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IS-2520 Record Retention (Policy)

Administration

Revision 1: 5/7/01
Revision 2: 8/30/04
Revision 3: 6/2/06

Policy

CNM Board Policy

Employee Handbook 10.02, Examination/Release of College Records

Administrative Directive

Introduction

It is the policy of the Central New Mexico Community College (CNM) to accommodate the timely storage, retrieval, and disposition of records created, utilized, and maintained by the various departments. The period of time that records are maintained is based on the minimum requirements set forth in State and Federal retention schedules.

1. Role of Retention Center

The role of the Retention Center is to receive, maintain, destroy and service inactive records that have not met their disposition date.  The New Mexico University Retention and Disposition Schedule (Interpretative), Administrative (Interpretative), Personnel (Interpretative), and Financial (Interpretative) schedules list many of the records created and utilized by the College.  The schedules indicate the minimum amount of time records should be maintained in compliance with State and Federal guidelines.  Retention requirements apply whether or not the records are transferred to the Retention Center.  Copies of the schedules may be obtained from the organizational Records Coordinator or the Record Retention Center.

2. Role of Records Manager

As the Records Liaison Officer for the Central New Mexico Community College Retention Center, the Records Manager administers the record management program in accordance with New Mexico Retention and Disposition schedules for records archival storage.

The Records Manager is well acquainted with all records and/or record groups within an agency and has expertise in all aspects of records management.  The duties of the Records Manager include planning, development, and administration of records management.

3. Role of Management Personnel

Management personnel are designated as "record owners" and, as such, are responsible for public records generated by their department and/or under their purview.

4. Role of Departmental Records Coordinator

The Departmental Records Coordinator is to be a liaison between the department and the Retention Center.  It is recommended that each department appoint a Records Coordinator in writing.  The letter of appointment should include the Records Coordinators full name, department and telephone extension.  The letter should be forwarded to the Retention Center and maintained on file.

5. Type of Documents Maintained in Retention Center

5.1 Record Retention accepts only public records that are referenced in the State Retention Schedule, except student transcripts.  Copies of student transcripts may be obtained from Records and Admissions located at the Student Service Center.

5.2 Record Retention does not accept personal, active, or non-records.

5.3 Record Retention stores only inactive and permanent records until final disposition according to State and Federal retention schedules.  Examples include personnel files, purchase orders, grade books or surveys.

5.4 Record Retention receives and stores inactive permanent records from CNM departments until final disposition according to State and Federal retention guidelines.

5.5 Record Retention ensures records are classified according to State and Retention guidelines.

5.6 Record Retention ensures records are tracked and entered into an electronic records management software system which tracks record boxes, assigns retention schedules, permanent box numbers, destruction dates, and shelf locations.

6. Services

6.1 If a department has obsolete records which are deemed confidential or sensitive, or copies of non-records, a special request for shredding may be sent to the Record Retention Center.  The records can be shredded by the Record Retention Center staff or transferred to the State Record Center for destruction.

6.2 Departments must complete a Request for Destruction form for confidential or non-records to be shredded.  Departments are required to purchase forms from Central Stores at Shipping & Receiving.

6.3 The Record Retention Center provides consulting services to departments on filing systems and maintenance of records.

7. Transferring Records

7.1 Departments should transfer records to Record Retention for storage in January, July, and October.

7.2 Records with a retention period of two years or more should be transferred to Record Retention.

8. Record Retrieval

8.1 Records are retrieved and delivered to customers by request given a 24-hour notice.

8.1.1  Provide the following information to Record Retention:

  • Location code (this can be obtained from the department copy of the Storage Ticket request form)

  • Record description

  • Department building and room number

  • Personnel Requesting Record

8.1.2  The requestor must sign for the receipt of records after they are delivered by Record Retention.

8.2 Records can be retrieved for customers on an emergency basis as requested.

8.3 Management personnel, records coordinator, or the requester will sign for receipt of records. Records are to be checked out for no longer than 30 days.  If a longer period is required, a  written request should be sent to the Retention Center.  If records are checked out for more than a year, the records will be permanently withdrawn from inventory.

8.4 Permanent Withdrawal: If a department wishes to withdraw a record permanently from storage, forward a request to Record Retention by phone, fax, or inter-office mail.  The department will complete a Records Transfer Custody form and the records will be deleted from inventory.  Note: Withdrawal Request forms can be obtained from Record Retention.

8.5 Second Party Withdrawal: If a department requests a record originating from another department; then the requesting department must contact the department of origin to obtain authorization.  The department of origin will contact Record Retention for records withdrawal. The department requester must view the requested records at the Record Retention Center.

8.6 Records should not be returned via inter-office mail due to the confidential nature of the documents.

9. Record Destruction

9.1 Record Retention destroys records according to State guidelines in January, July, and October.

9.2 Records are destroyed by Record Retention according to State and Federal guidelines when legal requirements are met.  A Destruction Request form will be sent to the originating department for review and signature by the Departmental Records Coordinator and by management personnel.  Only when the Destruction Request has been reviewed, signed, and returned to Record Retention will the expired records be destroyed.  Authorized personnel will shred confidential records.  If departments wish to keep the records past their assigned destruction date, management personnel can extend the date no longer than one year unless a litigation, audit, or investigation is pending.  Records kept by the department past the retention date of destruction will be permanently withdrawn from inventory.

9.3 All records scheduled for destruction are reviewed by the Colleges Records Manager and by State Records Analysts for approval.

10. Supplies

10.1 Records must be stored in the appropriate record retention boxes, which are purchased from Central Stores at Shipping & Receiving.

10.2 Storage Ticket forms and Request for Destruction forms are purchased from Central Stores at Shipping & Receiving.

11. Location of Retention Center

The Record Retention Center is located at 525 Buena Vista SE.
The Center is open from 8:00 a.m. to 12:00 p.m. and 1:00 p.m. to 5:00 p.m. Monday through Friday.
Personnel may be reached at (505) 224-4617 or (505) 224-4614.
The fax number for the department is (505) 224-4619.

12. Definitions

Active Records

Documents, regardless of age, that an office uses frequently in conducting current business or until disposition period is met.

Destruction Date

The final disposal date of records of no further value by shredding, burial, incineration, pulping, or some other process.

Inactive Records

Documents that an office no longer needs or for which the retention period has been met.

Inclusive Date

The time period covered by the filed documents.   Examples:  Inclusive date 1995 includes records for the entire calendar year (January 1 through December 31).

Master Index Form

A mandatory form to be completed along with Storage Request form. These forms list the contents of each box.

Non Records

Informational materials that are not part of the legal definition of a record. This includes extra copies of documents kept only for convenience and reference.

Permanent Records

Records considered to be unique or valuable in documenting the history or business of an organization.

Permanent Withdrawal

Records which have been deleted from inventory and returned back to the department.

Personal Records

Documents which relate solely to individuals private affairs and should be filed separately from official files.

Public Records

All books, papers, maps, photographs, or other documentary materials, regardless of physical form or characteristics, made or received by an agency in pursuance of law or in connection with the transaction of public business, preserved or appropriate for the preservation, by 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.

Storage Ticket Form

Must be completed for the transfer of inactive records to the Retention Center.

Record Description

The title assigned to records from the Retention and Disposition Schedule.

Records Custodian

The statutory head of the agency using or maintaining the records or his designee.

Records Liaison Officer

The individual designated by a records custodian to handle the storage, withdrawal, destruction, access, or transfer to archives of agency records.

Retention & Disposition Schedule

A document that specifies actions for the retention and disposition of current, inactive, and non-current records of an organization.  The College adheres to the following Retention and Disposition Schedules: The Education Records Retention and Disposition Schedules (EDRRDS), New Mexico Colleges and Universities (Interpretative), Personnel (Interpretative), Financial (Interpretative), and Administrative (Interpretative).

Schedule Item Number

Located in the Record Retention & Disposition Schedules.

 



Forms

Support Materials:

n/a

Reference Materials:

GRRDS, General Administrative Schedule
GRRDS, General Financial Schedule
GRRDS, General Personnel Schedule
EDRRDS, Colleges and Universities
Employee Handbook 10.02, Examination/Release of College Records