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Records Management and Retention (RMR)

for New Mexico State University

August 2017

Senior VP for Administration and FinanceFSA-RMR Office

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RMR Information Session Agenda1. Introduction2. Training Goals3. Definitions4. Responsibilities 5. Basic RMR Requirements6. FSA-RMR Office Services7. Web Site RMR.nmsu.edu

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Who Are We?• Financial Systems Administration (FSA) & Records Management

& Retention (RMR) Office is part of the Administration and Finance Office.

• Administration and Finance was assigned the responsibility for records management and retention at NMSU by the Provost in 2002.

• FSA-RMR Office is the assigned Records Liaison with the New Mexico Commission of Public Records.

• FSA-RMR Office developed and implemented the NMSU Records Management & Retention program

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Training Goals• Understanding of records management and

retention.• Procedures to follow for disposing of and

destroying records.• How to get your department compliant with

State and Federal records laws.• How to get help.

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What is Records Management and Retention (RMR)?

• Records Management is – Controlling and management of records– Life cycle

o From creation to end of usefulness/destruction• Retention means

– How long I must keep the records o Organization business needs (fiscal, historical,

operations)o Legal requirements

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Benefits of RMR• Space Savings• Cost Savings• Increased Efficiency• Controlled Creation and Destruction of Records• Minimized Litigation Risk• Preserving Institutional Memory• Protection of Vital Records

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Why do we need RMR at NMSU?• NMSU must follow state laws.• Prior permission from the New Mexico Commission of Public

Records (NMCPR) is required to be able to destroy NMSU records.– Cannot shred any records without following NMSU

procedures • To provide procedures and assistance to NMSU departments

regarding the Disposition & Destruction of records.• To ensure NMSU remains compliant with New Mexico State

and Federal records laws.

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Definitions• Record (confidential or non-confidential)

– Business informationo Has a life cycle with a retention requirement

– Confidentiality (NMAC 1.13.30.7)o Exempt from release o Disclosure could cause harm

• Non-record (confidential or non-confidential)– Information that presents no risk if it no longer exists– No retention requirement

• NMAC – New Mexico Administrative Code

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Definitions• FRRDS – Functional Records Retention and Disposition

Schedules• Records Inventory

– Primary– Copies

• Retention – time required to keep a record – Per state or federal law– Consideration given to business requirements

• Disposition – when a record has met its retention requirement, it is eligible to be disposed of.

• F.A.T.E Warehouse

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Definitions• Destruction – the physical process of destroying records.

– Methodso Non-Confidential Records Recycling by a bonded document recycling

vendor Shredding

o Confidential Records Destroyed through a bonded document

recycling vendor

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Who is Responsible for Records?• Central Office

– Data custodians (NMSU Records Custodians)• Departments

– Originator/Responsible Department contact.– Business decision of assignment may vary by college/unit.

• We are all responsible for maintaining official university records.

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What are the Basic Requirements for RMR?

1. Identify what records you have.2. Determine how long you have to keep your

records. (Look up the retention requirements for your records.)

3. Understand and follow NMSU Disposition and Destruction process.

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1) What Records Do I Have? 1)• Start a Records Inventory

– What type? o The type of record determines how long it is kept.

– Multiple copies in different offices?– Confidential or non-confidential?

o This determines what process is followed to dispose of it.

– Which are records vs. non-records?

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2) How long do I have to keep my records?

• Look up retention schedules– Common NMSU Retention Schedules (These have

been updated)– State requirements?

o Functional Records Retention and Disposition Schedule (FRRDS) NMCPR Classification Tool

– Federal requirements?o Specific agency website

• FSA-RMR office can assist you with your search.

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Date File Closed• The “date file closed” starts with a Trigger Event.• The “Trigger Event” could be one of the following:

− Close of fiscal year or calendar year− Until superseded or obsolete− Date audit report released− End of term

• Note: Contact FSA-RMR Office if you have a record with no clear “file closed” date defined.

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Special Considerations• Grant Files

− If any of your departmental records are associated with a grant, they must be retained as part of your grant file.

− Grant files must be retained for 3 years from date file closed (date file closed = date grant terminated)

• Contract Files− If any of your departmental records are associated with a

contract, they must be retained as part of your contract file. − Contract files must be retained for 6 years from date file

closed (date file closed = date contract terminated)

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3) NMSU Disposition and Destruction Requirements

a. After records have met their retention requirements, they are eligible for disposition.

b. Permission must be obtained from the State Commission of Public Records to dispose of records.

c. After permission is received, records can be destroyed.

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NMSU Disposition & Destruction Process

Confidential

Non-Confidential

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1. Department completes the Request for Disposition form.

2. Department submits form to FSA-RMR Office. (rmroffice@nmsu.edu, MSC 3FSA)

3. FSA–RMR Office Records Liaison Officer(s) submits the request to the NMCPR.

4. Approval is received from NMCPR.

NMSU Disposition and Destruction Process

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5. FSA-RMR Office notifies Department of approval.6. Department shreds or makes arrangements for their

records to be destroyed with a vendor.7. After destruction, Department submits Certificate of

Destruction form to FSA-RMR Office.

NMSU Disposition and Destruction Process – NON-CONFIDENTIAL

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5. FSA–RMR Office schedules a Condition Assessment with department. (Boxing Requirements).

6. Department schedules delivery of boxes* to FSA- RMR Office F.A.T.E Warehouse.

7. Boxes are delivered and department signs transfer of custody.

*Note: If utilizing FS Moving Services, enter “F.A.T.E. Warehouse” in Customer Request Description and give adequate notice.

NMSU Disposition and Destruction Process – CONFIDENTIAL

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8. FSA-RMR Office files Certificate of Destruction.

NMSU Disposition and Destruction Process – Final Step

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FSA-RMR WebsiteLet’s take a quick tour of our website.

http://rmr.nmsu.edu• Steps for Disposition• NMACs• Resources− Forms− FAQs

• Stats• Contact Information

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Other Points

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NMSU Retention Requirements for E-mail

Section 2.90.10.b of the University policy manual states:

Email communications relating to university business are part of the university’s records and shall be retained depending upon the nature of the document, consistent with the retention requirements for that type of document.

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NMCPR Regulations Concerning E-mail

1.13.4 NMAC – RECORDS MANAGEMENT REQUIREMENTS FOR ELECTRONIC MESSAGING

“Electronic messages determined to be a public recordshall be classified, filed and retained on the basis of content.”

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NMSU Historical Records

• If you believe your records may have historical value, contact the FSA-RMR Office.

• We will work with the NMSU Archives and Special Collections Department.

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Safety Considerations• Are the boxes contaminated?

− Rodents

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Safety Considerations

− Roach sacs and roaches

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Safety Considerations

• Skunk infestations

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Safety Considerations•

− Notify FSA-RMR Office at (575) 646-8324 or RMROffice@nmsu.edu

• FSA-RMR Office will:− Contact Environmental Health & Safety for an

assessment− Coordinate with department as to how to proceed

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Remember• Records Management & Retention: It’s the law!• Departments cannot destroy University records

without first coordinating with the FSA-RMR Office.

• Permission from the State of New Mexico is required before records may be destroyed. (You have to go through the FSA-RMR Office first).

• Not sure what to do – contact rmroffice@nmsu.edu.

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Bridge to BDMS & PCard Receipt Destruction Training

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Questions or Comments?Contact us!

FSA-RMR Office:email: RMRoffice@nmsu.eduweb page: RMR.nmsu.eduphone: (575) 646-TECH (8324)Submit a question/comment