according to the longest retention

period.

4. Maintain records in their native format (paper/ digital).

5. Records may be replaced by a scanned copy ONLY if the scan is

in NMSU’s BDMS system which has been approved by theNew Mexico Commission of Public Records.



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Principles about Email

• Electronic messages /attachments can be records.

• The responsibility falls to the originator or, if the email comes

from outside NMSU, the receiver.

• If the emails are a thread discussion with a conclusion, the final

email is the record.

• Emails /attachments which are records should be classified under

the appropriate record classification.

• Correspondence – General (1.21.2.105) is a useful classification

for email. Records classified this way should be destroyed one

year from close of calendar year in which created. Follow the

NMSU Disposition process.



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Who is Responsible for Records?

• Central Office

– Data custodians (NMSU Records Custodians)

• Departments

– Responsibility varies by college, may be the

record originator or a specific individual/unit

• We are all responsible for identifying and

maintaining official university records.

https://legal.nmsu.edu/inspection-of-nmsu-public-records/



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What are the Basic Requirements

for RMR?

1. Identify what records you have.

2. Determine how long you have to keep your

records.

3. Understand and follow NMSU Disposition and

Destruction process.



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1) What Records Do I Have? 1)Start a Records Inventory

– Identify your records/files

o The type/function of a record determines how long

it is kept.

– Are there multiple copies in different offices? What

office has responsibility?

– Are they confidential or non-confidential?

o This determines which process is followed to

dispose of them.

http://rmr.nmsu.edu/wp-content/uploads/sites/14/2014/04/Departmental-Records-Inventory.pdf



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Example 1

Journal Voucher



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Example 2

Rejected application



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Example 3

Class assignment



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Example 4Student Advising Document



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Sample Inventory



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2) How long do I have to keep my

records?

Look up retention schedules

– Common NMSU Retention Requirements

https://rmr.nmsu.edu/



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records?Example 1: Journal Vouchers

• Department matrix: Non-record for departments; A&F

is custodian for the record

Example 2: Rejected applications

• If they have notes or are NOT in People Admin,

Department matrix: 1.21.2.107 Denied, Rejected or

Withdrawn Records

• If they are in People Admin and there are no notes on thecopies, then they are non-records.



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records?Example 3: Class Assignments

• Academic Matrix: 1.21.2.184 Examination &

Testing

• 2 years from close of calendar year in which created

• If in Canvas and no notes, paper is non-record.

Example 4: Advising Files

• Academic Matrix: 1.21.2.188 Student Records2 years from last date of attendance

(3 years if a veteran)



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Sample Inventory



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Special Considerations

• Grant Files

− If any of your departmental records are associated with a

grant, they must be retained as part of your grant file.

− Grant files must be retained for 3 years from date project

closed per SPA Closeout Policy

• Contract Files

− If any of your departmental records are associated with a

contract, they must be retained as part of your contract file.

− Contract files must be retained for 6 years from date contract

terminated



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What if my records aren’t on the

Common lists?• If not found in the Common Matrices, contact RMR

Office to help with

– Functional Records Retention and Disposition

Schedules (FRRDS)

– Federal requirements?

o Specific agency website

• FSA-RMR office can assist you with your search.

http://164.64.110.134/parts/title01/01.021.0002.html



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3) NMSU Disposition and

Destruction Requirements

a. After records have met their retention

requirements, they are eligible for disposition.

b. Permission must be obtained from the New

Mexico Commission of Public Records to dispose

of records.

c. After permission is received, records can be

destroyed.



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How NOT to Dispose of Records!



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NMSU Disposition & Destruction

Process



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Disposition RequirementsConfidential Non-Confidential

Records Destroy by a bonded

document recycling vendor

Destroy by a bonded

document recycling vendor

OR Shred

Request for Disposition Yes Yes

Condition Assessment &

Deliver to F.A.T.E

Yes No

Certificate of Destruction Yes Yes

Non-Records Shred Recycle or Shred

Request for Disposition No No

Condition Assessment &

Deliver to F.A.T.E

No No

Certificate of Destruction No No



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NMSU Historical Records

• If you believe your records may have

historical value, contact the FSA-RMR

Office.

• We will work with the NMSU Archives and

Special Collections Department.



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What if my records are stored in a

shed & damaged?

If your records are water-damaged or infested with insects or critters,

STOP and contact [email protected].

We will work with Environmental Health & Safety who will advise how to safely handle the records.

mailto:[email protected]



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Remember

• Records Management & Retention: It’s the law!

• Departments cannot destroy University records

without first coordinating with the FSA-RMR

Office.

• Permission from the State of New Mexico is

required before records may be destroyed. (You

have to go through the FSA-RMR Office first).

• Not sure what to do – contact [email protected].




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FSA-RMR Bridge to BDMS and

Pcard Receipt Destruction

August 2019

SVP for Administration and Finance

FSA-RMR Office



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Refresher

• Records Management is the control of records

throughout their life cycle, from creation through

destruction.

• Retention is how long I must keep the records.

• Disposition is when a record has met its retention

requirement and is eligible to be disposed of.

• Destruction is the physical process of destroying

records.



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Putting It All Together

How does what I just learned about RMR enable me to

– Destroy files after they are scanned or loaded into the

Banner Document Management System?

– Destroy files after following the procurement card

process and sending an email to

[email protected]?




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Destruction of Paper and Electronic Files

Why is NMSU allowed to destroy paper and electronic

files?

• NMAC 1.14.2 allows for destruction of paper and

electronic files once they have been placed into a

certified imaging system.

• When a paper or electronic file is added to a certified

system, it becomes the official record.

• NMSU uses Banner Document Management Suite

(BDMS).

• NMSU BDMS is a certified system per the NMCPR.



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Verification & Destruction Process

Now we will review the Destruction Process since we

are allowed to destroy paper or electronic files, per State

law (NMAC 1.14.2), because they are in a certified

system.

Destruction process is different from disposition.

Disposition begins with a Request for Disposition form.

Destruction begins with a Request for Destruction form.



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Verification & Destruction

Process Flow

Verify the files. (For

PCard, verify receipts

on Wells Fargo)

Department completes

and submits NMSU

Request for

Destruction form to

FSA-RMR Office.

Compliance

Requirements

Achieved!

Department follows

NMSU process for

confidential records.

Department shreds

documents or deletes

electronic files.

PCard: (.pdf files &

emails)

Files are scanned or loaded

into the certified system

(BDMS).



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Verification & Destruction1. After files are added (either scanned or loaded) to a certified system,

they must be VERIFIED. When you email PDF files to

[email protected] the file is added to the certified system.

2. Verify the quality of the document.

– Does it look as good as the original or pretty close?

– Is the required detail readable?

– If it is electronic, did it make it into the system it was intended for

(Wells Fargo or BDMS)?

– If the answer is “no” to any of the above, set the scanner to a darker

setting and rescan. Use BLACK & WHITE setting only.

It is important because your scanned copy or document in BDMS will

become the official record.




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Examples of Bad Scans



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Verification & Destruction - continued3. If you still have a bad scan after several attempts, then you must keep the

document for the full retention period.

− We suggest you annotate the bad scan with the text “This was the

best scan possible. Original retained in office.”

4. After the verify step:

– If the records are non-confidential, they may be destroyed.

Department shreds or makes arrangements with a vendor for

their paper to be destroyed.

Department destroys all PDF files and emails.

– If the records are confidential:

Paper records must follow a similar process for disposition of

confidential records as outlined in the previous RMR Info

session. Request for Destruction form required.

Department destroys all PDF files and emails.

http://af.nmsu.edu/wp-content/uploads/sites/4/2014/01/RMR-Request-For-Destruction-Of-University-Records.pdf



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Special Considerations - PCard

• If you deal with a vendor that requires an original receipt for returns, maintain original copies per retention schedule.

• If you did not verify your receipts in Wells Fargo, maintain original copies per retention schedule.

• If the purchase is related to a Grant or Contract, the receipts must be retained as part of your grant or contract file respectively.

• All other backup documents, not sent to Wells Fargo, must follow the disposition process.



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Responsibilities For Use

• All NMSU employees utilizing the NMSU imaging processes

are required to sign a Responsibilities For Use form. (PCard

Receipts, Financial Aid, Sponsored Projects Accounting,

Journal Vouchers, Invoices, & Human Resources)

• Your signature indicates understanding of the NMSU Records

Management and Retention and imaging processes and

agreement to destroy paper or electronic files in accordance

with the defined processes presented.



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Questions or Comments?Contact us!

FSA-RMR Office:

email: [email protected]

web page: http://RMR.nmsu.edu

phone: (575) 646-TECH (8324)

Submit a question/comment

For any PCard related questions, please contact:

PCard Administrator

email: [email protected]


http://rmr.nmsu.edu/

http://rmr.nmsu.edu/question/


all about discovery! new mexico state university nmsu.edu ... · new mexico state university...

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