TITLE 1 GENERAL GOVERNMENT ADMINISTRATION
CHAPTER 13 PUBLIC RECORDS
PART 30 DISPOSITION
OF PUBLIC RECORDS AND NON-RECORDS
1.13.30.1 ISSUING
AGENCY: State Commission of Public
Records and the State Records Administrator.
[1.13.30.1 NMAC - Rp, 1.13.30.1 NMAC, 11/28/2017]
1.13.30.2 SCOPE: All state agencies and any public entity that use the state
records center services.
[1.13.30.2 NMAC - Rp, 1.13.30.2 NMAC, 11/28/2017]
1.13.30.3 STATUTORY AUTHORITY: Public Records Act, Sections 14-3-4 and
14-3-6 NMSA 1978.
[1.13.30.3 NMAC - Rp, 1.13.30.3 NMAC, 11/28/2017]
1.13.30.4 DURATION: Permanent.
[1.13.30.4 NMAC - Rp, 1.13.30.4 NMAC, 11/28/2017]
1.13.30.5 EFFECTIVE DATE: November 28, 2017, unless a later date is cited at the
end of a section.
[1.13.30.5 NMAC - Rp, 1.13.30.5 NMAC, 11/28/2017]
1.13.30.6 OBJECTIVE: To establish requirements for the proper and
orderly destruction of public records.
[1.13.30.6 NMAC - Rp, 1.13.30.6 NMAC, 11/28/2017]
1.13.30.7 DEFINITIONS:
A. “Chief records officer” means a person designated by an agency’s records custodian to
administrate the agency’s records management program, refer to 1.13.12.10 NMAC.
B. “Confidential” means information provided to, created by or maintained by a
government agency and that is exempt from release under state or federal laws.
C. “Custodial
agency” means the
agency responsible for the creation, maintenance, safekeeping and preservation
of public records, regardless of physical location.
D. “Degaussing” means the process of removing magnetism from
magnetically recorded tape thereby rendering the information unreadable.
E. “Destruction” means the disposal of records of no further
operational, legal, fiscal or historical value by shredding, burial, pulping,
electronic overwrite or some other process, resulting in the obliteration of
information contained on the record.
F. “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).
G. “Functional records retention and
disposition schedule”
means a rule adopted by the commission pursuant to Section 14-3-6 NMSA 1978
describing the function of records, establishing a timetable for their life
cycle and providing authorization for their disposition.
H. “Inactive record” means a record no longer needed to
conduct current business but required to be maintained for operational, legal,
fiscal or historical purposes until it meets its retention.
I. “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 correspondence, preliminary drafts, blank
forms, transmittal letters or forms that do not add information, sample letters
and informational files.
J. “On-site destruction” means destruction of records
approved by the state records administrator to be destroyed at a location other
than the records center.
K. “Permanent records” means records considered unique or so valuable in documenting the
history or business of an organization that they are preserved in an archives.
L. “Records” means information preserved by any technique
in any medium now known or later developed, that can be recognized by ordinary
human sensory capabilities either directly or with the aid of technology.
M. “Records
liaison officer”
means a person designated by the records custodian to interact with the state
commission of public records, refer to 1.13.12.11
NMAC.
N. “Records management” means the systematic control of all records
from creation or receipt through processing, distribution, maintenance and
retrieval, to their ultimate disposition.
O. “Recycling” means the process that recovers the raw materials of a
medium allowing for the reuse of various media.
Overwriting on magnetic media is a means of recycling.
P. “Retention”
means the period of time during which records shall be maintained by an
organization because they are needed for operational, legal, fiscal, historical
or other purposes.
Q. “State archives” means the principle location within the state records center
and archives that maintains, preserves and makes available to the public the
permanent and historical records of the state of New Mexico.
R. “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.
S. “Trigger
event” means the event which begins the retention period.
[1.13.30.7 NMAC - Rp, 1.13.30.7 NMAC, 11/28/2017; A, 3/13/2018; A, 9/11/2018]
1.13.30.8 ASSIGNMENT OF
RESPONSIBILITIES: Section 14-3-4 NMSA 1978 authorizes the
commission of public records to appoint a state records administrator to carry
out the purposes of the Public Records Act.
The state records administrator is responsible for establishing records
management programs within state government for the purpose of ensuring the
efficient and economical management of public records throughout their
lifecycle from their creation, utilization, maintenance, retention,
preservation and final disposition.
A. The
commission of public records hereby delegates the authority to order the
routine destruction of public records, in accordance with adopted records
retention and disposition schedules, to the state records administrator.
B. The
state records administrator shall prescribe the appropriate method of
destruction of public records.
C. The
state records center and archives, in accordance with the rules established by
the state records administrator and the commission of public records, is the
authorized facility for the receipt, storage or disposition of all inactive and
infrequently used records of present or former state agencies.
[1.13.30.8 NMAC - Rp, 1.13.30.8 NMAC, 11/28/2017]
1.13.30.9 DISPOSITION OF RECORDS:
A. Agencies
shall ensure the proper authorized disposition of their records regardless of
format or medium.
B. Records may be
destroyed with the written approval of the state records administrator and the
written consent of the records custodian, designated chief records officer or
records liaison officer of the custodial agency.
C. Records may be
transferred to the state archives with the written approval of the state
records administrator and the written consent of the records custodian or
designated chief records officer of the custodial agency; once the transfer is
authorized and the records are in the physical custody of the state archives,
the legal custody of the records is vested in the state records administrator.
D. Agencies shall
follow rules issued by the state records administrator governing the methods of
destruction.
[1.13.30.9 NMAC - Rp, 1.13.30.9 NMAC, 11/28/2017]
1.13.30.10 DIRECT
TRANSFER OF RECORDS TO THE STATE ARCHIVES:
A. An agency may
transfer records with a retention of permanent
directly to the state archives. Records
eligible for direct transfer to archives shall be submitted on a form approved
by the state records administrator. No
direct transfer of records shall occur without the review and approval of the
state records administrator.
B. Records
transferred directly to state archives shall be accompanied by an itemized
records index on a form approved by the state records administrator. A copy of the index for each box shall be
placed in the corresponding box. The
complete index shall be attached to the request and an electronic copy shall be
submitted to the state archives on a format approved by the state records
administrator. The shipment box number
(i.e., 1 of 10, 2 of 20, etc.) shall be affixed to the boxes prior to delivery
to the state archives. All folders in
the box shall be clearly labeled and identify the contents of the folder.
C. Records involved
in litigation, an audit or investigation are not eligible for transfer to the
state archives.
D. Only closed
records shall be accepted for transfer to the state archives.
[1.13.30.10 NMAC - Rp, 1.13.30.10 NMAC, 11/28/2017]
1.13.30.11 ON-SITE DESTRUCTION OF
RECORDS: On-site destruction of
records may occur at the custodial agency’s location. For approval of on-site destruction, the
records custodian, chief records officer or records liaison officer shall
submit a request on a form approved by the state records administrator.
A. The form may be
submitted electronically with a valid digital signature issued by the state
records administrator.
B. The state
records administrator or designee may inspect records prior to approval of
on-site destruction.
C. The state
records administrator may suspend destruction of records determined to have
historical value and, upon approval of the Commission, transfer the records to
the state archives.
D. For legal and
audit purposes, the agency shall retain a certificate of destruction as proof
of the records destroyed. The
certificate of destruction shall include, at a minimum, the following
information:
(1) For paper records:
(a) place
and date of pick up;
(b) printed name
and signature of employee(s) performing service;
(c) printed
name and signature of witnesses;
(d) number of
pounds destroyed/shredded (vendor) or number of boxes (agency certified);
(e) date of
destruction/shredding;
(f) identification
of company’s authorizing agent by name and position;
(g) printed name
and signature of official certifying the destruction (vendor or designated
records management personnel); and
(h) statement
that shredded records cannot be read, interpreted, or reconstructed.
(2) For
electronic records:
(a) records classification;
(b) printed
name and signature of employee(s) performing destruction;
(c) printed
name and signature of record owner;
(d) number of
e-records destroyed;
(e) date of
destruction;
(f) printed
name and signature of official certifying the destruction (designated records
management personnel); and
(g) statement
that destroyed records cannot be read, interpreted, or reconstructed.
E. Approved methods
for on-site destruction of records are as follows:
(1) Records that contain confidential or
sensitive information shall be destroyed through a bonded and insured document
recycling vendor by shredding in such a manner that the information cannot be
read, interpreted or reconstructed.
(2) Records
that do not contain confidential or sensitive information shall be destroyed
by:
(a) recycling by
a bonded document recycling vendor;
(b) shredding; or
(c) dumpsite burial.
(3) Records
which have been contaminated may be destroyed by:
(a) any of the approved methods described above; or
(b) incineration.
(4) Agencies
shall select from the following methods of destruction for electronic records:
(a) erasure from electronic media and all back up media;
(b) overwriting
of reusable magnetic media multiple times as recommended by the United States
(U.S.) department of defense;
(c) degaussing
of the magnetic media; or
(d) physical
destruction of the media as recommended by the U.S. department of defense.
[1.13.30.11 NMAC - Rp, 1.13.30.11 NMAC, 11/28/2017; A, 6/12/2018; A,
12/31/2019]
1.13.30.12 RECORDS DELIVERED TO THE RECORDS CENTER FOR DESTRUCTION: Agencies storing records at their location
may deliver records that have met their retentions to the records center for
destruction. For approval to deliver
records to the records center for destruction, the records custodian, chief
records officer or records liaison officer shall submit a request on a form
approved by the state records administrator.
A. The form may be
submitted electronically with a valid digital signature issued by the state
records administrator.
B. The state
records administrator or designee may inspect records prior to the acceptance
of the shipment for destruction.
C. The state records administrator may suspend destruction of records determined to be of historical value and, upon approval of the Commission, transfer the records to the state archives.
D. The approved
request for destruction shall match items delivered to the records center for
destruction. When a discrepancy is found
between what is listed on the approved request and what is delivered to the
records center, the shipment shall be rejected and the agency shall remove the
shipment from the records center.
E Agencies
utilizing the records centers for destruction services shall use boxes
equivalent to 15” x 10” x 12” in size.
F. Records
destroyed through the records center shall be assessed a fee per box. Agencies shall have a purchase order in place
prior to delivery of the shipment to the records center. For information on the fee schedule, refer to
1.13.2 NMAC.
G. Destruction,
returns and storage services will be suspended if the agency has an invoice
that is 90 days or more past due.
[1.13.30.12 NMAC - Rp, 1.13.30.12 NMAC, 11/28/2017; A, 6/12/2018]
1.13.30.13 DISPOSITION
OF RECORDS STORED IN THE RECORDS CENTER:
A. Upon receiving a
disposition authorization notice for records stored in the records center, only
the custodial agency’s records custodian or chief records officer shall review
the report of records to be destroyed or transferred to archives and respond by
the established deadline. Records
liaison officers do not have authority to sign the disposition authorization
notice for records stored at the records center.
B. Failure to
return a completed disposition authorization notice by the established deadline
shall result in a storage fee for records that are eligible for
destruction. In addition, the return of
withdrawn boxes, storage and disposition services will be suspended. For information on the fee schedule, refer to
1.13.2 NMAC.
C. Records
destroyed through the annual destruction process shall be assessed a fee per
box. For information on the fee
schedule, refer to 1.13.2 NMAC.
D. Destruction,
returns and storage services will be suspended if the agency has an invoice
that is 90 days or more past due.
[1.13.30.13 NMAC - Rp, 1.13.30.13 NMAC, 11/28/2017; A, 6/12/2018]
1.13.30.14 DESTRUCTION
OF NON-RECORDS: Destruction of non-records is the sole
responsibility of the custodial agency and does not require the prior approval
of the state records administrator. That
responsibility includes identifying whether the information is a non-record or
a public record. All state agencies and
any public entity that use the state records center services shall submit a
request on a form approved by the state records administrator. For the proper destruction of records with or
without confidential or sensitive information, refer to 1.13.30.11 NMAC.
[1.13.30.14 NMAC - Rp, 1.13.30.14 NMAC, 11/28/2017]
1.13.30.15 DESTRUCTION OF RECORDS HELD BY CONTRACTORS: All records or data created or managed by a
contractor or non-government entity for a governmental agency shall be disposed
of in accordance with the procedures established in 1.13.30 NMAC.
[1.13.30.15 NMAC - Rp, 1.13.30.15 NMAC, 11/28/2017]
1.13.30.16 MANAGEMENT RESPONSIBILITIES:
The development and implementation of a records management program is
the responsibility of each agency records custodian, as defined by the Public
Records Act. It is also management’s
responsibility to provide guidance to employees on the proper legal disposition
of public records and non-records.
Agency records management programs must clearly define the roles and
responsibilities of users disposing public records and non-records.
[1.13.30.16 NMAC - Rp, 1.13.30.16 NMAC, 11/28/2017]
history of 1.13.30
nmac:
Pre-NMAC History: The material
in this part was derived from that previously filed with the State Records
Center:
SRC Rule No. 70-3,
Records Management Division, Regulations Regarding Destruction of Records and
Appointment of Liaison Officers, filed 9/9/1970.
SRC Rule No. 89-05,
Regulations Regarding the Public Records Act, filed 5/22/1989.
History of Repealed Material:
1.13.30 NMAC, Destruction of Public Records, filed
6/16/2004 - Repealed effective 6/01/2006.
1.13.30 NMAC,
Destruction of Public Records and Non-Records, filed 5/10/2006 - Repealed
effective 11/30/2015.
1.13.30 NMAC,
Destruction of Public Records and Non-Records, filed 11/17/2015 - Repealed
effective 11/28/2017.
NMAC History:
1 NMAC 3.55,
Destruction of Public Records, filed 12/1/1994.
1 NMAC 3.2.50.1,
Destruction of Public Records, filed 4/18/1997.
1.13.30 NMAC,
Destruction of Public Records, filed 6/16/2004.
1.13.30 NMAC,
Destruction of Public Records and Non-Records, filed 5/10/2006.
1.13.30 NMAC,
Destruction of Public Records and Non-Records, filed (11/17/2015) was replaced
by 1.13.30 NMAC, Destruction of Public Records and Non-Records effective
11/28/2017.