1.13.10 NMAC

TITLE 1 GENERAL GOVERNMENT ADMINISTRATION

CHAPTER 13 PUBLIC RECORDS

PART 10 RECORDS CUSTODY, ACCESS, STORAGE AND DISPOSITION

1.13.10.1 ISSUING AGENCY: State Commission of Public Records - State Records Center and Archives

[1.13.10.1 NMAC - Rp, 1 NMAC 3.2.10.1.1, 6/30/2005]

1.13.10.2 SCOPE: All state agencies as well as local governments.

[1.13.10.2 NMAC - Rp, 1 NMAC 3.2.10.1.2, 6/30/2005]

1.13.10.3 STATUTORY AUTHORITY: Section 14-3-8 NMSA 1978 establishes a records center under the supervision and control of the administrator. The record center in accordance with the regulations established by the administrator and the commission shall be the facility for the receipt, storage or disposition of all inactive and infrequently used records of present or former state agencies. Section 14-3-6 NMSA 1978 provides the state records administrator the authority to establish records and information management programs for the application of efficient and economical management methods for the creation, utilization, maintenance, retention, preservation and disposal of public records.

[1.13.10.3 NMAC - Rp, 1 NMAC 3.2.10.1.3, 6/30/2005]

1.13.10.4 DURATION: Permanent.

[1.13.10.4 NMAC - Rp, 1 NMAC 3.2.10.1.4, 6/30/2005]

1.13.10.5 EFFECTIVE DATE: June 30, 2005 unless a later date is cited at the end of a section.

[1.13.10.5 NMAC - Rp, 1 NMAC 3.2.10.1.5, 6/30/2005]

1.13.10.6 OBJECTIVE: To establish requirements for the custody, access, storage and disposition to records stored at the state records center and archives by state agencies and local government.

[1.13.10.6 NMAC - Rp, 1 NMAC 3.2.10.1.6, 6/30/2005]

1.13.10.7 DEFINITIONS:

A. “Accession” means the act and procedures involved in a transfer of legal title and the taking of records or papers into the physical custody of an archival agency and the materials involved in such a transfer.

B. “Administrator” means the state records administrator (Section 14-3-2 NMSA 1978).

C. “Agency” means any state agency, department, bureau, board, commission, institution or other organization of state government, the territorial government and the Spanish and Mexican governments in New Mexico ( Section 14-3-2 NMSA 1978).

D. “Custodial agency” means the agency responsible for the maintenance, care, or keeping of public records, regardless of whether the records are in that agency’s actual physical custody and control.

E. “Electronic tracking system” means a warehouse management system designed to provide the state records center and archives with the tools necessary to efficiently manage the physical inventory and warehouse activities of the records centers.

F. “Human readable form” means information that can be recognized and interpreted without the use of technology.

G. “Inactive records” means the point during the life cycle of a record at which the record becomes inactive and thus can be transferred from the office of creation to the state records center for storage and subsequent disposition. Records are considered inactive when referred to less than once per year.

H. “ID” means a string of numerals, letters and characters that is used for identification.

I. “Life cycle” means the life span or time period from the creation or receipt of a record through its useful life to its final disposition. The five stages of the life cycle of a record include: creation; distribution and use; storage and maintenance; retention and disposition; and archival preservation for records of historical or information value.

J. “Master microfilm” means the original microform produced from which duplicates or intermediates can be obtained.

K. “Pick-up only personnel” means personnel authorized by a records custodian or record liaison officer only pick-up records from the state records center and archives (state records center).

L. “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 14-3-2 NMSA 1978).

M. “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 (1.13.70 NMAC).

N. “Records custodian” means the statutory head of the agency using or maintaining the records or the custodian’s designee.

O. “Records liaison officer” means a person in an agency responsible for authorizing the transfer, withdrawal or destruction of records and who acts on behalf of the records custodian.

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. Retention requirements are established in records retention and disposition schedules that are approved by the state commission of public records.

Q. “Records retention and disposition schedules” means rules adopted by the state commission of public records pursuant to Section 14-3-6 NMSA 1978 describing records of an agency, establishing a timetable for their life cycle and providing authorization for their disposition.

[1.13.10.7 NMAC - Rp, 1 NMAC 3.2.10.1.7, 6/30/2005; A, 6/29/2007; A, 6/30/2008]

1.13.10.8 CUSTODY OF RECORDS: Agency records stored at the state records center and archives (state records center) shall remain in the custody of the records custodian of the custodial agency until such time as they are:

A. destroyed with written approval from the state records administrator and the written consent of the records custodian or designated records liaison officer of the custodial agency and in accordance with retention periods established in records retention and disposition schedules; or

B. transferred to the state records center and archives (archives) with the written approval of the state records administrator and the consent of the records custodian or a designated records liaison officer of the custodial agency.

[1.13.10.8 NMAC - Rp, 1 NMAC 3.2.10.1.8, 6/30/2005; A, 6/30/2008]

1.13.10.9 RECORDS LIAISON OFFICER:

A. A records liaison officer may be designated by a records custodian to handle the storage, withdrawal and access or transfer of agency records to the state records center and archives.

B. All records liaison officers shall attend the required basic records management training offered by the state records center and archives before they can store, withdraw or access records stored in the records center.

C. Records liaison officers shall be required to attend additional training when notified by the state records center and archives of changes to records management policies, procedures or regulations.

D. The records liaison officer shall be re-appointed annually by the record custodian, using a form approved by the state records administrator.

E. The form shall include but not limited to the following: name and signature of the records custodian (agency head or cabinet secretary); name and signature of the records liaison officer; division or bureau (if acceptable); agency code; agency name and mailing address; fiscal year of designation; phone number; fax number and e-mail address.

F. If a records liaison officer leaves the employment of an agency or is released from records management duties, the agency shall immediately notify the state records center and archives (agency analysis bureau) regarding the change, and the records custodian shall appoint a new records liaison officer.

G. An agency must have an approved records liaison officer on file with the state records center and archives as specified in Subsection A of 1.13.10.9 NMAC in order to store, withdraw or access records stored in the records centers.

[1.13.10.9 NMAC - Rp, 1 NMAC 3.2.10.1.9, 6/30/2005; A, 6/30/2008]

1.13.10.10 TRANSFER AND PICK-UP:

A. Only inactive records shall be accepted for transfer and storage at the records center. Records are considered inactive when an agency refers to an individual box less than once a year.

B. Inactive records involved in litigation, an audit or investigation are not eligible for transfer to the archives and historical services division.

C. The records center requires the use of records storage boxes, 15" x 12" x 10" in size for both letter and legal size paper files. An agency submitting boxes for storage containing paper records shall:

(1) place only one type of record series with the same disposition date in each box;

(2) place the records in the box vertically and in the same order that they were kept in the office;

(3) place letter-sized folders across the 12-inch side, facing the front of the box;

(4) place legal-sized folders across the 15 inch side, starting from left to right;

(5) leave at least one inch of space for ease of access;

(6) place the lid on the box without tape;

(7) place all documents (with the exception of oversize materials) in accurately labeled standard file folders; and

(8) not place hanging file folders in the boxes.

D. Boxes that are damaged or overfilled shall be rejected for storage and returned to the custodial agency.

E. Blueprints and maps submitted for storage shall be placed in boxes designed for that purpose before they are transferred.

F. A records custodian or a records liaison officer may designate personnel to pick up agency records from the records center.

G. Pick-up personnel shall be appointed annually, using a form approved by the state records administrator. The form shall include but not be limited to the following: name and signature of the records custodian (agency head or cabinet secretary); name and signature of the records liaison officer; pick-up personnel’s name and signature; section/unit; agency code; agency name and mailing address; fiscal year of designation; phone number; fax number and e-mail address.

H. If a pick-up only designee leaves the employment of an agency or is released from the duty of picking up records, the agency shall immediately notify the state records center and archives (agency analysis bureau) regarding the change.

[1.13.10.10 NMAC - Rp, 1 NMAC 3.2.10.1.11, 6/30/2005; A, 6/30/2008; A, 6/30/2009]

1.13.10.11 ACCESS TO AND WITHDRAWAL OF RECORDS IN CUSTODY OF THE CUSTODIAL AGENCY:

A. Access to records stored in the records center shall be authorized in writing by the records custodian or the designated records liaison officer. The authorization shall be submitted to the records center and must specify the name of the individual(s) authorized to access the records and the effective period of the authorization.

B. Requests by the public to access records stored at the state records center shall be directed to the records custodian or the records liaison officer of the custodial agency.

C. Requests to review records on-site at the records center by the custodial agency shall be authorized by the records custodian or the records liaison officer. Personal identification must be provided to the records center staff.

D. Requests to access agency records made under the Inspection of Public Records Act shall be referred by the state records administrator to the custodial agency.

E. Requests for temporary or permanent withdrawal of records stored in the records center shall be made by the records liaison officer. The records liaison officer shall complete and submit a withdrawal form. The form shall include but not limited to the following; name and signature of the records liaison officer; date and time of transaction; agency name; agency address; records liaison officer's phone number; date requested; destination; permanent box number; shipment box number; barcode; location; record series item number; description; and return date.

F. Requests for withdrawals shall be at the box level. The records center will not honor requests for withdrawal of records at the folder level.

G. When permanent records or those eligible for transfer to archives are temporarily withdrawn, the custodial agency shall update the corresponding index to reflect any changes to the content of a box. The index shall be updated before the box is returned to the records center for storage.

H. Requests to withdraw between one to 10 boxes shall be processed by the records center within three working days. Requests to withdraw 10 or more boxes shall be evaluated by the records center bureau chief and processed based on the work load of the record center staff.

I. Emergency withdrawal requests will be processed within 24 hours of receipt. Emergency requests shall be made on a form prescribed by the state records administrator and shall include; the name of agency, agency code, date and time of the request, permanent box number; shipment box number; location; record series item number, an explanation of the nature of the emergency, and the signatures of the records liaison officer and the head of the agency.

[1.13.10.11 NMAC - Rp, 1 NMAC 3.2.10.1.12, 6/30/2005; A, 6/30/2008; A, 6/30/2009; A, 1/14/2011]

1.13.10.12 ACCESS TO RECORDS IN THE CUSTODY OF THE STATE RECORDS CENTER AND ARCHIVES: Access to records transferred to the state records center and archives (archives) shall be in accordance with procedures established by the state records administrator (see 1.13.11 NMAC).

[1.13.10.12 NMAC - Rp, 1 NMAC 3.2.10.1.13, 6/30/2005]

1.13.10.13 STORAGE OF PAPER RECORDS WITH A FINITE RETENTION AT THE STATE RECORDS CENTER AND ARCHIVES:

A. The state records center and archives (state records center) provides storage to state agencies for inactive public records. Non-record materials shall not be submitted for storage in the records center.

B. Agency's records liaison officers shall complete a storage transmittal form and submit it electronically or manually (hardcopy) to the agency analysis bureau for approval before records can be stored. The form shall contain but is not limited to the following: agency code; agency name; division name; date prepared; page number; office location; name and signature of the records liaison officer; records liaison officer telephone number; records liaison officer fax number; schedule item number; record description; disposition trigger date; destroy date; shipment box number and media type.

C. Agencies that elect to have record liaison officers submit storage transmittal forms electronically, shall submit a written request to the state records center and archives (agency analysis) bureau chief requesting access to the electronic tracking system. The request shall contain but is not limited to the following: agency name, division name, bureau name, record liaison officer's name and contact information. If access is granted the agency analysis bureau shall notify the agency in writing of the password and ID assigned to the record liaison officer.

D. Agencies approved to store records shall be provided with barcode labels by the records center.

E. The barcode labels shall be affixed to the records storage boxes prior to delivery to the records center. The labels shall be placed two to three inches below the handle side of the storage box.

F. The records custodian and records liaison officer shall be notified by the records center when records in storage have met the legal retention period and are eligible for destruction.

G. If an agency does not respond to the records center's notice of records eligible for destruction by the established deadline, the state records center and archives shall charge the custodial agency a storage fee as established in 1.13.2 NMAC, Fees.

[1.13.10.13 NMAC - N, 6/30/2005, A, 6/01/2006; A, 6/29/2007]

1.13.10.14 STORAGE OF PERMANENT PAPER RECORDS:

A. Records with the disposition of transfer to archives, which include records with the retention of permanent or transfer to archives, shall include an index approved by the state records center and archives that describes the contents of the box. The index shall include the following: agency code, agency name, division name, shipment date, shipment box number (e.g., 1 of 10, 2 of 10, 3 of 10, etc.), folder number, records series number, records series title, confidential note if any, folder description and date of material.

B. A copy of the index shall be placed in the storage box. A second copy of the index shall be submitted with the corresponding storage transmittal forms.

C. The storage transmittal form and the request for disposition form shall have an attached index before the boxes are approved for storage or transfer. All file folders in the box shall be clearly labeled and identify the contents of the folder.

D. The records custodian and the records liaison officer shall be notified by the records center when records are eligible for transfer to the state archives.

[1.13.10.14 NMAC - N, 6/30/2005; A, 6/30/2009]

1.13.10.15 STORAGE OF ELECTRONIC MEDIA:

A. An agency shall have an approved imaging plan on file with the state records center and archives (electronic records and micrographic bureau) before electronic media can be stored. For information on imaging plans see 1.14.2.16 NMAC, Microphotography Systems, Microphotography Standards.

B. An agency shall complete a storage transmittal form and submit it to the state records center and archives (agency analysis bureau) for approval. An agency records liaison officer may contact the state records center and archives (records management division) for information and assistance with storage.

(1) The storage transmittal form shall be signed by the agency’s records custodian or records liaison officer.

(2) At a minimum, each individual unit (tape, disk, etc.) of electronic media shall be clearly identified with the agency name, record series and disposition date.

D. Withdrawal and access to electronic retention files shall be through the standard records center procedure for access and withdrawal of records. For information on record withdrawal procedures see 1.13.10.11 NMAC.

E. Agencies are responsible for safeguarding against storage media deterioration and technology changes that can leave electronic records inaccessible over a period of time because of hardware or software obsolescence. To eliminate the possibility of creating a situation where information can no longer be retrieved, agencies shall provide for future record accessibility by:

(1) migrating all electronic records when there are major changes to the next generation of hardware or software; or

(2) migrating only current electronic records to new hardware or software, and converting records not migrated to “human readable form”; for additional information, see 1.13.3 NMAC, Management of Electronic Records.

F. The records custodian and records liaison officer shall be notified by the records center when records in storage have met the legal retention period and are eligible to be transferred to archives or are eligible for destruction.

[1.13.10.15 NMAC - N, 6/30/2005; A, 6/29/2007; A, 6/30/2009]

1.13.10.16 STORAGE OF MICROFILM:

A. An agency shall have an approved microphotography plan on file with the state records center and archives (electronic records and micrographic bureau) before master microfilm can be stored. For information on microphotography systems and standards see 1.14.2 NMAC.

B. The microphotography plan shall specify that the master microfilm will be stored at the state records center and archives (electronic records and micrographics bureau).

C. Agency's records liaison officers or microfilm vendors approved by an agency to transfer microfilm to the state records center shall complete a microfilm storage transmittal form and submit it manually (hardcopy) to the agency analysis bureau for approval before records can be stored. The form shall contain but is not limited to the following: agency code; agency name; division name; date prepared; page number; office location; name and signature of the records liaison officer; records liaison officer telephone number; records liaison officer fax number; record series number; record series title; date filmed; begin date; end date; disposition date; roll number; begin document; end document and media type.

D. Microfilm rolls or microfiche with a retention period of permanent or transfer to archives submitted for storage to the electronic records and micrographics bureau shall include an index as described in Subsection A of 1.13.10.14 NMAC. An index shall be provided for each individual roll or microfiche card.

E. Microfilm shall pass inspection before it is approved for storage. Information on microfilm that has passed inspection will be entered into a computer tracking system by the electronic records and micrographics bureau staff. The computer system assigns permanent container numbers.

F. Microfilm storage transmittal forms shall be returned to the custodial agency with a notation indicating the assigned permanent container numbers.

G. It is the responsibility of the custodial agency to notify the microfilm vendor under contract that the microfilm has passed inspection.

H. After the microfilm has passed inspection and has been approved for storage the custodial agency shall submit a request for disposition form to the state records center and archives (agency analysis bureau) requesting authorization to dispose of the source documents.

I. If the microfilm has failed inspection, the electronic records and micrographics bureau staff shall notify the agency by letter that the microfilm can not be stored and that source documents shall be re-filmed before they can be destroyed.

J. For the procedure on withdrawal and access of records stored at the electronic records and micrographics bureau, see 1.13.10.11 NMAC.

K. The records custodian and records liaison officer shall be notified by the records center when records in storage have met the legal retention period and are eligible to be transferred to archives or are eligible for destruction.

L. If an agency does not respond to the records center's notice of records eligible for destruction by the established deadline, the state records center and archives shall charge the custodial agency a storage fee as established in 1.13.2 NMAC, Fees.

[1.13.10.16 NMAC - N, 6/30/2005; A, 6/30/2008; A, 6/30/2009]

1.13.10.17 DISPOSITION:

A. The state records center is responsible for reviewing and applying the appropriate retention to records brought in for storage. The records center shall notify records custodians and records liaison officers when the custodial agency's records are eligible for disposition.

B. The state records administrator shall provide the custodial agency with a report of records eligible for either destruction or transfer to archives. The notice shall contain but not limited to the following; name of agency; agency code; date; number of record series eligible for destruction; method of destruction; location, barcode; record series item number; shipment box number; shipment date; description; and inclusive record series dates.

C. Upon receiving a notification of records eligible for destruction the custodial agency shall review the report of records to be destroyed and respond by the established deadline.

D. The custodial agency may request an exception to remove records from destruction if; the records identified in the notice are involved in litigation; the records identified in the notice are involved in active investigation; or the records identified in the notice are involved in an audit. The custodial agency shall submit the request for an exception in writing to the state records administrator and cite the exception (e.g., pending litigation, audit in process, audit pending, etc.).

E. The destruction notice shall have the written approval from the state records administrator with the written consent of the records custodian or designated records liaison officer prior to the execution of the destruction.

F. If an agency does not respond to the records center's notice of records eligible for destruction by the established deadline, the state records center and archives shall charge the custodial agency a storage fee for the storage of records that are eligible for destruction. For information on the fee schedule see 1.13.2 NMAC.

[1.13.10.17 NMAC - N, 6/30/2005]

1.13.10.18 DIRECT TRANSFER OF RECORDS TO THE ARCHIVES AND HISTORICAL SERVICES DIVISION:

A. An agency may transfer records with a retention period of permanent or transfer to archives to the archives and historical services division directly by submitting a request for disposition form and the required index to the agency analysis bureau for review and approval. The request for disposition form shall list only those records that are eligible for transfer to the archives and historical services division.

B. For direct transfers to the archives and historical services division an index shall be created in microsoft excel format. See Subsection A of 1.13.10.14 NMAC for a description of the required content of the index. Prior to delivery of the records the agency shall provide the accessioning archivist with an electronic copy of the index in microsoft excel format by e-mail or on CD-ROM. The accessioning archivist will notify the agency when to deliver the records to the state records center and archives.

C. Inactive records involved in litigation, an audit or investigation are not eligible for transfer to the archives and historical services division.

D. Once authorization is received for the transfer of records to the archives and historical services division from the records custodian and the state records administrator accepts the records, the legal title and custody of the records is also transferred from the creating agency to the state records center and archives.

[1.13.10.18 NMAC - N, 6/29/2007; A, 6/30/2009]

history of 1.13.10 nmac:

Pre-NMAC History: The material in this part was derived from that previously filed with the State Records Center:

SRC Rule 93-07, Policy on Custody of Records Stored by the Records Center, filed 6/1/93.

History of Repealed Material:

1 NMAC 3.2.10.1, Records Custody and Access - Repealed 6/30/2005.