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| A NEWSLETTER
PUBLISHED BY THE NEW MEXICO STATE RECORDS CENTER AND ARCHIVES 1205 Camino Carlos Rey, Santa Fe, New Mexico 87507 (505) 476-7900 FAX (505) 476-7901 Web site address: www.nmcpr.state.nm.us |
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July 2002 Volume
7.2
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In this issue:
CONTRIBUTING WRITERS L. Elaine Olah, is a native New Mexican with a B.A. in History and an M.B.A. from New Mexico Highlands University. She is the Director of the Commission of Public Records (State Records Administrator) and also serves as chair of the New Mexico Historical Records Advisory Board, positions she has held since 1994. Daphne S.O. Arnaiz-DeLeon, is a native of Riverside, California and a graduate from the University of California at Riverside with an M.A. in History and a subspecialty in archival management. She is a certified archivist and chief of the Archives Bureau of the Archives and Historical Services Division. She has been with the agency for three years. Erica Garcia, graduated from the University of New Mexico in December, 2000 with a BA degree in Latin American Studies and Spanish. She has been with the New Mexico Historical Records Advisory Board as its administrator since March of 2001. John Martinez, a native of Salt Lake City, earned a BA in History from Brigham Young University and an MA in U.S. History with a focus on the Southwest from the University of Texas at Austin. He is the Director of the Administrative Law Division. Melissa Salazar, born and raised in Espanola, New Mexico, holds a BA in journalism and an MA in American Studies from the University of New Mexico. She is a senior archivist and has been employed by the Archives and Historical Services Division for five years. |
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New Mexico Historical Records
Advisory Board By Erica Garcia In 1975, the New Mexico Historical Records Advisory Board (NMHRAB) was created for the specific purpose of reviewing the National Historical Publications and Records Commission (NHPRC) grants requested by New Mexico institutions and organizations. The Board is an adjunct entity to the Commission of Public Records (CPR). In 1995, during the course of developing its strategic plan, the Board defined its mission as "…Recognizing the cultural diversity of the state, the mission of the New Mexico Historical Records Advisory Board is to advocate the preservation of the historical records of the state to stimulate public access to the state’s historical records." The road to understanding our humanity comes from recorded history. Historical documents represent the invaluable heritage of the state of New Mexico. These documents chronicle important historical developments and provide insight into the culture of our state and, ultimately, that of our nation. In the interest of championing preservation and access to New Mexico’s historical records, the NMHRAB obtained funds to award small grants and scholarships annually to historical records repositories throughout the state. Grants range from $500.00 to $8,500.00. Scholarships for attending training courses at the New Mexico State Records Center and Archives in 2002 have provided recipients with funds to cover the cost of travel (at state-regulated mileage and per diem rates) while the recipients matched nominal course fees ranging from $25.00-$40.00. A call for grant proposals has been made with a September 1, 2002 deadline for submission. Applications are available on-line, along with the NMHRAB proposal guidelines and funding priorities. It is difficult to summarize both the potential and significance of each grant project and the long-term benefit of completed projects. Grant application and project development are meticulous processes requiring great determination. During the past three years, grantees have defined and fortified their connection to New Mexico with their projects. Participants in the NMHRAB grant and scholarship programs have demonstrated their commitment and emotional investment in preserving New Mexico’s profound history while endeavoring to make that history available to the public. Our shared history acts as a rhythmic meter to past and present cultures, providing an unyielding sense of identity to the citizens of our state. Training was the most frequently mentioned concern of the New Mexico repositories surveyed during NMHRAB strategic planning sessions. A high rate of staff turnover, low pay, and tight budgets have put records management training at the end of many repositories’ priority lists. One of the primary objectives of the NMHRAB is to provide needed tools and information to repository employees and volunteers -people who otherwise might not receive any training due to travel and financial constraints. In the spirit of support for individual efforts to preserve New Mexico’s history, the NMHRAB initiated a scholarship program in 2001. That year, NMHRAB scholarships were given to seven individuals to attend archival and records management training sponsored by the Commission of Public Records - New Mexico State Records Center and Archives. In 2002, a second call for scholarship applications was made, and eight more scholarships were awarded. Promoting the preservation of New Mexico’s historical record, as well as promoting public access to it, ensures the legacy of our culture. New Mexicans share a deep connection to our past, collectively and individually, and this cultivates a present sense of identity and pride. When we fail to focus on maintaining the state’s historical records, our documented history is at risk. The NMHRAB has confidence in our state repositories and holds no doubt in their commitment to New Mexico history. By providing such resources as the New Mexico Historical Records Advisory Board grant program and the NMHRAB scholarship program, New Mexico’s record keepers can continue seeking funds to aid in preservation goals. The citizens of New Mexico are this state’s most valuable resource. To respect our citizens is to respect and care for our history. To obtain grant applications, please visit the Commission of Public Records website. Any questions about the NMHRAB Grant and Scholarship Programs may be directed to Erica L García, Grant Administrator, at (505) 476-7936. Access to Public Records vs. Right
to Privacy Archivists are challenged daily by the ethicality of disclosing personal information contained in public archives. It is the professional responsibility of the archivist, as a trustee of public records, to safeguard an individual's right to privacy. However, when records contain personal information, archivists lack the legal authority to regulate access or to impose restrictions if those documents are requested for research purposes. The rationale for imposing restrictions on public records emanates from consideration for personal privacy. A general concern over the loss of privacy has emerged in response to situations created by information-gathering practices often viewed as threatening to the individual. Over the past thirty years, citizens' concern regarding potential abuse of personal information has brought about laws that attempt to define categories of private life relating to record-keeping practices. From the perspective of government, the right to individual privacy is balanced against the citizen’s right to obtain access to government records. “The citizen’s right to know is the rule and secrecy is the exception.” (Inspection of Public Records Act Compliance Guide, pg. 1, Office of the State Attorney General, 2000) In New Mexico, individuals may inspect any public record except those that are specifically protected by statute. In New Mexico, there are several statutory laws which
impose restrictions on the use of public records. Three of these
laws include: Public records are defined by statute as: "…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, because of the informational and historical value of data contained therein." Exceptions under the Inspection of Public Records
Act (Section 14-2-1 NMSA 1978) that restrict records from public
access are: Statutes regarding the donation of confidential material (Section 14-3A-2 NMSA 1978) pertain to any library, college, university, museum or institution of the state, or any of its political subdivisions, that may hold in confidence materials of historical or educational value and upon which the donor or seller has imposed restrictions regarding access to, and inspection of, the materials for a definite period of time. It is important that a repository establish procedures to protect confidential data from being improperly accessed. Disclosure of records statutes (Section 24-14-27 NMSA 19878) cover the inspection and disclosure of information contained in vital records, except as authorized by law. For example, the New Mexico Health Policy Commission may only release record level data obtained from vital records in the aggregate for research purposes. The Bureau of Vital Statistics Registrar is authorized to release information from birth and death registers only after one hundred years have elapsed following the date of birth, or when fifty years have elapsed after the date of death. According to statute, “The vital records of these events in the custody of the state registrar shall become open public records, and information shall be made available in accordance with regulations that provide for the continued safekeeping of the records; provided that vital records of birth shall not become open public records prior to the individual's death.” The New Mexico State Records Center and Archives (SRCA) must comply with specific privacy statutes abd regulations restricting access to agency records. The SRCA is presently faced with the dilemma of expending resources on permanent, confidential public archives when there is no hope that those records will ever be declassified and made available for public research. One hundred and twelve state agencies are generating permanent confidential records that require processing, storage, and conservation. One of the largest collections housed at the State Archives is that of the New Mexico Attorney General's Office, containing over one thousand linear feet of documents. The collection contains confidential records pertaining to telecommunications, natural gas and electricity rates, anti-trust cases, consumer affairs, prosecutions, homicides, criminal/violent cases, child abuse cases, investigations, and general litigation files. The SCRA is obligated to maintain these files, even though they are restricted in perpetuity from public access. Many restricted records are of great value to social scientists, scholarly researchers, and genealogists. As more and more researchers demand access to confidential materials of historical and informational value, the SRCA is confronted with the question: Under what conditions, if any, is access to all or some of these records permissible? State laws governing exceptions to the Inspection of Public Records Act do not provide a statute of limitations on confidentiality. A number of states have adopted legislation providing for the release of restricted records after a designated period or have passed separate statutes that provide access for research purposes. Has the time come for New Mexico to consider similar legislation? The New Mexico Register’s Cumulative
Index The New Mexico Register is the official publication for all notices of rulemaking and filings of adopted rules in the state of New Mexico. Rules promulgated by executive branch agencies must be filed with the New Mexico State Records Center and Archives, and be published in the New Mexico Register, in order to be valid and enforceable. The New Mexico Register is published twice each month. It is composed of two distinct portions – Notices of Rulemaking, and Adopted Rules. Notices of Rulemaking inform the public that new rules or changes to existing rules are being considered. A notice may include information about the location, date, and time of a public meeting (or hearing) and specifies which rule or portion of a rule will be affected by any proposed amendments, repeals, or renumbering. A rulemaking notice also advises the public as to where they may direct comments or concerns regarding the proposed rule or amendment. Notices also announce annual or regular meetings of state agencies. The Adopted Rules portion of the New Mexico Register includes the publication of new rules, repeals, and amendments in their entirety. By statute, these must be published in the New Mexico Register before they can officially take effect. With numerous state agencies filing notices, new rules, repeals and amendments, the accumulated volume of text increases rapidly. Adding to the potential confusion this creates, state agencies may publish several amendments to a rule, or any portion of that rule, within a single calendar year. It is easy to see how so many changes quickly become difficult to track. Without a guide to this enormous amount of material, individuals and agencies, however familiar with the New Mexico Register and its contents, may quickly find themselves in the middle of a wild goose-chase. In the interest of assisting agencies, businesses, and individuals in locating specific information about rules and their promulgating authorities, the New Mexico Register has implemented a cumulative index. The index is available on-line throughout the year and is published in paper form at the end of each calendar year as an annual index. This cumulative index is an up-to-date reference for all notices and rules published in the New Mexico Register. It is organized in the same manner as the New Mexico Register, with the first portion devoted to notices of rulemaking and the second portion to repeals, new rules, and amendments. The information is grouped first by promulgating agency, then by rule number and effective date. Listings for new, repealed, or amended rules include the name of the promulgating agency, the rule's New Mexico Administrative Code (or NMAC) number and title, and the issue and page number where the information was published in the New Mexico Register. Index listings for notices also include the name of the agency publishing the notice, the issue and page number where the announcement was published, and a brief summary of the notice itself. Organized in this fashion, information on proposed or existing rules becomes much easier to access and use. For example, a person seeking information on current bag-limits for big game can begin by locating the agency heading in the cumulative index "Game and Fish, Department of". If the rule has been amended more than once, there will be multiple listings in the index under that rule's NMAC reference number. By selecting the listing with the most recent effective date, the researcher gains access to the most up-to-date version of the amended rule material. If a closer look at the rule in its entirety is required, the researcher can make note of the rule's NMAC reference number and continue examination of the rule in the NMAC compilation on-line. Similarly, if someone is seeking documentation of the date of a rulemaking hearing, he or she can browse the index of notices for any and all hearing notices filed by a particular agency from the beginning of the calendar year to the most recent issue of the New Mexico Register. In the past, the index for the New Mexico Register was updated quarterly and published on paper for distribution to subscribers three times per year. The cumulative version of that index was published only once per year, at the end of the calendar year, as an annual index. Since the New Mexico Register is now available on-line (http://www.nmcpr.state.nm.us/nmregister), it has become essential to develop a cumulative index for maximizing access to this ever-changing bulk of information. Now, the index is updated with each new issue of the New Mexico Register and posted on-line on the official date of publication. In this way, a current, comprehensive index to the material published in the New Mexico Register is in place to help users find information on specific rules quickly and easily. NINA OTERO-WARREN AUTOGRAPH BOOK By Daphne S.O. Arnaiz-DeLeon The Archives and Historical Services Division has received a donation of a Nina Otero-Warren Autograph Book from the College of Santa Fe Fogelson Library. The significance of the book far outweighs its physical dimensions (8¼” x 7”). It is covered in turquoise velvet with silver decoration on the lower right hand corner and contains various messages from friends from the Loretto Academy in Santa Fe, New Mexico and from family. The inscription reads “To Nina from Mama and Papa, Christmas 92/1892.” Nina Otero-Warren was a descendant of a prominent Hispanic ranching family in Los Lunas, New Mexico. Born in 1881, she moved to Santa Fe in 1897 when her uncle Miguel Otero became the first Hispanic territorial governor of New Mexico. Widowed in 1909, Otero-Warren served New Mexico and the United States government in the following capacities: New Mexico Inspector of Indian Services (US Department of Interior), 1922-1924; Superintendent of Santa Fe County Schools, 1917-1929; Interpreter and Liaison Officer for the US Pueblo Lands Board, 1923; and Director of the New Mexico Literacy Program (WPA), 1937. She also published Old Spain in the Southwest, a discussion of Spanish customs that are part of New Mexican culture. The significance of the autograph book lies in its ability to document a period of Otero-Warren’s life that has been missing from the collections of the Archives and Historical Services Division. Her professional papers, including research files for Old Spain in the Southwest, reside in the Bergere Family Collection and images of her and her family can be found in the Bergere Family Photograph Collection; however, documentation of her childhood is scarce, and the autograph book helps fill that gap.
Message from Nina’s sister Anita: My dear sister, When you fall down and skin your knees The autograph book is being processed and will be available to patrons in March 2002. The finding aid for the Bergere Family Papers is available at the On-line Archives of New Mexico website (http://eLibrary.unm.edu/oanm). LOCAL GOVERNMENTS AND PUBLIC By L. Elaine Olah Local governments are required by law to perform certain services and to create and maintain certain records - records that may be kept for a few days, months, a year, several years, or forever. These records document the transactions of government but are also used everyday by people to document their rights or simply to discover more about themselves through their families and communities. What are some of the laws that affect records created at the local government level? There are many, but let's start with those about newspapers, which provide a treasure trove of information about people and communities throughout New Mexico. Section 4-40-6 NMSA 1978 requires county clerks to subscribe to one copy of each of the newspapers printed and published in their respective counties, and Section 4-40-8 NMSA 1978 requires county clerks to subscribe and preserve newspapers published in their counties. Chapter 14 of the NMSA 1978, Records, Legal Notices and Oaths, sets requirements for maintaining, making accessible, reproducing, and destroying public records. Sections 14-1-5 and 14-1-6 NMSA 1978 authorize any public official to order his records reproduced through microphotography, photography, or filming and deem such records to be original records. Section 14-1-7 NMSA 1978, Destruction of obsolete county records, sets retention periods for various county records. Section 14-1-8 NMSA 1978 requires county officials to notify the State Records Administrator of proposed destruction of obsolete records so that she may determine whether to obtain the records. These statutes apply to county governments and are augmented by regulations adopted by the Commission of Public Records to guide disposition of county records. A county official - that is, the official custodian of the government records - must notify the State Records Administrator of his or her intention to destroy ANY records at least 60 days before the proposed date of destruction. This allows the Administrator to assess the records to be destroyed and claim them if they appear to warrant continued preservation. This decision is not made lightly since it carries with it an obligation of State resources to continue to preserve the claimed records. Once approved for destruction, records can be disposed of through various methods as defined by regulation (see 1.13.30 NMAC, Destruction of Public Records). The Public Records Act (Chapter 14, Article 3 NMSA 1978) establishes the requirements for managing public records. Some of the provisions of this Act also affect local governments. Section 14-3-15 NMSA 1978 allows any public official to reproduce public records through microphotography, photography, or filming according to standards established by the State Records Administrator. Section 14-3-18 NMSA 1978, County and municipal records, allows the State Records Administrator to advise and assist county and municipal officials in the formulation of programs for the disposition of public records maintained in county and municipal offices. What can local governments do to address records issues? Local governments must start by developing a policy that supports a records and archival management program. The next two steps should occur concurrently. One step is allocating resources to develop, implement, and maintain the program. These resources include space, equipment, supplies, staff (assigning specific responsibilities to individuals), and staff training. The other step involves adopting standards—the record retention and disposition schedule (the standard for keeping and disposing of records) and standards for alternative storage media (microfilm, digitization, and electronic records). Once standards are in place they must be disseminated and enforced. Subsection B of Section 14-8-12.2 NMSA 1978 permits counties to charge, in addition to the recording fee, an equipment recording fee for each instrument recorded and photocopied. These equipment recording fees must be used only for equipment associated with “recording, filing, maintaining or reproducing documents in the county clerk’s office and for staff training on office procedures and equipment.” There may be similar opportunities for municipalities; however, a review of statutes did not reveal such a provision. The Commission of Public Records adopts model schedules for local governments. There are generally two types of schedules developed, those for support records and those addressing the records of particular offices, such as the county assessor, county treasurer, etc. The Records Management Division develops the schedules with help from interested parties from local governments. The Commission's Records Retention and Disposition Schedule Committee, comprised of the State Records Administrator, the Deputy Administrator, and the Directors of Archives and Historical Services and Records Management Divisions, review proposed schedules. Schedules are then reviewed by the Attorney General’s Office before being submitted to the Commission of Public Records for consideration and adoption. Adopted schedules are formally filed as State rules. Unlike schedules adopted and promulgated for state government, model schedules adopted for local governments are not binding because these entities are not subject to the Public Records Act. Rather, these schedules must be formally adopted through resolution or ordinance by the appropriate governing body. General and program specific guides can be viewed at http:www.nmcpr.state.nm.us/nmac and clicking on Browse Compilation, then selecting Title 1, then Chapters 15 and 19. Other Commission-adopted standards such as the Microphotography Standards and the Performance Guidelines for the Legal Acceptance of Public Records Produced by Information Technology Systems that apply only to State agencies may serve as guides to local governments. The Commission also purchases storage boxes and acid-free (archival) containers in bulk then resells these to local government organizations and other historical record repositories. Storage boxes are available in three sizes - cubic foot, map and plan drawings, and microfilm storage. These boxes are appropriate for storing transitory records. Archival supplies and containers come in a variety of sizes and shapes and include document storage, record storage (cubic foot), full telescope, clam shell, and newspaper boxes along with legal and letter size folders and corrugated board. Items available for sale and their prices can be found in the Commission fee schedule, 1.13.2 NMAC, which can be viewed at http://www.nmcpr.state.nm.us/nmac/parts/title01/01.013.0002.htm. Training sessions are held throughout the state for a nominal fee of $25.00 for a single day and $40.00 for a day and a half workshop. A copy of the training schedule can be viewed on our the agency’s Web site at http//www.nmcpr.state.nm.us. A basic records management workshop is offered, along with sessions on more advanced topics such as filing systems, records appraisal, and management of electronic records. Workshops focusing on archival methods include a two-day workshop on basic preservation and conservation that gives participants hands-on experience. Building on that session are others covering subjects such as arrangement and description, planning and implementation for digitizing records, and finding aids. The Fiscal Year 2002 schedule runs through April 26, 2002, and the 2003 schedule will be finalized and available by February 15, 2002. It is vital that local government record keepers, among the most important caretakers of the state’s patrimony, have all the tools possible to care for the records in their custody—records that belong to the people of New Mexico. For more information about taking advantage of the Commission's products and services, please contact Don Padilla at (505) 476-7920 or by e-mail at dpadilla@rain.state.nm.us. THE CHANGING OF THE GUARD By Erica Garcia One of the most difficult aspects of my job as Grant Administrator to the New Mexico Historical Records Advisory Board (NMHRAB) is the departure of people dedicated to the preservation of New Mexico’s history—people like Elvis E. Fleming, NMHRAB member and a retired professor of History at Eastern New Mexico University whose appointment expired in September of 2001. The process of finding new Board members is time consuming and carefully considered. Those who are to be recommended to the Governor for appointment must be willing to commit their time and energy to fulfill the NMHRAB’s strategic plan for promoting preservation of and public access to New Mexico’s historical records. Recommendations are sought from the remaining Board members and other interested organizations. Being a novice to the appointment process, I decided to talk to Mr. Fleming about his experience serving on the Board. Mr. Fleming taught history at Eastern New Mexico University and authored books and articles on local history. He first got interested in preserving historical records when he was asked to establish a research center at the Historical Center for Southeast New Mexico in Roswell when it first opened in 1976. Since then, he has done volunteer work as an archivist for the local historical museum and served as a board member of the Historical Society of New Mexico and as the honorary official historian of the City of Roswell. His service on the NMHRAB began when a friend who had been asked to accept an appointment to the Board declined; she gave the information to Mr. Fleming and encouraged him to represent southeastern New Mexico on the NMHRAB. After writing a letter of interest to the governor’s office, he was appointed in early 1997. He quickly became the advocate for the local historical societies and museums. This remained the main focus of his activities on the Board, because as he said, "... I could see that those most in need of help were the least likely to receive it – unless they were encouraged to apply for grants and received help from consultants, etc." It was his opinion that most people in a position to do something about the preservation of records are so swamped with other issues that take up their time and energy that preservation tends to be a lower priority. Constant changes in personnel, managers, and policies mean that it is not only difficult to reach the appropriate people, but it is also very difficult to keep the information up to date with new people entering the picture all the time. Mr. Fleming praised the expertise provided by the staff of the State Records Center and Archives in workshops, and the material developed to promote the Board and the New Mexico Historical Records Grant Program. He also applauded the backing provided by the Federal government and the support of the New Mexico Legislature. The biggest concern he expressed dealt with the historical records grant application process and "the difficulty for lay members of volunteer organizations to complete the complex grant application forms. I know some are discouraged from applying because of the complexity of trying to figure out how the required information applies to non-profit local societies. I always felt that the Board was requiring a higher degree of expertise than that possessed by the Board itself." He conceded that staff developed training to assist applicants and Board members in understanding the process and the forms. When asked what he found to be the most satisfying aspect to being part of the NMHRAB, Mr. Fleming’s reply was "Seeing local nonprofit groups get the grants they applied for and then reporting to the HRAB how much they appreciated it, how well the program worked, their own sense of accomplishment.” Continuing, he noted, “ Also, I was well received by a number of county clerks and museum personnel in various parts of the state as I traveled around doing my own research." Mr. Fleming was instrumental in assisting helping several organizations develop collection policies. His letter to local historical societies, museums, libraries, etc. was widely circulated and resulted in numerous requests for copies of the collection policy he developed for his own historical society. It has been a great privilege for me to serve the NMHRAB during Mr. Fleming's appointment. His experience, and that of the other members, has helped give me a strong commitment to helping New Mexico’s repositories with their permanent and historical collections. UP-COMING TRAINING OFFERED BY THE COMMISSION OF PUBLIC RECORDS For the past three years the New Mexico Commission of Public Records—State Records and Archives has offered training in records, information, and archival management (RIAM). The training program was initially created through a grant that the New Mexico Historical Records Advisory Board received from the National Historical Publications and Records Commission. Upon completion of the grant, the Commission itself assumed responsibility for the continuation of the training program, which is now supported by offering the courses for a nominal fee. The courses noted below will be available from February through April, 2003.
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