Records Management and Retention (RMR) for New Mexico ... · • Retention – time required to keep a record – Per state or federal law – Consideration given to business requirements

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Records Management and Retention (RMR)

for New Mexico State University

August 2016

Senior VP for Administration and Finance

FSA-RMR Office

RMR Information Session Agenda

1. Introduction

2. Training Goals

3. Definitions

4. Responsibilities

5. Basic RMR Requirements

6. FSA-RMR Office Services

7. 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.

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 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

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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Highlights From NMCPR• The NMCPR took the existing 6,000 record types in

numerous State Codes and consolidated them into one NMAC comprised of 350 record types. The new NMAC, effective 10/1/2015, is 1.21.2, Functional Records Retention and Disposition Schedule (FRRDS).

─ Classification of records is based on function.

• New Reference Material (1.21.2.115) record classification.

• Record (confidential or non-confidential)– Business information

o 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

Definitions

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• 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

Definitions

• Destruction – the physical process of destroying records.– Methods

oNon-Confidential Records Recycling by a bonded document

recycling vendor Shredding

oConfidential Records Destroyed through a bonded

document recycling vendor

Definitions

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• Central Office Records– Data custodians (NMSU Records Custodians)

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

• We are all responsible for maintaining university records.

Who is Responsible for Records?

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? • 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?

– Is it a record?

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• State law requires use of the one with the longest

retention.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.

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 Records Center to dispose of records.

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

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NMSU Disposition and Destruction Process

Confidential

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.


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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

5. FSA–RMR Office schedules a Condition Assessmentwith 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

Basic RMR Requirements Summary

What we just reviewed:

1. Identify what records you have.− Records Inventory

2. Determine how long you have to keep your records. − Common NMSU Retention Schedules− NMAC 1.21.2 Retention and Disposition of Public

Records− NMCPR Classification Tool

3. Understand and follow the NMSU Disposition and Destruction process.− Confidential− Non-Confidential

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Reference Material - departmental versions of records that you may have sent to a Central Office for processing and are maintained in your department solely for ease of access and reference.

New Record Classification

Reference Material (1.21.2.115)

• The retention requirement for Reference Material is “until no longer needed for reference”.

• How long does your office need to keep this copy for reference?− After it has been posted in Banner?

− At the end of the term?

− Only your departmental office can determine this.

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• In order to simplify the disposition process for Reference Material (paper only), the RMR Office has created a new procedure.

• The process will alleviate some of the long term storage burden for NMSU departmental units and cost of shredding.

• A simplified form has been created (Transfer of Custody form)

• Specific Reference Material records will be included in this process. − Identified on the Common NMSU Retention

Schedules for Departmental/Unit Files matrix− Listed on the Transfer of Custody form.

Special Process for Reference Material

Reference Material Process

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• Use the Transfer of Custody form.• Box confidential and non-confidential records

separately.• Metal must be removed for both confidential and non-

confidential records. (Necessary for recycling)• Place records in the box vertically.• All boxes must weigh less than 50 pounds. (State

requirement and NMSU Safety)• FSA completes all state required paperwork and

completes the rest of the process for you.

Note: If the boxing requirements are not followed, the boxes may be rejected at time of delivery to the warehouse.

Reference Material Requirements



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Reference Material (1.21.2.115)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/Contract files must be retained for 6 years from date file closed

(date file closed = date grant/contract terminated)

• Personnel Files− The new record classification for departmental files is 1.21.2.115, but

these will be retained for 3 years after the employee terms or leaves the department per University General Counsel.

− If there are evaluations (in the case of faculty) in the departmental file, consider transferring these to HR to be added to the central personnel file per University General Counsel.

Reference Material Summary

• Only applies to the records listed on the Transfer of Custody form. Cross reference the asterisk (*) items on the Common Schedules. (Example)

• Utilize the new Reference Material (1.21.2.115) process when possible. (Comparison)

• FSA-RMR Office will have advertised open F.A.T.E. Warehouse times, once a month to allow our NMSU community to bring their volumes of Reference Material records.

− http://rmr.nmsu.edu/fatewarehouse/ for date/time.

− Remember your Transfer of Custody form.

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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

Retention Requirements for E-mailSection 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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Regulations Concerning E-mail1.13.4 NMAC – RECORDS MANAGEMENT REQUIREMENTS FOR ELECTRONIC MESSAGING

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

“Transitory” means messages which serve to convey information of temporary importance in lieu of oral communication. Transitory messages are only required for a limited time to ensure the completion of a routine action or the preparation of a subsequent record. Transitory messages are not required to control, support or to document the operations of government.

NMSU Historical Records

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

• We will work with the NMSU Archives andSpecial Collections Department.

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Safety Considerations• Are the boxes contaminated?

− Rodent droppings, roach sacs, skunk infestations, etc.

–

o Notify FSA-RMR Office at (575) 646-8324 or [email protected]

– FSA-RMR Office will:

o Contact Environmental Health & Safety for an assessment

o Coordinate with department as to how to proceed

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].

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Bridge to BDMS & PCard Receipt Destruction Training

All Central Office Employees, BDMS users, and PCard users must complete the online training (This includes student workers performing processing functions)

https://rmr.nmsu.edu/fsa-rmr-bridge-to-bdms-and-pcard-receipt-destruction/

IMPORTANT: Completion of the FSA-RMR Information Session is a pre-requisite for this training.Credit will not be given if this training is completed before attending the FSA-RMR Information Session.

Questions or Comments?

Contact us!

FSA-RMR Office:

email: [email protected]

web page: RMR.nmsu.edu

phone: (575) 646-TECH (8324)

Submit a question/comment

R:\RMR\Standards\Resources\Departmental Records Inventory.docx 10/12/2015 NMSU Senior VP for Administration and, Finance

FSA - RMR Office

Departmental Records Inventory Worksheet Records Management and Retention (RMR)

FSA - RMR Office

Instructions: This form can be used for conducting an inventory of departmental records. If you have any questions, please contact FSA - RMR Office (575) 646-8324 or visit http://rmr.nmsu.edu. Document mediums are: Paper, Electronic, Video, Photo, Microfilm or Other.

Department:

Files (Type) Location Primary or Copy

Confidential (Y/N)

Medium Record (Y/N)

FRRDS Record Classification Number and Title

Retention Requirement

http://rmr.nmsu.edu/

Is the document related to

NMSU or your responsibilities

at NMSU?

Are you the Creator of the

document?

Does it explain, justify,or document an

action or decision?

Do you need to take an

action?

Non-record

Non-record

Non-record

Non-record

No

Is it a Record?FSA-RMR Office

How to decide if a document is a record.

Does it explain, justify,or document an

action or decision?

Yes

No

No

No

No

Yes

Yes

Yes

Yes

Recipient

START

RECORD

RECORD

File in Recordkeepingsystem

File in Recordkeepingsystem

R:\RMR\Standards\Resources\Is It A Record FSA-RMR Office 9/10/2014

Retention Requirement File Closed Confidential

Bookstore Charges File Six years from date audit report released No

Budget Reconciliation When no longer needed for reference Contextual2

Grants and Contracts Six years from date file closed Termination of

ContractContextual

2

When no longer needed for reference Contextual2

Direct Pays File When no longer needed for reference No

Three years from date audit report releasedNo

INVOICES FILE* When no longer needed for reference No

JOURNAL VOUCHERS FILE* When no longer needed for reference No

When no longer needed for reference No



When no longer needed for reference Yes

Surplus Property Three years from date audit report released No

When no longer needed for reference Contextual2



HR Files

Three years from close of fiscal year in which created Yes

1.21.2.115 REFERENCE MATERIAL (Personnel Files) Three years from date file closed per NMSU General Counsel When employee terms

or retires from the

department

Yes

Two years from date file closed After rejected Yes


One year from close of calendar year in which created No

One year from close of calendar year in which created No


Three years from date of disposition of equipment No

Three years from date audit report released No

Until no longer needed for reference Yes


Student Employee File Three years from date file closed per NMSU General Counsel When employee terms

from department

Yes

1 This is only a representative set of typical files found in most Departments. It is not intended to be a comprehensive list. For retention requirements for other files, reference the FRRDS at our web site, http://rmr.nmsu.edu/NMACs

2 If the record contains personally identifiable information, it is considered a confidential record. If not, it is a non-confidential record.

* Eligible to follow the special process for Reference Material.

Common NMSU Retention Schedules for DEPARTMENTAL/UNIT Files


FSA - RMR Office(Per Functional Records Retention and Disposition Schedules (FRRDS))

No

1.21.2.115 REFERENCE MATERIAL (Budget Reconciliation Files)

1.21.2.604 GOODS AND SERVICES

1.21.2.115 REFERENCE MATERIAL

Six years from date audit report released

Financial Files

Maintenance Agreements (Hardware &

Software

LABOR REDISTRIBUTION

FORMS FILE*


FRRDS Record Classification Number & Title


1.21.2.301 ACCOUNTS PAYABLE

Note: these are non-confidential unless the credit card number or employee

personal information (i.e. address, phone, etc.) appears on the receipt.

1.21.2.318 SURPLUS AND DISPOSAL


1.21.2.316 FIXED ASSETS




1.21.2.115 REFERENCE MATERIAL (Maintenance Agreements Files)

Telephone Logs File

REIMBURSEMENT REQUESTS*

Inventory Certifications, Change

Reports, and Verification Lists

Documents1

DEPOSITS*

Office Operations Files

Rejected Applications File

1.21.2.110 LOGS

Procurement Card File

1.21.2.107 DENIED, REJECTED OR WITHDRAWN RECORDS

Daily appointment books/calendars

Operating Manuals/Warranties File

Supplies File 1.21.2.317 INVENTORIES

1.21.2.151 EQUIPMENT FILES

Personnel Files

Student Files

1.21.2.115 REFERENCE MATERIAL (Personnel Files)

1.21.2.115 REFERENCE MATERIAL (Direct Pays Files)

TELEPHONE BILLS FILE* 1.21.2.115 REFERENCE MATERIAL

PURCHASE ORDER FILE*


WORK ORDERS FILE* 1.21.2.115 REFERENCE MATERIAL


TIME SHEETS*

Correspondence File

TRAVEL ADVANCES* 1.21.2.115 REFERENCE MATERIAL

Leave Requests and Leave 1.21.2.231 LEAVE RECORDS


1.21.2.105 CORRESPONDENCE - GENERAL

1.21.2.102 CALENDARS AND SCHEDULES

OFFICE MANAGEMENT FILES*

(routine files, convenience copies of

memos, reports, & general office

CONFERENCES/WORKSHOPS

ATTENDED FILE*

R:\RMR\Standards\Resources\Matrix of Retention Schedules-Departmental 7/27/2016

NMSU Senior VP for Administration and Finance

FSA - RMR Office

http://164.64.110.239/nmac/parts/title01/01.021.0002.htm

http://rmr.nmsu.edu/NMACs





























File Closed Confidential

End of term Yes

No

No

Yes

No

No longer in

use/until date

superseded

No

End of term No

Last date of

attendance

Yes

No

Enrollment Books for Courses End of term Yes

End of term No

End of term No

Last date of

attendance

Yes

Last date of

attendance

Yes

When

superseded

Yes

When

superseded

No

Departure of

person from

position

Contextual2

Date file created No

Research ends or

is completed

No

End of study No

Completion of

accreditationContextual

2

Contextual2

Contextual2

Exam/Grade Files

Yes

Yes

Yes

Yes

End of term Yes

End of term Yes

When no longer needed for reference

Five years from date file closed

Two years from date file closed

Until no longer needed for reference


Course Files


Add/Drop forms 1.21.2.187 REGISTRATION

Retention Requirement


Three years from date file closed

Book order forms

1.21.2.182 COURSE DEVELOPMENT AND ADMINISTRATION


1.21.2.115 REFERENCE MATERIAL When no longer needed for reference

1.21.2.182 COURSE DEVELOPMENT AND ADMINISTRATION Five years from date file closed

CLASS SCHEDULES*

Course Manual

1.21.2.182 COURSE DEVELOPMENT AND ADMINISTRATION



Master Course File 1.21.2.182 COURSE DEVELOPMENT AND ADMINISTRATION

1.21.2.183 ENROLLMENT - EDUCATION

Directories of courses offered

New Course Descriptions, Proposals, Schedules and

all Related Documents

Pass or Fail Forms

COURSE LISTINGS FILE*

One year from date file closed

Six years from date audit report released

Grade sheets / Class rosters Two years from close of calendar year in which file created

Common NMSU Retention Schedules for ACADEMIC Files


FSA - RMR Office(Per Functional Records Retention and Disposition Schedules (FRRDS))

Documents1

Academic Programs File

Department Head's File

Departmental History File


Permanent, transfer to archives five years from date file closed


FRRDS Record Classification Number & Title

Credits by Examination File 1.21.2.188 STUDENT RECORDS

1.21.2.111 PLANNING AND DEVELOPMENT

1.21.2.111 PLANNING AND DEVELOPMENT

1.21.2.188 STUDENT RECORDS

1.21.2.401 COLLEGES AND UNIVERSITIES

1.21.2.186 PROGRAMS - HIGHER EDUCATION

1.21.2.115 REFERENCE MATERIAL (Memos from Administrators -

Non-Executive Levels)

Memos from Administrators (Executive levels)

Transfer Equivalents File


Department Self-Studies 1.21.2.415 GENERAL - AUDITS AND COMPLIANCE

Departmental/Unit Files

GRADE DISTRIBUTION LIST*

Memos from Administrators (Non-Executive levels)

Placement Test Scores

1.21.2.110 LOGS


List of Exam Scores

1.21.2.181 ASSESSMENTS




Two years from close of calendar year in which file created




Completed Exams 1.21.2.184 EXAMINATION AND TESTING

1.21.2.184 EXAMINATION AND TESTING

Repeat Course File 1.21.2.188 STUDENT RECORDS

Course Evaluations 1.21.2.229 EVALUATIONS - PERFORMANCE Three years from date of separation from employment


1.21.2.104 CORRESPONDENCE - EXECUTIVE LEVEL

Course Syllabi

Departmental Research

Projects

1.21.2.176 SCHOLARLY RESEARCH

Documents used during the accreditation process Permanent, transfer to archives five years from date file closed

Permanent, transfer to archives when no longer needed for

reference

1.21.2.110 LOGS

1.21.2.181 ASSESSMENTSPlacement Tests


R:\RMR\Standards\Resources\Matrix of Retention Schedules-Academic 7/27/2016


FSA - RMR Office









































File Closed Confidential

Course Files

Retention RequirementDocuments1 FRRDS Record Classification Number & Title

Last date of

attendance

Yes

Yes

Date file created No

No

Research ends or

is completed

No

Position filled Yes

Position filled Yes

Position filled

Yes

Tenure denied Yes

Enrollment Verification File (loan recipients) Yes

Yes

When

superseded

Yes

Last date of

attendance

Yes

Yes

Yes

No

Yes

Yes

End of term Yes

Last date of

(Academic Department) attendance

Last date of

attendance

Yes

Yes

Yes

Last date of

attendance

Yes

Yes

End of term Yes

Last date of

attendance

Yes

1 This is only a representative set of typical files found in most Academic Departments. It is not intended to be a comprehensive list. For retention requirements for other files, reference the FRRDS at our web site,


2

*

If the record contains personally identifiable information, it is considered a confidential record. If not, it is a non-confidential record.

1.21.2.246 RECRUITMENTSearch Committee File

1.21.2.107 DENIED, REJECTED OR WITHDRAWN RECORDS



Three years from the date file closed



Two years from close of calendar year in which file created

Faculty Files

Hiring Documentation Three years from date file closed


1.21.2.115 REFERENCE MATERIAL (Tenure File - Awarded) When no longer needed for reference

When no longer needed for referenceFinancial Aid File 1.21.2.115 REFERENCE MATERIAL (Financial Aid File)

Tenure File - Awarded

Financial Aid/Internship/Scholarship Files

When no longer needed for reference1.21.2.115 REFERENCE MATERIAL (Enrollement Verification File -

Loan Recipients)

1.21.2.246 RECRUITMENT

1.21.2.246 RECRUITMENT

Tenure File - Denied



Student Awards and Honors

File

1.21.2.187 REGISTRATIONExtra Hour Registration


Internship Applications and

Related Documents

Graduate Files

Student Files



Yes

List of Scheduled Graduates 1.21.2.110 LOGS

Graduate List 1.21.2.110 LOGS

Prospective Graduates List

Student Loans File 1.21.2.115 REFERENCE MATERIAL (Student Loans File)

1.21.2.337 EDUCATIONAL FINANCIAL AID

Scholarship Awards

Reference File




Faculty Awards and Honors 1.21.2.221 AWARDS - PERSONNEL MANAGEMENT

1.21.2.110 LOGSFaculty List

Scantrons

Raised Grades File 1.21.2.188 STUDENT RECORDS

Student Teaching 1.21.2.667 PROFESSIONAL LICENSES


1.21.2.337 EDUCATIONAL FINANCIAL AID

Transfer Admissions File 1.21.2.183 ENROLLMENT - EDUCATION

STUDENT LOCATOR FILE*

Student Record Changes File

Veterans' Benefits File (Student)

STUDENT RANKING FILE*


Three years from the date file closed

10 years from date individual is no longer licensed





One year from date file closed

1.21.2.115 REFERENCE MATERIAL (Prospective Graduates List)

Two years from date file closed1.21.2.188 STUDENT RECORDS




Eligible to follow the special process for Reference Material.


Individual Student Files

1.21.2.184 EXAMINATION AND TESTING

Faculty Recruitment File

1.21.2.115 REFERENCE MATERIAL (Scholarship Awards Reference

File)

Scholarship Awards File

Faculty Publications File 1.21.2.176 SCHOLARLY RESEARCH

R:\RMR\Standards\Resources\Matrix of Retention Schedules-Academic 7/27/2016


FSA - RMR Office








































New Mexico State UniversityAccounts Payable

Reimbursement Voucher

Page 1 of 2AP-Reimbursement-Voucher.pdf, 03/2015 Reset

SECTION 1: REQUESTOR INFORMATION

Aggie ID:

Phone:Prepared By:

Date (mm/dd/yyyy):

Campus Box: Department:

Payee:

SECTION 2: REQUEST DETAILSStatement of Per Diem (Adjustments to calculated per diem units can be made in “Itemized Statement of Other Expenses” section)

DestinationDeparture Return Travel Period Lodging Meals

TotalDate Time (AM/PM) Date Time (AM/PM) Days Hours Units Rate Units Rate

Item # Itemized Statement of Other Expenses (Attach required receipts) Amount

Continuation Sheet Total:

Adjustments: Cash advance (-) or per diem (+/-) enter explanation:

Total for Reimbursement:

Statement of Transportation For Type, select S for standard mileage, or O for odometer miles.

Departure DateType S/O

Odometer ReadingsNet Mileage Origin/Destination

Beginning Ending

@ ¢ per mile =

Airline (Ticket Attached) Charged NMSU Paid by Employee

Vehicle Type

Rental Car Private Vehicle

Other:

I certify that the services have been performed and the expenses incurred as stated in the above account were necessary and proper, that this voucher has been examined, that the amounts claimed are just and reasonable, and that no part thereof has been paid. If this is a supplemental voucher, a copy of the original voucher is attached.

SECTION 3: REQUESTOR APPROVAL

Date:Printed Name: Signature:

Principal Investigator Dean/VP/CC President Designee

SECTION 4: OFFICIAL APPROVAL

Date:Fiscal Monitor Printed Name: Signature:

SECTION 5: INTERNAL DEPARTMENT USE ONLY Processed by: Date:

Index (FOPAL) Fund Account Travel Encumbrance Number Amount D/C P/F

Payee’s Signature:

Payee’s Title:

I hereby certify the above itemized account is just and true in all respects, expenses incurred were necessary and proper, travel has been completed, attached receipts have been paid in full and expenses were paid by me and not by NMSU to a vendor or previously to traveler, nor has any part been paid or will be paid by another party, any advance received has been deducted on the adjustments line above, I acknowledge any travel expenses paid sixty (60) days from last day of travel become taxable income (Per BPM Section 5C.05 General Travel Information)

Purpose of Travel or Other Expense: (Attach additional sheet if needed)

ROUTINGDocument #Are you using sponsored awards or gifts on this form?

Yes - Route MSC SPA No - Route MSC AFR

8000XXXXX

3FSA Sharon Suhr

Jane Doe

646-8324 Finsys

01/18/2016

Tucson, AZ 01/11/16 6:00 AM

0:00 AM

0:00 AM

01/15/16 6:15 PM

0:00 PM

0:00 PM

12.25

0

0

$106.00 $54.00

01/11/2016 0

0

0

0

0

0

0

0

0

0

Attend regional records retention conference (nomeals provided)

987654 998654 722200 $694.00

●

Reset

$0.00

$694.00

$0.00

$694.00

$0.00

$0.00

0:00 AM $0.00 0

4

0

0

00:00 PM

●

AFR, MSC AFRPhone 646-1514

Fax 646-3900

4

0

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ResetPage 2 of 3

New Mexico State UniversityRecords Management and Retention

Request for Disposition of University Records

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Phone 646-8324 Fax 646-1994

Request ID #:

SECTION 4: FSA-RMR DEPARTMENT USE ONLY

SRCA Approval Date:SRCA #:

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Destruction Method: � Shred ��B��'��#$��H�#��&��"��0� � NMSU � Delete Electronic Files� � � � � � � � � � NMSRCA

Preparer’s Printed Name:

Department Authority/ Record Custodian Name:

Signature:

Signature:

Department:

SECTION 1: PREPARER INFORMATION

Preparer:

Phone:

SECTION 2: REQUEST DETAILS

SECTION 3: OFFICIAL APPROVAL

E-mail Address:

�� Yes � No

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Disposition LogLine

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Retention Period Volume(?�@�6��*

Date(s) of Record(s)

1

2

3

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Date:

Date:

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Approved by - Name:

Signature:

Signature:

Date:

Date:

Line # # of Folders # of Files Total Size of Data (bytes) File Format(s) (.doc, .pdf, etc.) Location of Files�� !�

� Condition Assessment - Not Applicable � Condition Assessment Passed on: RMR Staff Initials

Jane Doe Financial Systems Administration

(575) 646-#### [email protected]

1.21.2.107 Denied, Rejected or Withdrawn Records -

rejected applications

1.21.2.188 Student Records -

student academic files

1.21.2.188 Student Records -

2

2 CDs

2/3

1/3

3 boxes

3 yrs from date auditreport released

2 yrs after last date ofattendance

2 yrs after last date ofattendance

Jul 2010 - Jun 2011

Jan 2013 - May 2013

Aug 2012 - May 2013

Line #5: Records contain Personal Identifiable Information.

Jane Doe

Diane Madrid

ResetE-mail

P

C

Pstudent academic files

2 2 8 86.4 MB (90,596,966 bytes) .PDF and MP4

5 1 20 1.4 MB (1,536,000 bytes) .PDF, DOCX, and .RTF

CD

Network server


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Request ID #:

Department:Preparer:

Phone: E-mail Address:

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Retention Period Volume(?�@�6��*

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13

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1.21.2.184 Examination and Testing -

student classwork, exams, and class projects1/32 yrs from close of CY in

which file created Jan 2012 - Dec 2013P

1.21.2.301 Accounts Payable -

bookstore charges1 folder6 yrs from date audit

report released Jul 2005 - Jun 2008E

NMSU Senior VP for Administration and Finance FSA – RMR Office

R:\RMR\Standards\Resources\Boxing requirements for Confidential Records Handling and Destruction 20160420.docx 1

Boxing Requirements for Handling and Destruction of Confidential Records

(Reference NMAC 1.13.10)

Confidential records to be destroyed should be placed in standard size records storage

boxes. Storage boxes may be obtained from the NMSU Bookstore or an office supply

store. The boxes that paper (10 reams – 8 ½” x 11”) is delivered in, are also acceptable.

The RMR Office recycles boxes, please contact [email protected] to see if we have

any boxes available. Non-standard containers cannot be accepted.

Boxes must be accompanied by a Request for Disposition.

Box weight is not to exceed 50 lbs.

Remove all metal:

* hanging file folders

* metal prongs (typically on fastening file folders)

* metal clasps

* binder clips

* 3 ring binders

* paper clips larger than jumbo size (2 inches long)

Note: Staples and rubber bands do not need to be removed.

Partially filled boxes are acceptable.

Place only one type of record series in each box (if possible). If you are placing two or

more types of record series in each box, please insert a separator (colored paper or folder)

to distinguish the different types of record series

For partially filled boxes and boxes containing more than one record series, please enter

the specific volume of records in the “Volume (# boxes)” field on the Request for

Disposition as a fraction or decimal (e.g. .25, .50, ¼, ½,).

Place the records in the box vertically and in the same order that they were kept in the

office.

Place letter-sized folders across the 12-inch side, facing the front of the box.

Place legal-sized folders across the 15 inch side, starting from left to right.

Leave at least one inch of space for ease of access.

Place the lid on the box without tape.

Identify each box with your office name and the box sequence (1 of 3, 2 of 3, etc.).

mailto:[email protected]

http://af.nmsu.edu/wp-content/uploads/sites/4/2014/01/RMR-Request-For-Disposition-Of-University-Records.pdf

Reset


Transfer of Custody for Reference Materials Only

RMR-Transfer-Of-Custody-For-Reference-Materials-Only.pdf, 7/2016

RO

UTI

NG

This form is for the transmittal of Reference Materials 1.21.2.115 from an NMSU department to the FSA-RMR Office. Submit separate forms for Confidential and Non-Confidential records. Send or deliver Reference Material records with completed forms to FSA-RMR Office, MSC 3FSA, or to the F.A.T.E. Warehouse on advertised delivery days.

Note: Boxes of records must be delivered to F.A.T.E. warehouse on advertised delivery days.

Email Address:

SECTION 1: REQUESTOR INFORMATION

Department Transfering Documents:Requestor:

SECTION 2: REQUEST DETAILS

Phone:

Confidential RecordsAcademic Financial Grade Distribution File Deposits Student Locator File Reimbursement Requests Student Ranking File Telephone Bills File (with signatures or personal identifiable information) Time Sheets Travel Advances

Use the check boxes to indicate which records you are submitting.

Total Number of Boxes:

Requestor Name:

Department Authority/Record Custodian Name:

Signature:

Signature:

Date:

Date:

SECTION 3: APPROVALI certify the noted records are no longer required for reference by my organization. I understand once transferred to the RMR office, they will not be available for viewing or retrieval. RMR will be processing the reference material records for Disposition and Destruction. Legal and physical custody is being transferred to RMR.

Non-Confidential RecordsAcademic Financial Office Operations Class Schedules File Deposits Conferences/Workshops Course Listings File Invoices File Attended File Journal Vouchers Files Office Management Files Labor Redistribution Forms File (routine files, convenience copies Purchase Orders File of memos, reports, and general Telephone Bills File office information) Work Orders File (requestor)

Dates of Records:

SECTION 4: FSA-RMR DEPARTMENT USE ONLY

Box #: through :

RMR, MSC 3FSAOR

Boxes to [email protected]

Phone 646-8324 Fax 646-1994

(mm/yyyy)-

(mm/yyyy)

Request ID#:


Dispose, Destroy, or File?FSA-RMR Office

No

Is it

confidential?No

Yes

Department

prepares records

according to

Boxing

Requirements

FSA-RMR

office performs

Condition

Assessment

Department

delivers boxes to

F.A.T.E.

Warehouse

FSA-RMR office

notifies

Department of

approval from

State to destroy

records.

Department

completes and

provides FSA-

RMR office with

NMSU Certificate

of Destruction

Department

Destroys records

Start

Yes

Is it

confidential?

Is it a

record?

Use “Is It A

Record?”

Decision Tree

Finish

Department

shreds document

Department

recycles

document

Yes No

Yes

No

Has record

met retention

requirements?

Department

completes and

submits NMSU

Request for

Disposition to

FSA-RMR Office.

Department

completes and

submits NMSU

Request for

Disposition to

FSA-RMR Office.

Department

completes and

submits NMSU

Request for

Disposition to

FSA-RMR Office.

Department

completes and

submits NMSU

Request for

Disposition to

FSA-RMR Office.

Keep filed until

retention

requirements have

been met.

R:\RMR\Standards\Process Decision Tree FSA-RMR Office 06/30/2010

http://rmr.nmsu.edu/faq.html#A2

http://rmr.nmsu.edu/webdocs/Boxing%20requirements%20for%20Confidential%20Records%20Handling%20and%20Destruction.pdf

http://rmr.nmsu.edu/webdocs/Certificate%20of%20Destruction.pdf

http://rmr.nmsu.edu/disposition.html#A4

http://rmr.nmsu.edu/faq.html#A2

http://www.nmcpr.state.nm.us/records/email_record.pdf

http://rmr.nmsu.edu/resources.html

http://rmr.nmsu.edu/webdocs/NMSU%20Request%20for%20Disposition.pdf

http://rmr.nmsu.edu/webdocs/NMSU%20Request%20for%20Disposition.pdf

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Records Management and Retention

FSA-RMR

You can do your part for NMSU by COMPLYING with Records Management

regulations. The word ‘COMPLYING’ is used in the Sudoku-type puzzle above.

Following traditional Sudoku rules complete the puzzle above to be one step closer

to being a Records Management Champion!

Y G

C I Y

Y G C L M

L I P

M I P L

I O Y

P G M O

I L C G

Y G N P