N.M. Code R. § 5.99.2.11 - RECORDS MAINTENANCE
A. Prior
to closure, an institution must ensure that records are in compliance with the
functional records retention and disposition schedule in 1.21.2 NMAC, the
records retention schedule set by the department, regulations of any other
authorizing agency, or laws, regulations, and rules of any other authorizing
jurisdiction or territory, whichever is longest in time. If another authorizing
agency of the institution requires a longer period of retention than that of
1.21.2 NMAC, the longest retention period shall prevail.
B. If an institution discontinues its
operation, the manager shall file with the designated custodian of records, the
original or legible true copies of all educational records required to be
maintained pursuant to 5.99.1 NMAC. For institutions authorized pursuant to or
exempt from 5.99.1 NMAC the manager must file to the designated custodian of
records the original or legible true copies of student records to include, at a
minimum, the student's enrollment agreement, student transcript, record
indicating program completion (either certificate, diploma, degree, or other
like proof of completion) and student financial aid records. Any institution
that closes and has not operated lawfully pursuant to 5.99.1 NMAC, must file to
a designated custodian of records, the original or legible true copies of
student records to include, at a minimum, the student's enrollment agreement,
student transcript, record indicating program completion (either certificate,
diploma, degree, or other like proof of completion), and student financial aid
records and may be subject to penalty for operating without state authorization
or exemption. A written detailed description for how records will be maintained
following the closure shall be provided to the department in a plan for the
perpetual care and maintenance of records. The written plan must include, but
is not limited to the following:
(1)
certification that the post-secondary institution is in compliance with the
functional records retention and disposition schedule in 1.21.2 NMAC, the
records retention schedule set by the department, records retention
requirements of any other authorizing agency, or laws, regulations, and rules
of any other authorizing jurisdiction or territory related to records
retention, whichever is longest in time;
(2) designation of a custodian of
records;
(3) physical address of
hard copy files;
(4) physical
address of digital files; and
(5)
process for obtaining transcripts or other records from the custodian of
record.
C. The department
must be notified of any update related to the custodian of records or upon any
change to the custodian of records.
D. The department must be provided a copy of
any contractual arrangements made for the perpetual care, maintenance and
accessibility of all records. The department may request any additional records
or information to help students gain access to transcripts in
perpetuity.
E. In the event that
the post-secondary institution does not comply with the records maintenance
provisions cited above, the department may seek a court order to protect and if
necessary take possession of the records. The institution's surety bond may be
drawn on to cover costs associated with the department's efforts in securing
records.
F. Students must be made
aware of the process to request student records from the custodian of records.
The process must be provided in writing to the student and made available on
the institution's website.
Notes
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