New Mexico Register / Volume
XXIX, Issue 17 / September 11, 2018
This is an amendment to 1.21.2
NMAC, amending Sections 7, 9 and 428 and adding section 620 effective 9/11/2018.
1.21.2.7 DEFINITIONS: The following terms shall have the respective meanings provided in this
rule. Terms not defined in this rule
which are defined in the Public Records Act, Section 14-3-1 et seq. NMSA 1978
shall have the respective meanings accorded such terms in the act.
A. “Archives” means the permanent records of the state of New Mexico, which may
include government and private collections of the Spanish, Mexican, territorial
and statehood periods, assessed to have significant historical value to warrant
their preservation by the state of New Mexico.
B. “Disposition”
means final action that puts into effect the results of an appraisal decision
for a series of records (i.e., transfer to archives or destruction).
C. “Executive
level” means elected and appointed officials, statutory agency heads and
management personnel with decision making authority granted by the agency head.
D. [“File closed” means the date the
trigger event occurred, or, for electronic records, equivalent to the date last
modified unless otherwise stated in retention.
E. ]“Historical”
means records deemed to have
archival value by the commission.
[F.] E. “Non-record” means extra copies of documents kept
solely for convenience of reference, stocks of publications, transitory
records, records not usually included within the scope of the official records
of an agency or government entity and library material intended only for reference
or exhibition. The following specific
types of materials are non-records:
materials neither made nor received in pursuance of statutory
requirements nor in connection with the functional responsibility of the
officer or agency, extra copies of official records, preliminary drafts, blank
forms, transmittal letters or forms that do not add information, sample
letters, and reading files or informational files.
[G.] F. “Official copy of record” the single
record determined to be the official copy for the purposes of fulfilling the
retention requirements.
[H.] G. “Retention” means the period of
time during which the official copy of record shall be maintained by an
organization because they are needed for operational, legal, fiscal, historical
or other purposes.
[I.] H. “Transitory” means messages which serve
to convey information of temporary importance in lieu of oral
communication. Transitory messages are
only required for a limited time to ensure the completion of a routine action
or the preparation of a subsequent record.
Transitory messages are not required to control, support or to document
the operations of government.
[J.]
I. “Trigger
event” means the [closing]
event [of a record] which begins the retention period.
[1.21.2.7 NMAC -
N, 10/1/2015; A, 11/30/2016; A, 9/11/2018]
1.21.2.9 INSTRUCTIONS:
A. The
records retention and disposition schedule identifies the types of records
maintained by all agencies and specifies a period of time for which the
official copy of record must be retained.
A retention period may be stated in terms of months or years and is
contingent upon the occurrence of a trigger event. Each record classification will be itemized
by NMAC section number and title in the format listed below.
(1) Category
- describes the hierarchy of the function
(2) Description - describes the function of
the record classification
(3) Retention
- defines the length of time records must be kept before they are eligible for
destruction or archival preservation
B. Record
classification descriptions are not intended to be exhaustive. Descriptions may include records that do not
appear in the files, and conversely, files may include records not listed in
the description.
C. Refer
questions concerning the confidentiality of a record to legal counsel for the
agency. For the destruction of
confidential records, please refer to 1.13.30 NMAC.
D. Public
records should be maintained in their native format (paper/digital). Records may be microfilmed or digitized
provided a microphotography plan has been approved by the state records
administrator. Refer to Section 14-3-17
NMSA 1978 and 1.14.2 NMAC. Such photographs,
microfilms, photographic film or microphotographs shall be deemed to be an
original record for all purposes.
E. Agencies are encouraged to create secondary
and tertiary descriptors for each classification (e.g., account receivable -
invoices - acme inc., goods and services - IT consulting - data hub LLC.,
infrastructure project files - railroad project - Lamy station upgrade,
etc.). These additional descriptors will
assist with the accessibility of the records.
F. Upon storage or disposition, public
records shall be classified according to content and retained at a minimum for
the length of time specified in the records retention and disposition schedule.
G. For guidance on
electronic messaging, refer to 1.13.4 NMAC.
H. For guidance on
the destruction of non-record material, refer to 1.13.30 NMAC.
I. Records
classifications related to the legislative [and judicial branches] branch
of government provided herein are applicable for legislative [and judicial]
agencies that utilize the records center services and permanent archival
repository.
J. Non-scheduled
public records created by an agency in pursuance of law or in connection with
the transaction of public business shall have a retention period of permanent
until such time the non-scheduled record has been scheduled and a retention
period adhering to operational, legal, fiscal, historical or other purposes is
established.
K. For
guidance on classifying county and municipal records, refer to the records
retention and disposition guidance for counties and municipalities.
L. For
guidance on destruction of county records, refer to Section 14-1-8 NMSA 1978.
M. Classifications
that have a disposition of transfer to archives may be submitted for direct
transfer before the allotted time period specified in the retention with the
approval of the custodial agency and state records administrator.
N. Upon adoption of
this rule, records retained at the records center shall be reclassified
according to the new records classifications for retention and disposition.
O. The
official copy of a record may contain duplicates of other records. If your program requires the submission of
documentation, and your agency is not required to submit this documentation to
another agency for additional or final processing, your agency is the keeper of
the official copy of record.
P. Records
transferred to the state archives will be reviewed for final disposition.
[1.21.2.9 NMAC -
N, 10/01/2015; A, 11/30/2015; A, 11/30/2016; A, 9/11/2018]
1.21.2.428 FINANCIAL - CAMPAIGN:
A. Category:
Governance and compliance - election management
B. Description: Records related to candidate, elected and
appointed officials financial records.
C. Retention: [destroy five years from date file closed]
permanent, transfer to archives 10 years from date file closed
[1.21.2.428 NMAC -
N, 10/01/2015; A, 11/30/2015; A, 9/11/2018]
1.21.2.620 COURT
PROCEEDINGS:
A. Category:
Legal and judiciary - court administration
B. Description:
records related to court proceedings including, but not limited to,
tapes, court reporter notes, and transcripts. Does not include appellate case files.
C. Retention:
destroy when associated case is no longer eligible for appeal or
post-conviction proceedings in state or federal court
[1.21.2.620 NMAC -
N, 9/11/2018]