All About Discovery! nmsu.edu Records …hr.nmsu.edu/rmr/wp-content/uploads/sites/14/2019/04/NMSU...All About Discovery! New Mexico State University nmsu.edu Records Management and

All About Discovery!New Mexico State University

nmsu.edu

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Records Management and Retention (RMR)

for New Mexico State University

April 2019

Senior VP for Administration and FinanceFSA-RMR Office

All About Discovery!New Mexico State Universitynmsu.edu

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RMR Information Session Agenda1. Introduction & Training Goals2. Definitions3. Responsibilities4. Basic RMR Requirements5. Web Site RMR.nmsu.edu & FSA-RMR Office

Services6. Other Points7. Scanning: P-Card & BDMS


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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 – Control 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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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 dispose, shred or destroy 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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Benefits of RMR• Space Savings• Cost Savings• Increased Efficiency• Controlled Creation and Destruction of Records• Minimized Litigation Risk• Preservation of Institutional Memory• Protection of Vital Records


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What is a record?Non-records:• Duplicates/copies• Published

materials• Blank/incomplete

forms• Drafts• Not related to

NMSU


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Definitions• Record

– 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 (NMAC 1.21.2)• 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.


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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 F.A.T.E Warehouse


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How NOT to Dispose of Records!


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Disposition RequirementsConfidential Non-Confidential

Records Destroyed by a bonded document recycling vendor

Destroyed by a bonded document recycling vendor OR Shredded

Request for Disposition Deliver to F.A.T.E Certificate of Destruction

Non-Records Shredded Recycled or Shredded

Request for Disposition Deliver to FATE Certificate of Destruction


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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 Schedules (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


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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


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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.

https://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 14.10.B of the University’s Administrative Rules and Procedures 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

1.13.4.11 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 [email protected]

• 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 [email protected].

All About Discovery!New Mexico State University

nmsu.edu

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FSA-RMR Bridge to BDMS and Pcard Receipt Destruction

February 2019

SVP for Administration and FinanceFSA-RMR Office


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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.


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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 System?

– Destroy files after following the procurement card process which requires an email sent to [email protected]?


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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.


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NMSU Processes That Use BDMS

• JV backup attachment.• For PCard receipts, FSA-RMR office loads all receipts

that are sent to Wells Fargo for processing into BDMS• Procurement• Invoices • Financial Aid• Financial Grant files (SPA)• HR• Student Records


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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 requires a Request for Disposition form.Destruction requires a Request for Destruction form


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Verification & DestructionProcess Flow


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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:– You are verifying 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)?– It is important because your scanned copy or document in BDMS

will become the official record.– If the answer is “no” to any of the above, set the scanner to a darker

setting and rescan. Use BLACK & WHITE setting only.


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Examples of Bad Scans


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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

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

– If the records are confidential: Paper and electronic records must follow a similar process for

disposition of confidential records as outlined in the previous RMR Info session. o Request for Destruction form required.


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Special ConsiderationsAll other documents/files, not imaged into BDMS or not part of the procurement card process, must be kept until they have met their retention requirements and follow the disposition process. This includes older transactions or any other documents that for whatever reason did not follow the NMSU imaging processes.Grant Files

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

Contract FilesContract files must be retained for 6 years from date file closed. (date file closed – date contract terminated)

Financial Aid FilesFinancial Aid files must be retained for 3 years from date file closed. (date file closed – last date of attendance)


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Special Considerations - PCard

• 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.

• If the purchase is related to a Grant or Contract, the receipts must be retained as part of your grant or contract file respectively

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


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Responsibilities For Use

• All NMSU employees utilizing the NMSU imaging processes are required to sign a Responsibilities For Use form. (PCardReceipts, Financial Aid, Sponsored Projects Accounting, Journal Vouchers, Invoices, & Human Resources)

• 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.


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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]

Documents

All About Discovery! nmsu.edu Records …hr.nmsu.edu/rmr/wp-content/uploads/sites/14/2019/04/NMSU...All About Discovery! New Mexico State University nmsu.edu Records Management and