New Mexico State University - All About Discovery! nmsu ...€¦ · 17/9/2019 · 3....

All About Discovery!New Mexico State University

nmsu.edu

™

Records Management and Retention (RMR)

for New Mexico State University

September 2019

Senior VP for Administration and FinanceFSA-RMR Office

All About Discovery!New Mexico State Universitynmsu.edu

™™

RMR Information Session Agenda

1. Training Goals2. Why should you care about Records?3. What is a Record?4. What are the Basic Requirements for RMR?5. Historical & Damaged Records6. Bridge to BDMS & PCard Receipt Destruction


™

Training GoalsYou will know

– Records management and retentionrequirements.

– How to identify a record.– Procedures to follow for disposing of and

destroying records.– Steps to get your department compliant with

State and Federal records laws.– Where to get help.


™

Why should I care about RMR?• NMSU must follow state laws.

• State laws require that we obtain permission from the New Mexico Commission of Public Records (NMCPR) prior to destroying, shredding, etc. any NMSU records.

• Knowing and following the NMSU procedures regarding Disposition & Destruction of records keeps you compliant.

• Good records management makes you more efficient.• Good records management minimizes NMSU’s

litigation risk.


™™

Value of Information over Time

Source: CGOC. Information Lifecycle Governance Leader Reference Guide, 2014. https://www.cgoc.com/wp-content/uploads/members/get-pdf.php?name=ILG_LeaderReferenceGuide_SecondEdition_FINAL_web2


™™

Is it a record?Did you create it/

receive it/?Are you responsible to take

action on it?

Is it a draft or incomplete?

Is it related to NMSU business?

NOT an NMSU record NMSU record

Yes Yes

No

No

No

Yes


™™

0

50

100

150

200

250

Related to NMSU but not your records

Records

Non-records:• Duplicates/copies• Published materials• Blank/incomplete forms• Drafts• Not related to NMSU

Records may be• Any format• Made or received• Related to transaction

of public business• Evidence of activities

Con

fiden

tial

Non

-Con

fiden

tial

Non-records

What is a record?


™

Key Terms• Records have a life cycle that begins with creation and

ends when the record is no longer useful and is destroyed.

• Retention is how long I must keep the records o Organizational business needs (fiscal, historical,

operational)o Legal requirements

– Documented in a retention schedule• Disposition is what happens when a record has met its

retention requirement: destruction or transfer to the archives.


™

Principles1. Records need only to be kept by the Responsible Organization.

Copies are non-records. 2. The Responsible Organization is the office that originated the

record OR the office that is directly and primarily responsible to take action on a task or transaction.

3. Classification is based on the purpose of the record or how you file. Classification determines retention. If multiple classifications apply, retain according to the longest retention period.

4. Maintain records in their native format (paper/ digital).5. Records may be replaced by a scanned copy ONLY if the scan is

in NMSU’s BDMS system which has been approved by theNew Mexico Commission of Public Records.


™

Principles about Email• Electronic messages/attachments can be records.• The responsibility falls to the originator or, if the email comes

from outside NMSU, the receiver.• If the emails are a thread discussion with a conclusion, the final

email is the record. • Emails /attachments which are records should be classified under

the appropriate record classification. • Correspondence – General (1.21.2.105) is a useful classification

for email. Records classified this way should be destroyed one year from close of calendar year in which created. Follow the NMSU Disposition process.


™

Who is Responsible for Records?• Central Office

– Data custodians (NMSU Records Custodians)• Departments

– Responsibility varies by college, may be the record originator or a specific individual/unit

• We are all responsible for identifying and maintaining official university records.


™

What are the Basic Requirements for RMR?

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

records. 3. Understand and follow NMSU Disposition and

Destruction process.


™

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

– Identify your records/files– Are there multiple copies in different offices? What

office has responsibility?– Are they confidential or non-confidential?

o This determines which process is followed to dispose of them.

– The type/function of a record determines how long it is kept.


™™

Example 1

Journal Voucher


™™

Example 2

Rejected application


™™

Example 3

Class assignment


™™

Example 4Student Advising Document


™™

Sample Inventory


™

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

Look up retention schedules– Common NMSU Retention Requirements


™™


Example 1: Journal Vouchers• Department matrix: Non-record for departments; A&F

is custodian for the recordExample 2: Rejected applications• If they have notes or are NOT in People Admin, use

Department matrix: 1.21.2.107 Denied, Rejected or Withdrawn Records

• If they are in People Admin and there are no notes on thecopies, then they are non-records.


™™


Example 3: Class Assignments• Academic Matrix: 1.21.2.184 Examination &

Testing2 years from close of calendar year in which created

• If in Canvas and no notes, paper is non-record.Example 4: Advising Files• Academic Matrix: 1.21.2.188 Student Records

2 years from last date of attendance(3 years if a veteran)


™™

Sample Inventory


™

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 project closed per SPA Closeout Policy

• 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 contract

terminated


™

What if my records aren’t on the Common lists?

• If not found in the Common Matrices, contact RMR Office to help with – Functional Records Retention and Disposition

Schedules (FRRDS)– Federal requirements?

o Specific agency website• FSA-RMR office can assist you with your search.


™

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 New Mexico Commission of Public Records to dispose of records.

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


™™

How NOT to Dispose of Records!


™™

NMSU Disposition & Destruction Process


™

1. Department completes the Request for Disposition form.

2. Department submits form to FSA-RMR Office. ([email protected], 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


™

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


™

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


™

8. FSA-RMR Office files Certificate of Destruction.

NMSU Disposition and Destruction Process – Final Step


™

Disposition RequirementsConfidential Non-Confidential

Records Destroy by a bonded document recycling vendor

Destroy by a bonded document recycling vendor

OR ShredRequest for Disposition Yes YesCondition Assessment & Deliver to F.A.T.E

Yes No

Certificate of Destruction Yes Yes

Non-Records Shred Recycle or Shred

Request for Disposition No NoCondition Assessment & Deliver to F.A.T.E

No No

Certificate of Destruction No No


™

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.


™™

What if my records are stored in a shed & damaged?

If your records are water-damaged or infested with insects or critters, STOP and contact [email protected].

We will work with Environmental Health & Safety who will advise how to safely handle the records.


™

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 [email protected].

All About Discovery!New Mexico State University

nmsu.edu

™

FSA-RMR Bridge to BDMS and PCard Receipt Destruction

September 2019

SVP for Administration and FinanceFSA-RMR Office


™™

Refresher• Records Management is the control of records

throughout their life cycle, from creation through destruction.

• Retention is how long I must keep the records.• Disposition is when a record has met its retention

requirement and is eligible to be disposed of.• Destruction is the physical process of destroying

records.


™™

Putting It All TogetherHow does what I just learned about RMR enable me to

– Destroy files after they are scanned or loaded into the Banner Document Management Suite?

– Destroy files after following the procurement card process and sending an email to [email protected]?


™™

Destruction of Paper and Electronic FilesWhy is NMSU allowed to destroy paper and electronic files?• NMAC 1.14.2 allows for destruction of paper and

electronic files once they have been placed into a certified imaging system.

• When a paper or electronic file is added to a certified system, it becomes the official record.

• NMSU uses Banner Document Management Suite (BDMS).

• NMSU BDMS is a certified system per the NMCPR.


™™

Verification & Destruction Process

Now we will review the Destruction Process since we are allowed to destroy paper or electronic files, per State law (NMAC 1.14.2), because they are in a certified system.

Destruction process is different from disposition. Disposition begins with a Request for Disposition form.Destruction begins with a Request for Destruction form.


™™

Verification & DestructionProcess Flow

Verify the files. (For PCard, verify receipts

on Wells Fargo)

Department completes and submits NMSU

Request for Destruction form to FSA-RMR Office.

Compliance Requirements

Achieved!

Department follows NMSU process for

confidential records.

Department shreds documents or deletes

electronic files. PCard: (.pdf files &

emails)

Files are scanned or loaded into the certified system

(BDMS).


™™

Verification & Destruction1. After files are added (either scanned or loaded) to a certified system,

they must be VERIFIED. When you email PDF files to [email protected] the file is added to the certified system.

2. Verify the quality of the document.– Does it look as good as the original or pretty close?– Is the required detail readable?– If it is electronic, did it make it into the system it was intended for

(Wells Fargo or BDMS)? f the answer is “no” to any of the above, set the scanner to a darker setting and rescan. Use BLACK & WHITE setting only.It is important because your scanned copy or document in BDMS will become the official record.


™™

Examples of Bad Scans


™™

Verification & Destruction - continued3. If you still have a bad scan after several attempts, then you must keep the

document for the full retention period.− We suggest you annotate the bad scan with the text “This was the

best scan possible. Original retained in office.”4. After the verify step:

– If the records are non-confidential, they may be destroyed. Department shreds or makes arrangements with a vendor for the

paper to be destroyed. Department destroys all PDF files and emails.

– If the records are confidential: Paper records must follow a process similar to the disposition of

confidential records as outlined in the previous RMR Info session. Request for Destruction form required. Department destroys all PDF files and emails.


™™

Special Considerations - PCard• If the purchase is related to a Grant or Contract, the

receipts must be retained as part of your grant or contract file respectively.

• If you deal with a vendor that requires an original receipt for returns, maintain original copies per retention schedule.

• If you did not verify your receipts in Wells Fargo, maintain original copies per retention schedule.

• All other backup documents, not sent to Wells Fargo, must follow the disposition process.


™™

Responsibilities For Use

• All NMSU employees utilizing the NMSU imaging processes are required to sign a Responsibilities For Use form.

• Your signature indicates understanding of the NMSU Records Management and Retention and imaging processes and agreement to destroy paper or electronic files in accordance with the defined processes presented.


™™


™™

Questions or Comments?Contact us!

FSA-RMR Office:email: [email protected] page: http://RMR.nmsu.eduphone: (575) 646-TECH (8324)Submit a question/comment

For any PCard related questions, please contact:PCard Administratoremail: [email protected] phone: (575) 646-2000

New Mexico State University - All About Discovery! nmsu ...€¦ · 17/9/2019 · 3....

Documents

Transcript of New Mexico State University - All About Discovery! nmsu ...€¦ · 17/9/2019 · 3....