TITLE 1 GENERAL
GOVERNMENT ADMINISTRATION
CHAPTER 15 GENERAL RECORDS
RETENTION AND DISPOSITION SCHEDULES (GRRDS)
PART 6 GRRDS,
GENERAL PERSONNEL RECORDS
1.15.6.1 ISSUING AGENCY:
[New Mexico Commission of Public Records] State Records Center and
Archives
[8-8-96; 1.15.6.1 NMAC - Rn, 1 NMAC 3.2.90.1, 10/01/2000]
1.15.6.2 SCOPE: general
personnel records
[8.8.96; 1.15.6.2 NMAC - Rn, 1 NMAC 3.2.90.2, 10/01/2000]
1.15.6.3 STATUTORY
AUTHORITY: Section 14-3-6 NMSA 1978. Administrator: duties. The administrator shall establish a record
management program for the application of efficient and economical management
methods of the creation, utilization, maintenance, retention, preservation and
disposal of official records. The
administrator shall establish records disposal schedules for the orderly
retirement of records and adopt regulations necessary for the carrying out of
the public records act. Records
disposal schedules shall be filed with the librarian of the supreme court
library, and shall not become effective until thirty days after the filing
date.
[8-8-96; 1.15.6.3 NMAC - Rn, 1 NMAC 3.2.90.3, 10/01/2000]
1.15.6.4 DURATION:
permanent
[8-8-96; 1.15.6.4 NMAC - Rn, 1 NMAC 3.2.90.4, 10/01/2000]
1.15.6.5 EFFECTIVE
DATE: January 10, 1997
[8-8-96; 1.15.6.5 NMAC - Rn, 1 NMAC 3.2.90.5, 10/01/2000]
1.15.6.6 OBJECTIVE:
A. To establish a records management program for the application of and
efficient and economical management methods to the creation, utilization,
maintenance, retention, preservation and disposal of official records (14-3-6
NMSA 1978).
B. To
establish records disposal schedules for the orderly retirement of records and
adopt regulations necessary for the carrying out of the public records act
(14-3-6 NMSA 1978).
[8-8-96; 1.15.6.6 NMAC - Rn, 1 NMAC 3.2.90.6, 10/01/2000]
1.15.6.7 DEFINITIONS:
A. Administrator: "Administrator" means the state records administrator. (Section 14-3-2, NMSA 1978)
B. Agency: "Agency" means any state agency, department, bureau, board, commission, institution or other organization of the state government, the territorial government and the Spanish and Mexican governments in New Mexico. (Section 14-3-2, NMSA 1978)
C. Audit: A periodic examination of an organization to determine whether appropriate procedures and practices are followed.
D. Commission: "Commission" means the state commission of public records. (Section 14-3-2, NMSA 1978)
E. Pending litigation: A proceeding in a court of law whose activity is in progress but not yet completed.
F. Record destruction: The process of totally obliterating information on records by any method to make the information unreadable or unusable under any circumstances.
G. Records management: The systematic control of all records from creation or receipt through processing, distribution, maintenance and retrieval, to their ultimate disposition.
H. Records retention period: The period of time during which records must be maintained by an organization because they are needed for operational, legal, fiscal, historical or other purposes.
I. Records retention schedule: A document prepared as part of a records retention program that lists the period of time for retaining records.
J. Public records: "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, 3.2.90 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 14-4-2, NMSA 1978)
K. Non-records: Library or museum material of the state library, state institutions and state museums, extra copies of documents reserved only for convenience of reference and stocks of publications and processed documents are non-records. (Section 14-3-2 C, NMSA 1978). The following specific types of materials are non-records: extra copies of correspondence; documents preserved only for convenience of reference; blank forms/books which are outdated; materials neither made nor received in pursuance of statutory requirements nor in connection with the functional responsibility of the officer/agency; 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: shorthand notes, steno tapes, mechanical recordings which have been transcribed, except where noted on agency retention schedules; routing and other interdepartmental forms which are not significant evidence of the activity concerned and do not otherwise have value as described above; stocks of publications already sent to archives and processed documents preserved for supply purposes only; form and guide letters, sample letters, form paragraphs; subject files, including copies of correspondence, memoranda, publications, reports and other information received by agency and filed by subject (also referred to as reading files or information files). [See also Item No. 1.15.2.101 of Records Retention and Disposition Schedule for General Administrative Records (1 NMAC 1.15.2 filed, 10/01/2000).]
[8-8-96; 5-19-97; 1.15.6.7 NMAC - Rn, 1 NMAC 3.2.90.7, 10/01/2000]
1.15.6.8 INSTRUCTIONS:
A. For records of an administrative nature, refer to the Records Retention and Disposition Schedule for General Administrative Records, 1.15.2 NMAC.
B. For records of a financial nature, refer to the Records Retention and Disposition Schedule for General Financial Records, 1.15.4 NMAC.
C. For records of a personnel nature, refer to the Records Retention and Disposition Schedule for General Personnel Records, 1.15.6 NMAC.
D. For records of a medical nature, refer to the Records Retention and Disposition Schedule for General Medical Records, 1.15.8 NMAC.
E. Retention periods shall be extended until six months after all current or pending litigation, current claims, audit exceptions or court orders involving a record have been resolved or concluded.
F. The descriptions of files are intended to be evocative, not complete. For example, there will always be some documents that are filed in a file that are not listed in the description, and similarly, not every file will contain an example of each document listed in the description.
G. Confidentiality is denoted as "-C-". Not all materials in a file may be confidential. Refer to NOTE. Where portions of file may be confidential, refer to legal counsel for agency.
H. Access to confidential documents and/or confidential files shall be only by authorization of agency or Attorney General and/or by court order, unless otherwise provided by statute. Release of confidential documents to law enforcement and other government agencies, shall only be upon specific statutory authorization or court order.
I. All records, papers or documents may be photographed, microfilmed, microphotographed or reproduced on film. Such photographs, microfilms, photographic film or microphotographs shall be deemed to be an original record for all purposes, including introduction in evidence in all courts or administrative agencies. (Section 14-1-5, 14-1-6 NMSA 1978)
J. Data processing and other machine readable records. Many paper records are being eliminated when the information has been placed on magnetic tapes, disks, or other data processing media. In these cases, the information on the data processing medium should be retained for the length of time specified in records retention & disposition schedules for paper records and should be subject to the same confidentiality and access restrictions as paper records. When the destruction of a record is required, all versions of said record shall be electronically over-written on machine readable media on which it is stored (or media destroyed). (See also 1.13.70 NMAC: PERFORMANCE GUIDELINES FOR THE LEGAL ACCEPTANCE OF PUBLIC RECORDS PRODUCED BY INFORMATION TECHNOLOGY SYSTEMS).
[8-8-96; 5-19-97; 1.15.6.8 NMAC - Rn, 1 NMAC 3.2.90.8,
10/01/2000]
1.15.6.9-100 [RESERVED]
1.15.6.101 EMPLOYEES
PERSONNEL FILES:
A. Program: personnel files
B. Maintenance
system: [RESERVED]
C. Description:
can include but not limited to
personnel action forms, personal data forms, biographical information forms,
benefits, authorization forms, tax authorization forms, u.s. savings bond
enrollment, security access forms, deduction worksheets; performance
development plans; correspondence (includes disciplinary actions,
commendations, recommendations, etc.):
General (includes applications, test grades, certificates, resumes,
transcripts, disclaimers, etc). Some records contain both confidential and
non-confidential information. This information must be separated to protect
confidentiality and facilitate public access as required by SPB 2.7.
D.
Retention:
(1) state agency copy:
(a) records (paper) dated
prior to January 1, 1970:
(i) separated employees: 55
years after employee separated from agency
(ii) retired employees: three
years after employee retired
(b) records (paper) dated
after January 1, 1970: three years after employee separated from
agency or retired
(2) state personnel office copy: see
1 NMAC 3.2.93.378
[9-30-81, 12-30-94, 1-10-97; 1.15.6.101 NMAC - Rn, 1 NMAC 3.2.90.30.P101,
10/01/2000]
1.15.6.102 APPLICATIONS
FOR EMPLOYMENT:
A. Program: personnel files
B. Maintenance
system: [RESERVED]
C. Description: [RESERVED]
D. Retention:
(1) approved application: three
years after date approved
(2) rejected
applications: three years after date rejected
[9-30-81, 12-30-94, 1-10-97; 1.15.6.102 NMAC - Rn, 1 NMAC 3.2.90.30.P102,
10/01/2000]
1.15.6.103 BACKGROUND INVESTIGATION RECORDS:
A. Program: personnel files
B. Maintenance system: [RESERVED]
C. Description: can
include but are not limited to application, authorization, investigation final
report, etc.
D. Retention:
(1) hired employees: three years after employee terminated or
retired
(2) individuals not
hired: three years after investigation
E. Confidentiality: 14-2-1.D.
NMSA 1978
[9-30-81, 12-30-94, 1-10-97; 1.15.6.103 NMAC - Rn, 1 NMAC 3.2.90.30.P103,
10/01/2000]
1.15.6.104 PERFORMANCE AND DEVELOPMENT PLANS:
A. Program: personnel files
B. Maintenance
system: [RESERVED]
C. Description: maintained
in employee personnel folder
D. Retention: three
years after issued
E. Confidentiality: confidential,
SPB 2.7.B.6
[9-30-81, 12-30-94, 1-10-97; 1.15.6.104 NMAC - Rn, 1 NMAC 3.2.90.30.P104,
10/01/2000]
1.15.6.105 LEAVE RECORDS:
A. Program: personnel files
B. Maintenance
system: [RESERVED]
C. Description: can
include but are not limited to application for leave, leave balance sheets, etc
D. Retention: until
audit report released for year in which record created
[9-30-81, 12-30-94, 1-10-97; 1.15.6.105 NMAC - Rn, 1 NMAC 3.2.90.30.P105,
10/01/2000]
1.15.6.106 RETIREMENT RECORDS:
A. Program: personnel files
B. Maintenance
system: [RESERVED]
C. Description: can include but are not limited to application, certification, changes, refunds, financial ledger, correspondence etc
D. Retention: three years after employee terminated or retired
[9-30-81, 12-30-94, 1-10-97; 1.15.6.106 NMAC - Rn, 1 NMAC 3.2.90.30.P106,
10/01/2000]
1.15.6.107 INSURANCE RECORDS:
A. Program: personnel files
B. Maintenance
system: [RESERVED]
C. Description: [RESERVED]
D. Retention:
(1) deductions authorization, request for change, waiver and
application: three years after employee terminated or
retired, or three years after termination of agreement
(2) copies of claims;
correspondence, etc: until no longer needed for reference
[9-30-81, 12-30-94, 1-10-97; 1.15.6.107 NMAC - Rn, 1 NMAC 3.2.90.30.P107,
10/01/2000]
1.15.6.108 MISCELLANEOUS
DEDUCTIONS RECORDS:
A. Program: personnel files
B. Maintenance
system: [RESERVED]
C. Description: can
include but are not limited to records relative to credit union, savings bonds,
prepaid legal services, united way, garnishment, etc
D. Retention:
three years after final deduction
[9-30-81, 12-30-94,
1-10-97; 1.15.6.108 NMAC - Rn, 1 NMAC 3.2.90.30.P108, 10/01/2000]
1.15.6.109 CERTIFICATE OF ELIGIBLES:
A. Program: personnel files
B. Maintenance
system: [RESERVED]
C. Description: list applicants in order of score; shows
name and address, social security number, veteran’s preference and residence
points, phone number(s), agency comment codes
D. Retention:
three years after date issue
[9-30-81, 12-30-94,
1-10-97; 1.15.6.109 NMAC - Rn, 1 NMAC 3.2.90.30.P109, 10/01/2000]
1.15.6.110 PROMOTIONAL AND OR TRANSFER
OPPORTUNITY NOTICES (INTERNAL):
A. Program: personnel files
B. Maintenance
system: [RESERVED]
C. Description: can show position title, range, salary,
location, supervisor, qualifications, deadline, etc
D. Retention: three
years after date issued
[9-30-81, 12-30-94,
1-10-97; 1.15.6.110 NMAC - Rn, 1 NMAC 3.2.90.30.P110, 10/01/2000]
1.15.6.111 JOB SPECIFICATIONS (SPB
CLASSIFICATION PLAN):
A. Program: personnel files
B. Maintenance
system: [RESERVED]
C. Description: shows job title, definition, supervision and
guidelines, examples of work performed, distinguishing characteristics, minimum
qualifications, and working conditions
D. Retention:
until new specification issued
[9-30-81, 12-30-94,
1-10-97; 1.15.6.111 NMAC - Rn, 1 NMAC 3.2.90.30.P111, 10/01/2000]
1.15.6.112 POSITION CLASSIFICATION QUESTIONNAIRE
(PCQ):
A. Program: personnel files
B. Maintenance
system: [RESERVED]
C. Description: this form gather information on positions for
a variety of uses, which include; developing performance and development plan
objectives, job classification, development of selection instruments, and
determination of pay. Shows agency,
position, number, current and proposed classification, name of incumbent and
supervisor, signatures, description of work performed, etc
D. Retention:
(1) personnel file
copy: until new PCQ issued
(2) for ADA
(Americans with Disabilities Act) compliance:
until new PCQ, (ADA) issued
[9-30-81, 12-30-94,
1-10-97; 1.15.6.112 NMAC - Rn, 1 NMAC 3.2.90.30.P112, 10/01/2000]
1.15.6.113 TABLE OF ORGANIZATIONAL LISTING
(TOOL) MONTHLY PRINTOUT:
A. Program: personnel files
B. Maintenance
system: [RESERVED]
C. Description: shows index of organization units
D. Retention: until superseded by new listing
[9-30-81, 12-30-94,
1-10-97; 1.15.6.113 NMAC - Rn, 1 NMAC 3.2.90.30.P113, 10/01/2000]
1.15.6.114 STATE GOVERNMENT INTERN POSITION
REQUEST:
A. Program: personnel files
B. Maintenance
system: [RESERVED]
C. Description: shows agency identification, job description,
preferred education experience requirement, special job requirements, agency
authorization and date
D. Retention: three years after date issued
[9-30-81, 12-30-94,
1-10-97; 1.15.6.114 NMAC - Rn, 1 NMAC 3.2.90.30.P114, 10/01/2000]
1.15.6.115 NOTICE OF CHANGE OF CLASS SPECIFICATION:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: shows manifest number, effective date,
present class title and specification number, nature of action, etc
D. Retention: until new list is issued
[9-30-81, 12-30-94,
1-10-97; 1.15.6.115 NMAC - Rn, 1 NMAC 3.2.90.30.P115, 10/01/2000]
1.15.6.116 AFFIRMATIVE ACTION PLANS, ANNUAL,
(EQUAL EMPLOYMENT OPPORTUNITY):
A. Program: personnel files
B. Maintenance system: [RESERVED]
C. Description: required annually by state and federal law,
these are agency assessments of internal employment practices with specific
policies and procedures designed to eliminate the effects of institutional
discrimination.
D. Retention: three years after date issued
[9-30-81, 12-30-94,
1-10-97; 1.15.6.116 NMAC - Rn, 1 NMAC 3.2.90.30.P116, 10/01/2000]
1.15.6.117 AGENCY (EEO) STATISTIC, ANNUAL
PRINTOUT:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: reports provided by the state personnel
office (or agency generated for use in preparing affirmative action plans: they
include but are not limited to minority actions report, minority groups report,
(EEO) profile of employee job categories, etc.
D. Retention: until affirmative action plan has been issued
[9-30-81, 12-30-94,
1-10-97; 1.15.6.117 NMAC - Rn, 1 NMAC 3.2.90.30.P117, 10/01/2000]
1.15.6.118 GRIEVANCE/COMPLAINT FILES (UNFAIR
LABOR PRACTICES):
A. Program: personnel files
B. Maintenance
system: [RESERVED]
C. Description: can contain but are not limited to
complaint/grievance, correspondence, summary of hearing, exhibits, committee
decisions, transcripts, resolution, depositions, etc
D. Retention:
(1) not appealed: three years after
date file closed
(2) appealed to state personnel board or
human rights division: five years after date of final action
[9-30-81, 12-30-94,
1-10-97; 1.15.6.118 NMAC - Rn, 1 NMAC 3.2.90.30.P118, 10/01/2000]
1.15.6.119 AGREEMENT/NEGOTIATION FILES:
A. Program: personnel files
B. Maintenance
system: by agency
C. Description: contain proposed and supplemental agreement,
meeting summaries, correspondence, final agreement, etc
D. Retention: five years after final agreement
[12-30-94, 1-10-97;
1.15.6.119 NMAC - Rn, 1 NMAC 3.2.90.30.P119, 10/01/2000]
1.15.6.120 ADVERSE ACTION FILES:
A. Program: personnel files
B. Maintenance
system: [RESERVED]
C. Description: contain agency copies of entire case record
of a state personnel board appeal.
D. Retention: 10 years after final action.
[12-30-94, 1-10-97;
1.15.6.120 NMAC - Rn, 1 NMAC 3.2.90.30.P120, 10/01/2000]
1.15.6.121 DRUG AND ALCOHOL REPORTS OF TEST RESULTS:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: drug and alcohol test results reported to the
drug abuse coordinator (as per
SPB 11.8).
D. Retention: one year after date of test or one year after
agency determination
E. Confidentiality:
14-2-1.A. NMSA 1978 and SPB
2.7.B.1.
[12-30-94, 1-10-97;
1.15.6.121 NMAC - Rn, 1 NMAC 3.2.90.30.P121, 10/01/2000]
1.15.6.122 REVIEW OF TEST RESULTS, REQUEST:
A. Program: personnel files
B. Maintenance system: [RESERVED]
C. Description: request by the applicant or employee for
review of positive test results by the medical review officer
D. Retention: one year from date of agency determination
E. Confidentiality: 14-2-1.A.
NMSA 1978 and SPB 2.7.B.1.
[12-30-94, 1-10-97;
1.15.6.122 NMAC - Rn, 1 NMAC 3.2.90.30.P122, 10/01/2000]
1.15.6.123 MEDICAL REVIEW OFFICER’S REVIEW OF
TEST RESULTS REPORT:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: examination of any proffered or possible
explanations concerning the validity of the confirmed positive test
results. May include medical
interview, review of the medical history, review of chain of custody and
discussions with the collector or laboratory personnel (as per SPB 11.9).
D. Retention: one year from date of agency determination
E. Confidentiality:
14-2-1-A. NMSA 1978 and SPB
2.7.B.1
[12-30-94, 1-10-97;
1.15.6.123 NMAC - Rn, 1 NMAC 3.2.90.30.P123, 10/01/2000]
1.15.6.124 EXPLANATIONS/CHALLENGES OF CONFIRMED
POSITIVE TEST RESULTS DETERMINATIONS: A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: the final determination by the agency of the
applicant’s or employee’s explanations or challenges, the medical review
officer’s findings and other inquiries or facts (as per SPB 11.9)
D. Retention: one year from date of determination.
E. Confidentiality: 14-2-1.A. NMSA 1978
and SPB 2.7.B.1
[12-30-94, 1-10-97;
1.15.6.124 NMAC - Rn, 1 NMAC 3.2.90.30.P124, 10/01/2000]
1.15.6.125 ALCOHOL AND DRUG ABUSE PROGRAM:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: records created in planning, coordinating and
directing an alcohol and drug abuse program
D. Retention: three years after close of fiscal year in
which created
[12-30-94, 1-10-97;
1.15.6.125 NMAC - Rn, 1 NMAC 3.2.90.30.P125, 10/01/2000]
1.15.6.126 AGENCY ADA COMPLIANCE PLAN:
A. Program: personnel files
B. Maintenance
system: [RESERVED]
C. Description: contains self evaluation check-list, self
evaluation, ADA transition plan outline, ADA grievance procedure, policies and
correspondence
D. Retention: 10 years from date of plan
[12-30-94, 1-10-97;
1.15.6.126 NMAC - Rn, 1 NMAC 3.2.90.30.P126, 10/01/2000]
1.15.6.127 CANDIDATE HISTORY AND PHYSICAL FORM
SUPPLEMENT (RECOMMENDATIONS FOR EMPLOYMENT):
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: this form will be used with job offer
contingent on passing a physical examination.
The medical exam must be based on the essential functions of the
job. This form may be kept in the personnel
file.
D. Retention: three years after the date of hire or one year
after the date the individual’s employment is terminated, whichever is later (8
CFR 274A. 6)
[12-30-94, 1-10-97;
1.15.6.127 NMAC - Rn, 1 NMAC 3.2.90.30.P127, 10/01/2000]
1.15.6.128 PHYSICAL EXAMINATIONS:
A. Program: personnel files
B. Maintenance
system: [RESERVED]
C. Description: examinations performed after an offer of
employment and prior to final selection for appointment or reemployment in the
classified service (as per SPB 8.6)
D. Retention: 10 years after date of examination
E. Confidentiality: 14-2-1.A.
NMSA 1978 and SPB 2.7.B.1
[12-30-94, 1-10-97;
1.15.6.128 NMAC - Rn, 1 NMAC 3.2.90.30.P128, 10/01/2000]
1.15.6.129 OCCUPATIONAL INJURY AND ILLNESS
FILES:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: may contain reports and logs, including OSHA
forms to document all recordable injuries and illnesses
D. Retention: five years from end of fiscal year in which
created
[12-30-94, 1-10-97;
1.15.6.129 NMAC - Rn, 1 NMAC 3.2.90.30.P129, 10/01/2000]
1.15.6.130 EMPLOYEE MEDICAL FILES:
A. Program: personnel files
B. Maintenance
system: [RESERVED]
C. Description: may contain forms, reports and other medical
treatment records. These records may be
pertinent and essential health case records for long-term medical history and
physical condition.
D. Retention:
three years from last treatment or three years from separation from
employment, whichever is later
E. Confidentiality: 1-4-2-1.A NMSA 1978 and SPB 2.7.B.1.
[12-30-94, 1-10-97;
1.15.6.130 NMAC - Rn, 1 NMAC 3.2.90.30.P130, 10/01/2000]
1.15.6.131 TRAINING/EDUCATIONAL MATERIALS:
A. Program: personnel
files
B. Maintenance
system: by course subject
C. Description: may contain record copy of manuals,
syllabuses, text-books, training plans, notices, catalogs, etc. These are considered non-record materials.
D. Retention: when superseded or obsolete
[12-30-94, 1-10-97;
1.15.6.131 NMAC - Rn, 1 NMAC 3.2.90.30.P131, 10/01/2000]
1.15.6.132 TRAINING/EVALUATIONS:
A. Program: personnel
files
B. Maintenance
system: by course subject
C. Description: completed by training participants, used by
instructors and training administrators to assess and plan training
D. Retention: one year after end of fiscal year in which
created
[12-30-94, 1-10-97;
1.15.6.132 NMAC - Rn, 1 NMAC 3.2.90.30.P132, 10/01/2000]
1.15.6.133 TRAINING RECORDS:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: general file of agency-sponsored training:
may include, correspondence, memoranda, agreements, authorizations, reports,
studies, plan and objectives relating to the establishment and operation of
training courses and conferences.
D. Retention: five years after end of fiscal year in which
created or five years after completion of specific training program
[9-30-81, 12-30-94,
1-10-97; 1.15.6.133 NMAC - Rn, 1 NMAC 3.2.90.30.P133, 10/01/2000]
1.15.6.134 EMPLOYEE TRAINING RECORDS:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: may contain correspondence, memoranda,
reports and other records relating to the availability of training and employee
participation in training programs: registration/completion/attendance records.
[Course certificates placed in official personnel file].
D. Retention: five years after end of fiscal year in which
created
[12-30-94, 1-10-97;
1.15.6.134 NMAC - Rn, 1 NMAC 3.2.90.30.P134, 10/01/2000]
1.15.6.135 FINANCIAL DISCLOSURE RECORDS:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: may contain financial disclosure
statements, amendments and related documents submitted by individuals as
required under financial disclosure act [10-16A-1 to 10-16A-7] [NMSA 1978].
D. Retention:
(1) individuals not confirmed by the senate: one
year after individual ceases to be under consideration for appointment
(2) all other record: six
years from filing date
[12-30-94, 1-10-97;
1.15.6.135 NMAC - Rn, 1 NMAC 3.2.90.30.P135, 10/01/2000]
1.15.6.136 PERSONNEL COUNSELING RECORDS:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: may contain reports of interview, counseling
statements, analyses and related records.
Access restricted to authorized personnel.
D. Retention: three years after termination of counseling
[12-30-94, 1-10-97;
1.15.6.136 NMAC - Rn, 1 NMAC 3.2.90.30.P136, 10/01/2000]
1.15.6.137 INTERVIEW RECORDS:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: may contain correspondence reports and
completed questionnaires and rating forms, used for hiring selection
D. Retention: three years after selection is made
[12-30-94, 1-10-97;
1.15.6.137 NMAC - Rn, 1 NMAC 3.2.90.30.P137, 10/01/2000]
1.15.6.138 SUPERVISOR’S PERSONNEL FILES AND
DUPLICATE OFFICIAL PERSONNEL FILE DOCUMENTATION:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: may contain correspondence, forms
authorization, pending actions:
position descriptions and records on individual employees duplicated in
or not appropriate for the official personnel file
D. Retention: review annually and destroy, superseded or obsolete
documents; or destroy file one year after separation or transfer
[12-30-94, 1-10-97;
1.15.6.138 NMAC - Rn, 1 NMAC 3.2.90.30.P138, 10/01/2000]
1.15.6.139 EMPLOYEE AWARDS FILES:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: case files may include: recommendations,
approved nomination, correspondence, reports and related handbooks pertaining
to agency-sponsored cash and non-cash awards, such as incentive awards within
grade increases, outstanding performance, etc.
Length of service and sick leave awards files may include
correspondence, reports, computations of service and sick leave and lists of
awardees. Letters of commendation and
appreciation: copies of letter recognizing length of service and retirement,
excluding copies filed in official personnel folder.
D. Retention:
(1) case files: two years after
approval or disapproval
(2) length of service and sick leave awards files: one
year after end of fiscal year in which created
(3) letters of recommendation and
appreciation: two years after end of fiscal year in which
created
[12-30-94, 1-10-97;
1.15.6.139 NMAC - Rn, 1 NMAC 3.2.90.30.P139, 10/01/2000]
1.15.6.140 INCENTIVE AWARD PROGRAM REPORTS:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: reports pertaining to the operation of the
incentive award program
D. Retention: three years after end of fiscal year in which
created
[12-30-94, 1-10-97;
1.15.6.140 NMAC - Rn, 1 NMAC 3.2.90.30.P140, 10/01/2000]
1.15.6.141 HRMS
DATA INPUT AND SOURCES PERSONNEL ACTION FORM, SPB FORM 1:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: the personnel action form (PAF) is the
primary forms used for initial employment, promotions, transfers, leaves of
absence, and other personnel actions.
This is a “turn-around” document which validates data entry.
D. Retention: three years after employee terminated or
retired
[12-30-94, 1-10-97;
1.15.6.141 NMAC - Rn, 1 NMAC 3.2.90.30.P141, 10/01/2000]
1.15.6.142 PERSONAL
DATA FORM:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: the personnel data is used for gathering
information that is not directly job related, i.e. employee information,
contact information, citizenship, education level, sex, date of birth,
ethnicity, etc.
D. Retention: three years after employee terminated or
retired
E. Confidentiality: SPB 2.7 B.10.
[12-30-94, 1-10-97;
1.15.6.142 NMAC - Rn, 1 NMAC 3.2.90.30.P142, 10/01/2000]
1.15.6.143 BIOGRAPHIC
INFORMATION FORM:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: all information on this form optional. This form is for entering information
regarding an employee’s educatioRn, 3.2.90 professional organizations,
languages, licenses and honors, etc.
D. Retention: once verified to HRMS
[12-30-94, 1-10-97;
1.15.6.143 NMAC - Rn, 1 NMAC 3.2.90.30.P143, 10/01/2000]
1.15.6.144 BENEFITS
AUTHORIZATION FORM:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: this form is used to authorize employee for
enrollment in retirement, health, life insurance, leave accrual plans and
direct deposit. This form is used to
establish personnel data which is used by the payroll process to verify that
information for retirement, health insurance, and life insurance is entered
correctly. This form is not used to
create payroll deduction records for employee benefits enrollment, this is done
on the pay roll deduction (benefits) update worksheet. Access restricted to authorized personnel.
D. Retention: three years after change or cancellation of
benefit
[12-30-94, 1-10-97;
1.15.6.144 NMAC - Rn, 1 NMAC 3.2.90.30.P144, 10/01/2000]
1.15.6.145 TAX
AUTHORIZATION FORM:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: this form is used to establish or to change
an employee’s federal and state tax information in the employee database. This
form is a source document for data entry and does not replace the W-4 form
which is required by the IRS. [Access
restricted to authorized personnel].
D. Retention: three years after change or three years after
employee terminated or retired.
[12-30-94, 1-10-97;
1.15.6.145 NMAC - Rn, 1 NMAC 3.2.90.30.P145, 10/01/2000]
1.15.6.146 U.S.
SAVING BOND ENROLLMENT FORM:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: this form is used to establish or to change
an employee’s bond information on the employee data base. Access restricted to authorized personnel.
D. Retention: three years after deduction terminated
[12-30-94, 1-10-97;
1.15.6.146 NMAC - Rn, 1 NMAC 3.2.90.30.P146, 10/01/2000]
1.15.6.147 DEDUCTION
(BENEFITS) UPDATE TRANSACTION WORKSHEET:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: this is a department of finance and
administration form. The form is used
to start or cancel an employee’s deductions.
Access restricted to authorized personnel.
D. Retention: three years after deduction terminated.
[12-30-94, 1-10-97;
1.15.6.147 NMAC - Rn, 1 NMAC 3.2.90.30.P147, 10/01/2000]
1.15.6.148 DAILY
REPORTS:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: these are daily transactions, edit, suspense,
error resolution and job control listings.
D. Retention: until corrected and validated by HRMS.
[12-30-94, 1-10-97;
1.15.6.148 NMAC - Rn, 1 NMAC 3.2.90.30.P148, 10/01/2000]
1.15.6.149 BIWEEKLY
REPORTS:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: these are biweekly edit, error resolution and
job control listings. Employee listings and classification/specification
listings
D. Retention: until corrected and validated to HRMS
[12-30-94, 1-10-97;
1.15.6.149 NMAC - Rn, 1 NMAC 3.2.90.30.P149, 10/01/2000]
1.15.6.150 MID-MONTH
REPORTS:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: these are invalid codes, error resolution and
job control listings.
D. Retention: until corrected and validated to HRMS
[12-30-94, 1-10-97;
1.15.6.150 NMAC - Rn, 1 NMAC 3.2.90.30.P150, 10/01/2000]
1.15.6.151 DEPARTMENT/SECTION
TABLE, DATA LISTING:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: shows division, bureau, section unit,
sub-unit: department name, agency name, location and function
D. Retention: until superseded by new listing
[12-30-94, 1-10-97;
1.15.6.151 NMAC - Rn, 1 NMAC 3.2.90.30.P151, 10/01/2000]
1.15.6.152 TERMINATED
EMPLOYEES WITH ZEROED VOLUNTARY DEDUCTIONS:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: shows agency code, agency name, employee I.D.
number, name, terminated date; GTN no., IND and amount
D. Retention: until superseded by new listing
[12-30-94, 1-10-97;
1.15.6.152 NMAC - Rn, 1 NMAC 3.2.90.30.P152, 10/01/2000]
1.15.6.153 PERMANENT
POSITION NUMBERS BY INCUMBENT NAME:
A. Program: personnel
files
B. Maintenance
system: alphabetical
C. Description: shows incumbent name, permanent position no.,
tool no., job class and position status
D. Retention: until superseded by new listing
[12-30-94, 1-10-97;
1.15.6.153 NMAC - Rn, 1 NMAC 3.2.90.30.P153, 10/01/2000]
1.15.6.154 PERMANENT
POSITON NUMBER BY TOOL NUMBER:
A. Program: personnel
files
B. Maintenance system: numerical.
C. Description: lists tool no., permanent position no.,
incumbent name, job classification and position status, etc
D. Retention: until superseded by new listing
[12-30-94, 1-10-97;
1.15.6.154 NMAC - Rn, 1 NMAC 3.2.90.30.P154, 10/01/2000]
1.15.6.155 EXEMPT
POSITION LISTING:
A. Program: personnel
files
B. Maintenance
system: numerical
C. Description: lists agency code, agency title, position
number, position title, range, job classification, 3.2.90 incumbent name, job
beginning date, range, salary and whether vacant
D. Retention: until superseded by new listing
[12-30-94, 1-10-97;
1.15.6.155 NMAC - Rn, 1 NMAC 3.2.90.30.P155, 10/01/2000]
1.15.6.156 POSITION
VACANCY COUNT BY AGENCY:
A. Program: personnel
files
B. Maintenance
system: alphabetical
C. Description: lists agency, total vacancies and final
totals
D. Retention: until superseded by new listing
[12-30-94, 1-10-97;
1.15.6.156 NMAC - Rn, 1 NMAC 3.2.90.30.P156, 10/01/2000]
1.15.6.157 POSITIONS
TO BE AUDITED:
A. Program: personnel
files
B. Maintenance
system: numerical
C. Description: lists agency, tool number, create date, end
date and job class
D. Retention: until superseded by new listing
[12-30-94, 1-10-97;
1.15.6.157 NMAC - Rn, 1 NMAC 3.2.90.30.P157, 10/01/2000]
1.15.6.158 POSITION
COUNT:
A. Program: personnel
files
B. Maintenance
system: numerical
C. Description: lists agency, totals; classified, exempt,
permanent, term, temporary and vacant
D. Retention: until superseded by new listing
[12-30-94, 1-10-97;
1.15.6.158 NMAC - Rn, 1 NMAC 3.2.90.30.P158, 10/01/2000]
1.15.6.159 EXPIRATION
DATED FOR TERM AND TEMP POSITIONS:
A. Program: personnel
files
B. Maintenance
system: numerical
C. Description: lists agency tool number, position status,
position expiration date, employee name, SSN, employee status and expiration
date
D. Retention: until superseded by new listing.
[12-30-94, 1-10-97;
1.15.6.159 NMAC - Rn, 1 NMAC 3.2.90.30.P159, 10/01/2000]
1.15.6.160 PERSONNEL
ACTION HISTORY:
A. Program: personnel
files
B. Maintenance
system: numerical by action type
C. Description: lists employee name, SSN, job assignment
change, reason effective date, tool number, job classification, employee
status, pay rate, range, prior class, pay rate, range and step
D. Retention: until validated to HRMS
[12-30-94, 1-10-97;
1.15.6.160 NMAC - Rn, 1 NMAC 3.2.90.30.P160, 10/01/2000]
1.15.6.161 VACANT
POSITIONS BY LOCATION:
A. Program: personnel
files
B. Maintenance
system: alphabetical
C. Description: lists title, range, agency name, number,
temporary status, division name, position, status, and vacant since date
D. Retention: until superseded by new listing
[12-30-94, 1-10-97;
1.15.6.161 NMAC - Rn, 1 NMAC 3.2.90.30.P161, 10/01/2000]
1.15.6.162 AGENCY
VACANCY LIST:
A. Program: personnel
files
B. Maintenance
system: alphabetical
C. Description: alphabetical, lists tool no., job class
title, location, position status, and vacant since date.
D. Retention: until superseded by new listing
[12-30-94, 1-10-97;
1.15.6.162 NMAC - Rn, 1 NMAC 3.2.90.30.P162, 10/01/2000]
1.15.6.163 POSITION
PROFILE FORM (DFA-SPB 2):
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: a turn-around document which provides
information about a position in the position control function of the HRMS
database. It is designed and utilized
to control and maintain the state of New Mexico’s classified and exempt
positions.
D. Retention: until validated to HRMS
[12-30-94, 1-10-97;
1.15.6.163 NMAC - Rn, 1 NMAC 3.2.90.30.P163, 10/01/2000]
1.15.6.164 DEPARMENT
TABLE UPDATE FORM (SPB 13):
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: initiated by authorized agency personnel
officers to establish the database for the organizational structure of an
agency. The process adds, deletes
and/or changes information.
D. Retention: until validated to HRMS.
[12-30-94, 1-10-97;
1.15.6.164 NMAC - Rn, 1 NMAC 3.2.90.30.P164, 10/01/2000]
1.15.6.165 SECTION
TABLE UPDATE FORM (SPB 14):
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: this form is for agency user to add, delete
and/or change members of the section table database.
D. Retention: until validated to HRMS.
[12-30-94, 1-10-97;
1.15.6.165 NMAC - Rn, 1 NMAC 3.2.90.30.P165, 10/01/2000]
1.15.6.166 SINGLE
POSITION CHANGE FORM (SPB 11):
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: this form is normally used for a
reorganization: transfer or inactive (delete) individual tool numbers.
D. Retention: until validated to HRMS
[12-30-94, 1-10-97;
1.15.6.166 NMAC - Rn, 1 NMAC 3.2.90.30.P166, 10/01/2000]
1.15.6.167 MULTIPLE
POSITION CHANGE FORM (SPB 12):
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: this form is used for a reorganization; to
transfer or inactive all tool number in an organization (agency, division,
bureau, section, unit or sub-unit).
D. Retention: until validated to HRMS
[12-30-94, 1-10-97;
1.15.6.167 NMAC - Rn, 1 NMAC 3.2.90.30.P167, 10/01/2000]
1.15.6.168 DEPARTMENT
TABLE REPORT, DAILY/MONTHLY:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: position control – output records; the SPO
distributes a department table update report to the affected agencies whenever
a change is made to the department table database; SPO also distributes a department
table update report to all agencies monthly, regardless of whether an agency
has initiated an update or not.
D. Retention:
(1) agency edit report: until
validated to HRMS
(2) agency monthly report: until
superseded by new listing
[12-30-94, 1-10-97;
1.15.6.168 NMAC - Rn, 1 NMAC 3.2.90.30.P168, 10/01/2000]
1.15.6.169 ADDITIONAL
PAY TRANSACTION:
A. Program: personnel
files
B. Maintenance
system: chronological
C. Description: payroll – data input and sources (by other
state agencies); shows agency contact, phone number, schedule number, batch
number, pay period ending, employee name, social security number, week ending,
earning type, time, rate amount, job classification, and account number.
D. Retention: until validated to payroll register
[12-30-94, 1-10-97;
1.15.6.169 NMAC - Rn, 1 NMAC 3.2.90.30.P169, 10/01/2000]
1.15.6.170 BALANCE
ADJUSTMENT WORKSHEET:
A. Program: personnel
files
B. Maintenance
system: chronological
C. Description: shows schedule number, batch number, pay
period ending, employee’s social security number, name transaction code/screen
number, hours balance adjustment, transaction code and screen number, dollar
balance adjustments, transactions code and screen number, gross-to-net balance
adjustments, prepared by and date
D. Retention: until validated to payroll register
[12-30-94, 1-10-97;
1.15.6.170 NMAC - Rn, 1 NMAC 3.2.90.30.P170, 10/01/2000]
1.15.6.171 PAYROLL
BATCH CONTROL FORM:
A. Program: personnel
files
B. Maintenance
system: chronological
C. Description: shows agency, contact, phone number, schedule
number, pay period ending, time report forms, payroll
adjustment forms, corrections, automatic check cancellation forms, prepared by
and date
D. Retention: until transactions have been validated to
payroll register
[12-30-94, 1-10-97;
1.15.6.171 NMAC - Rn, 1 NMAC 3.2.90.30.P171, 10/01/2000]
1.15.6.172 TIME
REPORT AND SHEET:
A. Program: personnel
files
B. Maintenance system: chronological
C. Description: shows agency, phone number, schedule, number,
batch number, pay period ending, employee name, social security number,
transaction code, week ending, earning type, time, rate of pay, job
classification, account number, control totals, signature and date
D. Retention: until validated to payroll register
[12-30-94, 1-10-97;
1.15.6.172 NMAC - Rn, 1 NMAC 3.2.90.30.P172, 10/01/2000]
1.15.6.173 PAYROLL
BATCH CORRECTIONS AND DELETIONS:
A. Program: personnel
files
B. Maintenance
system: chronological
C. Description: shows agency, contact, phone number, schedule
number, batch control corrections sequence number, type, transaction count,
hours hash, rate hash total, batch control deletions, prepared by and date
D. Retention: until batch has been validated to payroll
register
[12-30-94, 1-10-97;
1.15.6.173 NMAC - Rn, 1 NMAC 3.2.90.30.P173, 10/01/2000]
1.15.6.174 PAYROLL
ADJUSTMENT WORKSHEET:
A. Program: personnel
files
B. Maintenance
system: chronological
C. Description: show schedule number, batch number,
employee’s social security number, name, overtime adjustment, total amounts,
refunds, total amount, prepared by and date
D. Retention: until validated to payroll register
[12-30-94, 1-10-97;
1.15.6.174 NMAC - Rn, 1 NMAC 3.2.90.30.P174, 10/01/2000]
1.15.6.175 PAYROLL
- OUTPUT RECORDS BATCH STATUS REPORT:
A. Program: personnel
files
B. Maintenance
system: numerical
C. Description: shows schedule number, ending date; batch number, generation number, generation number of last activity, status, and action required
D. Retention: until all incorrect batches have been
corrected
[12-30-94, 1-10-97;
1.15.6.175 NMAC - Rn, 1 NMAC 3.2.90.30.P175, 10/01/2000]
1.15.6.176 BALANCE
AND EDIT:
A. Program: personnel
files
B. Maintenance
system: numerical
C. Description: shows batch number, originator; organization
identification; C/D generation number, sequence number, transaction code,
period ending date, earning type, time, rate or amount, job number, job
classification, account number, control number and batch control information
D. Retention: until all incorrect batches have been
corrected
[12-30-94, 1-10-97;
1.15.6.176 NMAC - Rn, 1 NMAC 3.2.90.30.P176, 10/01/2000]
1.15.6.177 TRANSACTION
HOLDING FILE LIST:
A. Program: personnel
files
B. Maintenance
system: numerical
C. Description: shows batch number, originator, schedule,
ending date, organization identification, batch, sequence number, employee
identification, name, transaction code, period ending date, earning time, pay
rate, job, account number, generation, batch number and control number
D. Retention: until all incorrect transactions have been
corrected
[12-30-94, 1-10-97;
1.15.6.177 NMAC - Rn, 1 NMAC 3.2.90.30.P177, 10/01/2000]
1.15.6.178 LIST
OF NEW APPOINTMENTS, BIWEEKLY:
A. Program: personnel
files
B. Maintenance
system: numerical by agency
C. Description: this is an employee reporting system printout
that shows agency code, agency title, employee name, class title, kind of
appointment, date of appointment, salary or rate, range and step number
D. Retention: until superseded by new listing
[12-30-94, 1-10-97;
1.15.6.178 NMAC - Rn, 1 NMAC 3.2.90.30.P178, 10/01/2000]
1.15.6.179 TERMINATED
EMPLOYEES, BIWEEKLY:
A. Program: personnel
files
B. Maintenance
system: numerical by agency, then alphabetical by employee
C. Description: this is an employee reporting system printout
that shows agency title, employee name, class, title status, reason for
separation, date of separation, length of service in years and months in class
and agency.
D. Retention: until superseded by new listing
[12-30-94, 1-10-97;
1.15.6.179 NMAC - Rn, 1 NMAC 3.2.90.30.P179, 10/01/2000]
1.15.6.180 ROSTER
OF STATE EMPLOYEES, BIWEEKLY:
A. Program: personnel
files
B. Maintenance
system: alphabetical
C. Description: this is an employee reporting system printout
which lists employee name, social security number, title, agency, agency code,
position number, date hired, status and salary or rate.
D. Retention: until superseded by new listing
[12-30-94, 1-10-97;
1.15.6.180 NMAC - Rn, 1 NMAC 3.2.90.30.P180, 10/01/2000]
1.15.6.181 EXEMPT
SPEC NUMBER LISTING, BIWEEKLY:
A. Program: personnel
files
B. Maintenance
system: numerical by specification – statewide
C. Description: this is an employee reporting system printout
that shows specification number, agency code, abbreviated title, full title,
exemption category and date of SPB approval.
D. Retention: until superseded by new listing
[12-30-94, 1-10-97;
1.15.6.181 NMAC - Rn, 1 NMAC 3.2.90.30.P181, 10/01/2000]
1.15.6.182 EXEMPT
CLASS LISING, BIWEEKLY:
A. Program: personnel
files
B. Maintenance
system: numerical by specification – within agency
C. Description: this is an employee reporting system printout
that shows specification number, agency code, abbreviated title, full title,
exemption category, and date of SPB approval.
D. Retention: until superseded by new listing
[12-30-94, 1-10-97;
1.15.6.182 NMAC - Rn, 1 NMAC 3.2.90.30.P182, 10/01/2000]
1.15.6.183 TOTAL
EMPLOYEE COUNT, MONTHLY:
A. Program: personnel
files
B. Maintenance
system: numerical
C. Description: this is an employee reporting system printout
which shows agency code, total employees; after exclusion, exempt,
permanent, promotional, probationary, provisional, term, temporary, emergency,
part-time, hourly; gives statewide totals for each of the above categories.
D. Retention: until updated
[12-30-94, 1-10-97;
1.15.6.183 NMAC - Rn, 1 NMAC 3.2.90.30.P183, 10/01/2000]
1.15.6.184 PERSONNEL
TRANSACTION REPORT, ANNUAL (EOFY):
A. Program: personnel
files
B. Maintenance
system: numerical.
C. Description: this is an employee reporting system printout
which shows agency code, agency title, number of transactions by month, by type
of transaction, and given agency totals by month and by type of transaction
D. Retention: until superseded by new listing
[12-30-94, 1-10-97;
1.15.6.184 NMAC - Rn, 1 NMAC 3.2.90.30.P184, 10/01/2000]
1.15.6.185 ROSTER
OF STATE EMPLOYEES, ANNUAL (EOFY):
A. Program: personnel
files
B. Maintenance
system: alphabetical
C. Description: this is an employee reporting system printout
which shows employee name, social security number, title, agency, agency code,
position number, date hired, status and salary or rate.
D. Retention: until
superseded by new listings
[12-30-94, 1-10-97;
1.15.6.185 NMAC - Rn, 1 NMAC 3.2.90.30.P185, 10/01/2000]
1.15.6.186 EEO
PROFILE OF PERSONNEL, ANNUAL (EOFY):
A. Program: personnel
files
B. Maintenance
system: numerical
C. Description: this is an employee reporting system printout
which shows agency code and title, total number of employees, average range,
step, salary, years in agency, years in class, age and educational level by
race and sex.
D. Retention: until superseded by new listing
[12-30-94, 1-10-97;
1.15.6.186 NMAC - Rn, 1 NMAC 3.2.90.30.P186, 10/01/2000]
1.15.6.187 EEO
PROFILE OF EMPLOYEE JOB CATEGORIES, ANNUAL (EOFY):
A. Program: personnel
files
B. Maintenance
system: numerical
C. Description: this is an employee reporting system printout
which shows agency code, agency title, employees, male/female, Anglo, Spanish,
Indian, Black; percent male/female, Anglo Spanish, Indian, Black by job
category.
D. Retention: until affirmative action plan has been issued
[12-30-94, 1-10-97;
1.15.6.187 NMAC - Rn, 1 NMAC 3.2.90.30.P187, 10/01/2000]
1.15.6.188 MINORITY
GROUPS REPORT ANNUAL (EOFY):
A. Program: personnel
files
B. Maintenance
system: numerical
C. Description: this is an employee reporting system printout
which shows agency code, agency title, Anglo male/female total, oriental
male/female total, unspecified male/female total number, percent, salary,
education, location.
D. Retention: until affirmative action plan has been issued
[12-30-94, 1-10-97;
1.15.6.188 NMAC - Rn, 1 NMAC 3.2.90.30.P188, 10/01/2000]
1.15.6.189 MINORITY
ACTIONS REPORT, ANNUAL (EOFY):
A. Program: personnel
files
B. Maintenance
system: numerical
C. Description: this is an employee reporting system printout
which shows agency code, agency name, Anglo, Spanish, Indian, Black,
unspecified male/female, total by type of appointment, range, extra merit increases,
promotions, demotions, demotions for cause, demotions without prejudice,
dismissals, layoffs, expirations of appointments, resignations by type,
suspensions, leave by type, separations.
D. Retention: until affirmative action plan has been issued
[12-30-94, 1-10-97;
1.15.6.189 NMAC - Rn, 1 NMAC 3.2.90.30.P189, 10/01/2000]
1.15.6.190 EMPLOYMENT
LIST:
A. Program: personnel
files
B. Maintenance
system: by agency
C. Description: this is the certification system printout
used as input to the system after returned by agency. Shows position title, range, requesting agency, location,
organizational unit, number of vacancies, type of certification, specification
number, date issued, agency code, certification number, revision number,
expiration date, it then lists applicant’s name and address, score, social
security number, veterans and residence points, phone number, hand posted
agency commends, agency personnel officer signature, signature of agency
director and date. [Retention on SPO certification copy.]
D. Retention: three years from date of issue
[12-30-94, 1-10-97;
1.15.6.190 NMAC - Rn, 1 NMAC 3.2.90.30.P190, 10/01/2000]
1.15.6.191 EMPLOYEE
ELIGIBILITY VERIFICATION, (FORM 1-9):
A. Program: personnel
files
B. Maintenance system: alphabetical
C. Description: shows employee information and verification,
employer review and certification, certification, updating and reverification
and signature
D. Retention: three years after the date of hire or one year after the date the individual's employment is terminated, whichever is later (8 CFR 274A.6)
[12-30-94, 1-10-97;
1.15.6.191 NMAC - Rn, 1 NMAC 3.2.90.30.P191, 10/01/2000]
1.15.6.192 CLASSIFICATION
STUDY FILES:
A. Program: personnel
files
B. Maintenance
system: [RESERVED]
C. Description: special studies for proposed classifications,
can include but are not limited to job descriptions, task statements,
methodology, description of study, salary surveys, relative correspondence, etc
D. Retention: three years after superseded by new study
[9-30-81, 12-30-94, 1-10-97; 1.15.6.192 NMAC - Rn, 1 NMAC 3.2.90.30.P192, 10/01/2000]
History of 1.15.6
NMAC:
Pre-NMAC History: the material in this part was derived from that previously filed with the state records center under:
SRC Rule No. 81-4, Records Retention and Disposition Schedule for the General Personnel Records, 8-31-81.
SRC Rule No. 94-17, Records Retention and Disposition
Schedule for the General Personnel Records, 11-30-94.