Embed Size (px)
Citation preview
6/19/2020
1
FSA-RMR Information & Bridge Session
August 2020
FSA - Records Management and Retention Office
2
Today’s Session
Agenda
1. Why should I care about records?
2. What is a record?
3. What are the basic records management concepts?
4. What are the basic requirements for managing
NMSU records?
5. What should I do about historical or damaged
records?
6. How does this relate to BDMS?
6/19/2020
2
• Records Management enables you
to get rid of information when it is
no longer needed. Getting rid of
redundant, out-dated and trivial
information makes it quicker and
easier for you to find important and
useful information.
Why should I care about Records Management?
4
3
• NMSU must follow state law about records management.
The law requires that NMSU obtain permission from the New
Mexico Commission of Public Records (NMCPR) prior to
destroying, shredding, etc. any NMSU records.
• Good records management minimizes NMSU’s litigation risk.
• Records
• All books, papers, maps, photographs or other documentary
materials, regardless of physical form or characteristics
• Made or received in connection with the transaction of public
business.
• Evidence of the organization, functions, policies, decisions,
procedures, operations or other activities or because of the
informational and historical value of the data.
• Non-records
• Drafts
• Copies, duplicates, publications
• Incomplete or blank forms
• Not related to NMSU.
What is a record?
5
4
6/19/2020
3
• Records are created in connection with transaction of public
business purpose.
• The purpose of the records plays a key part in determining the
retention, which is how long to keep the records. It incorporates
o Organizational business needs (fiscal, historical, operational)
o Legal requirements.
• A Retention schedule documents retention periods.
• Disposition is what happens when a record has met its retention requirement: destruction or transfer to the archives.
• Destruction is the physical process of destroying records.
Key Concepts
5
PurposeRetention
PeriodDisposition
Destruction
Transfer to Archives
Principles
1. Records need to be kept by the Responsible Organization.
The Responsible Organization is the office that is responsible to take action on a task or transaction (Custodial Office) OR the office that originated the record.
These Custodial Offices have the major responsibility to manage records.
If you have copies of records that go to Custodial Offices, yours are non-records.
If you have records that do not go to Custodial Offices, you must manage the records.
2. Maintain records in their native format (paper/ digital).
3. Records may be replaced by a scanned copy ONLY if the scan is in NMSU’s BDMS system which has been approved by the New Mexico Commission of Public Records.
6
6/19/2020
4
Is it a record?
Is it related to NMSU?
Are you the responsible department?
Is it the final?
Record
7
Principles about Email
1. Electronic messages/attachments can be records.
2. Follow the same principles for responsibility: the responsibility falls to the person taking action or the originator or, if the email comes from outside NMSU, the receiver.
3. Follow the same principles for drafts: if the emails are a thread discussion with a conclusion, the final email is the record.
4. Emails/attachments which are records should be classified based on their content.
5. Correspondence – General (1.21.2.105) is a useful classification for routine, day-to-day email. Records classified this way should be destroyed one year from close of calendar year in which created. Follow the NMSU Disposition & Destruction Process.
8
6/19/2020
5
Confidentiality
https://privacy.nmsu.edu/data-governance
9
What are the Basic Requirementsfor managing NMSU records?
1. Identify what records you have.
Records Inventory
2. Determine how long you have to keep your records.
NMSU Common Retention Matrices (on the RMR website)
Functional Records Retention and Disposition Schedule
3. Understand and follow NMSU Disposition and Destruction process.
Request for Disposition Form
Video on preparing a Request for Disposition: www.YouTube.com/watch?v=gRCXs2vAGI0&t=2s
10
6/19/2020
6
• Identify records (and non-records) by starting a Records Inventory
•List all documents your department handles• Are they confidential or
non-confidential?
• Who is the responsible organization to take action? Is there a Custodial Office of Responsibility? Was your office the last stop for the record?
1. Identify your records
8
11
2. Determine retention requirements for the records
a. Check the NMSU Common Retention Matrices (on the RMR website) for your records.
b. If not found, check the NM Functional Records Retention and Disposition Schedule to determine the retention requirements.
9Most retention periods are based on a certain amount of time after the file is “closed.”
Contact the RMR Office at [email protected] if you have questions.
12
6/19/2020
7
Records Inventory
* If any of your financial non-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.
13
*
3. Follow the NMSU Disposition & Destruction process when you are disposing of records
14
6/19/2020
8
11
Department completes
and submits NMSU
Request for
Disposition form to
FSA-RMR Office.
FSA-RMR Office
requests
permission from
NMCPR
Approval received from
NMCPR
Department
arranges for
documents to be
shredded.
FSA-RMR Office
conducts Condition
Assessment at
Department office.
Department delivers
approved boxes to FSA-
RMR F.A.T.E. Warehouse.
Department returns
Certificate of
Destruction to
FSA-RMR Office.
Compliance
Requirements
Achieved!
FSA-RMR
Office notifies
Department.
FSA-RMR
Office files
Certificate of
Destruction.
15
NMSU Disposition & Destruction process
3. Follow the NMSU Disposition & Destruction process when you are disposing of records
• Complete a Request for Disposition for any records which have met their retention & send it to [email protected].
• Use separate forms for confidential and non-confidential records because they have different destruction processes.
• Submit form to RMR using email (preferred), fax or interdepartmental mail
If your records are non-confidential
• RMR Office will email you when we receive approval to destroy the records.
• You shred or contract with a vendor to shred the records.
• Complete the Certificate of Destruction and return it to [email protected].
If your records are confidential
• Box confidential records according to the boxing requirements.
• RMR Office will contact you to schedule a Condition Assessment.
• You will then deliver your boxes to the FATE Warehouse. You may use FS Movers at no charge.
10
16
6/19/2020
9
Summary of Disposition Requirements
Confidential Non-Confidential
Records Destroy by a bonded
document recycling vendor
Destroy by a bonded
document recycling vendor
OR shred
Request for Disposition Yes Yes
Condition Assessment & Deliver
to F.A.T.E
Yes No
Certificate of Destruction Yes Yes
Non-Records Shred Recycle or Shred
Request for Disposition No No
Condition Assessment & Deliver
to F.A.T.E
No No
Certificate of Destruction No No
17
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.
18
6/19/2020
10
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.
12
19
FSA-RMR Bridge to BDMS and
PCard Receipt Destruction
FSA-RMR Office
2
6/19/2020
11
Review
• 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 what happens when a record has met its retention requirement: destruction or transfer to the archives.
• Destruction is the physical process of destroying records.
• Records can’t be destroyed without permission from the state.
21
But why does this matter to me as a user of BDMS or a Pcard?
Destruction of Paper and Electronic Files
NM Constitution
Designates Public Records
Public Records Act
Ch 14.3 NMSA 1978
Disposition Of Public Records And Non-
records
NMAC 1.13.30
Functional Records Retention And
Disposition Schedules
NMAC 1.21.2
Microphotography Systems,
Microphotography Standards
NMAC 1.14.2
Copies shall be certified by their custodian as true copies of the originals before the originals are destroyed or lost, and the certified copies shall have the same effect as the originals.
22
6/19/2020
12
Destruction of Paper and Electronic Files
NMSU is allowed to destroy paper and electronic files because:
• 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.
• However, there is still a Destruction Process.
23
Verification & Destruction Process 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).
24
6/19/2020
13
Verification & Destruction
1. Scan/upload files to the certified system. When you email PDF files to [email protected] the file is added to the certifiedsystem.
2. Verify the quality of the document.
– Does it look as good as the original or pretty close?
– Is the required detail readable?
– Did all pages make it into the system?
If the answer is “no” to any of the above, set the scanner to a darker setting and rescan. Use BLACK & WHITE setting only.
Verification is important because your scanned copy or document in BDMS becomes the official record.
3. 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.”
25
Examples of Bad Scans
26
6/19/2020
14
Verification & Destruction - continued
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 FSA-RMR Information Session. A Request for Destruction form is required.
Department destroys all PDF files and emails.
27
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.
28
6/19/2020
15
29
Summary
1. Managing records makes you more efficient and reduces the University’s risk.
2. An NMSU record must be related to NMSU, in its final form and not be a copy.
3. You may find the retention period for a record by using the NMSU Common
Retention Matrices or the NM Functional Records Retention and Disposition
Schedules.
4. NMSU’s requirements for managing records are: identify your records, know
how long to keep them, and follow the NMSU Disposition & Destruction Process.
5. Contact the RMR Office if you encounter historical or damaged records.
6. When you upload records to BDMS or PCard, verify the records are complete
and legible, and then destroy the originals (with a Request for Destruction if
confidential).
Questions or Comments?
Please return your quiz and, if you are Pcard or BDMS user, your signed Responsibilities for Use form to the RMR Office:
email: [email protected]
For any RMR related questions contact us:
email: [email protected]
web page: http://RMR.nmsu.edu
phone: (575) 646-TECH (8324)
Submit a question/comment
For any PCard related questions, please contact:
Aggie Service Center
email: [email protected]
phone: (575) 646-2000
30
