Records Management - Presentation

Report
RECORDS MANAGEMENT
ELEMENTARY AND HIGH SCHOOL
COUNSELORS 2011
1
RECORDS MANAGEMENT
CONTACTS

Susan Izban:
(773) 553-1679
[email protected]

Kina White:
(773) 553-1593
[email protected]

Fax (773) 553-1703
2
BASIC REMINDERS

Both student and non-student (school
business-related) records must be managed in
accordance with Board policy and Illinois law.

Most of the information we generate, receive,
and maintain, regardless of physical form or
media used, is considered to be a record and
must be managed properly!

Records must be stored properly and kept
safe and secure. Records should be labeled
and filed appropriately.
3
BASIC REMINDERS

All student and business-related records
(active and inactive) belong to the Chicago
Board of Education and should not be treated
as personal property.
► Records cannot be taken with you to
another position or into retirement.
► Records cannot be removed or stored
outside the school or CPS premises
except as provided for in Board
policies and procedures.
4
BASIC REMINDERS

Schools are required by Illinois law to
have a designated RECORDS
COORDINATOR. The school counselor
and/or case manager is often assigned to
this role.

Even if you have not been “officially
assigned” to this role by your principal,
you are responsible for properly managing
student records.
5
BASIC REMINDERS

Board policy requires schools to
► Regularly send inactive records to the
Board’s offsite storage facility.
► Dispose of records through the proper
procedures as soon as the records are
eligible for disposal according to the
approved Record Retention Schedule.
6
BASIC REMINDERS

No school personnel may shred, throw
away, or otherwise discard records.
The Law Department must collect all
records for disposal.

Failure to dispose of records
properly is a criminal offense.
7
BASIC REMINDERS

A session on Records Management was
included in the Law Department’s
Principal Conference in August 2010.

MSDs have been given a records
management checklist to help ensure
schools are in compliance.

Failure to manage records properly may
be subject to disciplinary action.
8
BASIC REMINDERS

Compliance with records management policies and
procedures is now part of the school audit process.
Auditors will be checking various areas, such as
► Have you been working with the Law
Department to have inactive records
collected?
► What inactive records do you have in your
school?
► Are records being stored in your basement?
► Do you have all of your storage/disposal
forms in a binder?

Schools that that have not sent inactive records to
the Law Department will be visited by the CEO’s
Office in the next month.
9
I should
have called
the Law
Department!
Unemployment
Line
A CPS employee can lose his or
her job for managing records
improperly.
10
FINDING YOUR WAY …
11
FINDING YOUR WAY …


Know what you have! Review the records in your
school:
► Where is your school keeping records?
► Get an idea of the birth dates for the
Cumulative, Special Education, and
Health Records.
► Check for Registration Cards (elementary
schools), and Transcripts (elementary and
high schools). Based on the years
students left or graduated, how far back
do these go?
► Don’t forget about older records in other
areas of your school (storage closets,
basements, other offices, etc.).
12
FINDING YOUR WAY …

School records (student and business-related)
cannot be stored in areas where damage,
destruction, and unauthorized access may
occur.

Records must be removed from areas
undergoing construction, maintenance,
and remodeling projects.

Remove records immediately from any
inappropriate areas and store them in secure
areas until records are reviewed and processed
in accordance with the Records Management
Manual.
13
FINDING YOUR WAY …


Once you know what you have, contact Kina
White (773-553-1593) or Susan Izban (773-5531679) for the most current procedures,
instructions, and records retention information.
You will need
1) The Records Management Manual
2) The most recent packing instructions
3) The most recent Records Retention
Schedule Summary
Chicago Public
Schools
Records Management
Manual
Fourth Edition
The Manual is available at http://www.cps.edu/About_CPS/
Departments/Documents/RecordsManagementManual.pdf
14
A. School Basement
C. US Postage Bin
B. Recycle Bin
D. Trash Bag
15
MANAGING INACTIVE RECORDS
Proper Record Disposal
Proper Offsite Storage
16
MANAGING INACTIVE RECORDS

Whenever possible, BEGIN by sending us records
for PROPER DISPOSAL.

Records for disposal are the easiest records to have
collected from your school because
► You use boxes you already have in your
school to pack records for disposal (such as
copy paper boxes).
► You do not have to alphabetize student
records for disposal.
17
MANAGING INACTIVE RECORDS

Student records that are eligible to be collected for
proper disposal are
1) Cumulative Records (including Cumulative
Folders, Cumulative Cards, and English
Language Learning Folders), student
Discipline, Truancy, Service Learning,
Counseling, and Social Worker Files for
students who are over 21 years old
(elementary schools) and over 27 years old
(high schools)
2) Special Education Records (including
Speech Folders) for students who
are over 27 years old (all schools)
18
MANAGING INACTIVE RECORDS
Student Records that
CANNOT be disposed
1) Health Folders – Permanent
2) Registration Cards,
Elementary School
Transcripts, and High School
Transcripts/Transcript
Envelopes – Permanent
20
MANAGING INACTIVE RECORDS

Student and business-related records that
are not eligible for disposal should remain
in the school until the school is no longer
using or referencing the records (usually
between 1-3 years).

After that, schools are required to send
inactive records to offsite storage.
21
MANAGING INACTIVE RECORDS

To have student records collected for PROPER
DISPOSAL
1) Verify the student date of birth and confirm
the records are old enough to be disposed.
2) Pull out all Health Records, Registration
Cards, and Transcripts from all Cumulative
Records and Special Education Records.
3) Pack eligible records in boxes you have at
your school.
4) Write a consecutive number and your
school name on each box.
5) Complete the Record Disposal Form
(available in the Manual). Make sure all
information is included on your form.
6) Fax the form to 773-553-1703.
22
MANAGING INACTIVE RECORDS

To store inactive student records
at the Board’s approved offsite storage
warehouse, the Law Department
provides supplies (storage boxes and
barcode tracking labels) to schools.

If you have Cumulative (including ELL Files),
Special Ed, Discipline, Truancy, Service Learning,
Counseling, Social Worker, and Health Records at
your school for students that have been gone
between 1-3 years, send these records to offsite
storage!
23
MANAGING INACTIVE RECORDS

To have student Cumulative (including ELL
Files), Special Ed, Discipline, Truancy, Service
Learning, Counseling, Social Worker, and Health
Records collected for STORAGE
1) Verify the student’s date of birth and
confirm the records are not old
enough to be disposed.
2) Separate records by the type of
student record.
3) Separate records into birth year
groups (between 1 and 5 birth years
should be kept together).
4) Alphabetize each birth year group (not
each birth year) in straight alphabetical
order.
24
MANAGING INACTIVE RECORDS
To have student Cumulative (including ELL Files),
Special Ed, Discipline, Truancy, Service Learning,
Counseling, Social Worker, and Health Records
collected for STORAGE (continued)
5) Pack records in boxes you order from the
Law Department so that boxes are at least
¾ full.
6) Label your boxes. (Refer to the Manual for
sample. You will need to request barcode
labels from the Law Department.)
7) Complete the Student Record Storage
Form (available in the Manual) for each type
of student record. Make sure all information
is included on your form.
5) Fax the form to 773-553-1703.
25
ARRANGING STUDENT RECORDS
FOR STORAGE SAMPLE:
If you have Cumulative Records at your school for
students born between 1990-2005 that total 6 boxes,
you may have boxes divided up as follows:
a) DOB 1990-1994 students with last names Abr-Mon
b) DOB 1990-1994 students with last names Net-Zeb
c) DOB 1995-1999 students with last names Ada-Fra
d) DOB 1995-1999 students with last names Gab-Ren
e) DOB 1995-1999 students with last names Smy-Zon
f) DOB 2000-2005 students with last names Alb-Wil
26
MANAGING INACTIVE RECORDS
IIIIIIIIIIIIIII
0075000030

SCHOOL
ABR-DRA
1975-2000
To have Registration Cards and Transcripts sent to
offsite storage
► Policy says keep only 8 years at the school.
► Elementary schools should focus on sending
Registration Cards for all inactive students.
► High schools should focus on sending
Transcripts from 1991 and prior at a minimum.
27
Schools can use students to work
on and assist with managing
records.
28
MANAGING INACTIVE RECORDS

School business-related records should be
collected for proper storage and disposal
depending on the age and type of record.

Some business-related records must be
maintained permanently.

Refer to the Retention Schedule and contact
the Law Department Records Management
Staff for additional information.
29
MANAGING INACTIVE RECORDS

Schools must maintain all information regarding
records collected for storage and for proper disposal
in an accessible location for future reference.

It is recommended that schools maintain a
Records Management Binder for all records
management reference materials and indexes.

If the school needs any records returned from offsite
storage, contact
► Marcus Thomas (773-535-4054)
for student records
► Kina White (773-553-1593) or Susan Izban (773553-1679) for non-student records
30
STUDENT RECORDS –
ADDITIONAL REMINDERS
31
STUDENT RECORDS – ADDITIONAL
REMINDERS

Student information maintained in both paper
and electronic format must be managed in
accordance with Board policies and procedures.

If an email includes information on an individual
student that helps the school and/or parent
understand and aid the student in furthering his
or her education (such as information on a
student’s health, special education program,
discipline, attendance, grades/assignments,
counseling, etc.), the email and the
attachments must be printed and filed in the
appropriate student folder.
32
Records to Include in the
Student’s CUMULATIVE FOLDER
While this list is not all-inclusive, records that should be
included in the student’s Cumulative Folder include the
following:
►Cumulative Card (for all students who have an
existing pre-IMPACT paper Cumulative Card)
►Enrollment documents (enrollment form, copy of
proof of age, copies of proof of address, etc.)
►Elementary school state assessment test scores
(ISAT Parent Report)
►ISBE good standing form
►English Language Learner (ELL) File
33
Records to Included in the
Student’s CUMULATIVE FOLDER?
(continued)
While this list is not all-inclusive, records that should be
included in the student’s Cumulative Folder include the
following:
►Home
Language Survey (if no ELL File)
►Personal
Learning Plans
►Racial
Ethnic Surveys (students enrolling after
4/21/10)
►Promotion
Policy Acknowledgment/Review
Request Forms
►Consent
Forms (Media, Network Use)
34
Student Records with the
SAME RETENTION as
CUMULATIVE FOLDERS
If these records are not kept in the student’s
Cumulative Folders, they still need to be
retained based on the student’s date of birth:
► Misconduct/Student Discipline Files
► Student Truancy Files
► Service Learning Files (High Schools)
► Counseling, Case Manager, and
Social Worker Files
35
Records that SHOULD NOT be Included
in the Student’s CUMULATIVE FOLDER

Documents that should not be included in the
student’s Cumulative Folder include the following:
► Registration Card
► Health Record
► Accident Reports
► Transcripts (includes original
printed Elementary School Transcripts)
► Student Work (reading, writing, math
worksheets, non-standardized tests, colorings/
drawings, other student “work folders”)
Note: These materials may be returned to the student
or parent/guardian.
36
I still need to print copies of the
student’s IEP and file it in the
student’s Special Ed Folder.
37
STUDENT RECORDS – ADDITIONAL
REMINDERS

All schools must continue to maintain paper
student records as they have done in the past.
1. Maintain records in a safe, secure location.
2. Records should be labeled in file folders and
organized in filing cabinets in alphabetical
order.
3. Keep records confidential.
4. Forward original paper records to receiving
CPS schools when students transfer within
CPS.
38
STUDENT RECORDS –
ADDITIONAL REMINDERS
Why do we still need paper records?




Sometimes, the paper record is required
(examples – IEP, ELL)
Sometimes, the paper record is the only record
that exists (examples – Registration Card,
Cumulative Card)
Sometimes paper records have original
signatures or handwritten information included
(examples – IEP, Health Record)
Paper is a more stable format for long-term
record retention (example – Transcripts, Other
Student Records)
39
STUDENT RECORDS –
ADDITIONAL REMINDERS
The official, complete student record for
active students consists of the paper
Transcript, Cumulative Record including ELL
File, Special Education Record, Health
Record, any additional paper student records,
Cumulative Card and Registration Card (when
applicable), PLUS the information generated
in IMPACT.
+
=
Official, Complete
2007-Present
Student Record
40
STUDENT RECORDS – ADDITIONAL
REMINDERS

Annually on or before June 30, all schools must print
from IMPACT and properly maintain student Transcripts.
Elementary Schools
► Are required to print the Elementary School
Transcript (formerly IMPACT Cumulative Record)
from IMPACT/SIM for 1) all 8th graders (or highest
grade at the school), 2) withdraws, and 3)
overage students going to an achievement
academy.
► Printed Elementary School Transcripts must
be stored in the school vault or other
designated, secure location (not in
Cumulative Folders).
41
STUDENT RECORDS – ADDITIONAL
REMINDERS
UPDATE:
Elementary Schools
► Schools were given a final opportunity to print
the 2008 and 2009 ES Transcripts from the
principal’s REA website during November 2010.
All schools should have printed and filed their
2008 and 2009 ES Transcripts at this time.
► Schools with a grade structure that does not go
as high as eighth grade will be sent their ES
Transcripts for the highest grade at their schools
for 2008 and 2009 separately.
42
STUDENT RECORDS – ADDITIONAL
REMINDERS
►Elementary schools will not be given a second
chance to print any ES Transcripts in the future.
►Instructions for printing the ES Transcripts from
IMPACT/SIM will be sent to schools at the end of
each school year. Be on the lookout for them! If
you don’t receive the instructions by early June,
call Susan Izban (773-553-1679).
►ES Transcripts must be printed during the
designated window of time.
Printing must be completed on or
before June 30 of each school year.
43
STUDENT RECORDS – ADDITIONAL
REMINDERS
High Schools
► Are required to print the High School
Transcripts as was done in prior school
years.
► HS Transcripts must be printed during the
designated window of time. Printing must
be completed on or before June 30 of
each school year.
► High schools should still be using the
yellow Transcript Envelopes to store
printed HS Transcripts.
44
If a student withdrew from my
school last year, I can still access
the student’s Transcript in SIM.
45
STUDENT RECORDS – ADDITIONAL
REMINDERS
Any elementary or high school that does not print
their applicable Transcripts beginning at the time
schools are instructed through June 30
► Will be out of compliance with the legal
requirement to maintain this permanent record
for each student
► Will not be able to access the student
information in IMPACT once the students are
no longer enrolled in the school after June 30.
46
STUDENT RECORDS – ADDITIONAL
REMINDERS

All schools are required to distribute the Notice of
Student Record Retention and Disposal (available
on CEdO and emailed to schools in the spring) to all
graduating and withdrawing students (include this
notice in the graduation packet, distribute
individually, etc.).

The report card and diploma are the only records
8th graders should receive on the last day of school.
Schools should no longer automatically provide
copies of other student records to students/parents
to take home.
47
STUDENT RECORDS – ADDITIONAL
REMINDERS

Elementary schools (except for Multi-Tracks) no longer
need to complete new or update existing Registration and
Cumulative Cards, however
► When Registration Cards exist for students, they
must be maintained as the student permanent record
in the school until they are sent to offsite storage.
► When Cumulative Cards exist for students, they must
be maintained in the student Cumulative Folders until
the folders are either transferred to another CPS
school or are transferred to offsite storage.
► Multi-Track schools must continue to complete
Registration Cards and Cumulative Cards until
further notice.
48
TRANSFERRING STUDENT RECORDS
49
A. Student’s Parent
B. Out of State School
C. Another CPS School
D. Private School in Chicago
C. Another CPS School
50
Procedures for TRANSFERRING Student
Records from a CPS SCHOOL to
ANOTHER CPS SCHOOL (not including
charter schools)
Active student records including the original Cumulative
Record, Special Education Record, English Language
Learner File, and Health Record should still follow the
student throughout the CPS system.
51
No. Registration Cards and the printed
Elementary School Transcript do not follow
the student. These remain at the school
where they were originally prepared/printed.
52
Other RECORD TRANSFER
Procedures

Schools receiving a transferring student should still
request the student’s records from the student’s former
school.

If a CPS school sends student records to another CPS
school, the sending school should document the
records that were sent, the name of the receiving
school and contact person, and the date the records
were sent.

Schools receiving records for transferring students
should review the records as soon as possible and
store them properly. Records received in error should
be returned to the sending school.
53
Transferring 8th GRADE RECORDS to
High Schools

Paper student records are still important and
necessary to the student’s education!

In the spring, elementary schools will receive
instructions on transferring 8th grade records to high
schools in the fall. Schools should not transfer
records based on projected enrollment.
54
Transferring 8th GRADE RECORDS to
High Schools

Schools will receive a short survey in the near future
regarding the 2010 8th grade record transfer process.

One step we will stress to schools in 2011 is to use the
Distribution Fax Back Form when sending records
to prevent records from becoming lost.
55
Procedures for TRANSFERRING
Student Records to CHICAGO
CHARTER SCHOOLS

If a charter school requests a student’s records, the
CPS school should make a copy of the records.

The CPS school should keep the copy of the record
and send the original to the charter.
56
Procedures for TRANSFERRING Student
Records to an Authorized Individual OUTSIDE
OF CPS (i.e. an out-of-district school,
authorized agent of the parent, etc.)

Schools should make a copy of the requested student’s
records. Schools may also need to print information
from IMPACT to ensure the student record is complete.

Schools should forward the copy to the requesting
school, authorized agent, etc. and keep the original.
57
RECORDS Schools Should Keep to
Document the RELEASE of Student
Records
Schools are required to maintain a record of
release of student information that includes
1) The specific records released;
2) Name and signature of the CPS school’s official
records custodian;
3) Name and title of the person requesting the
record (also include entity/organization);
4) Purpose of the request;
5) Date of record release; and
6) Copy of any consent to release records.
58
Maintaining the LOG/RECORD OF
RELEASE of Student Records

Schools are required to maintain a record of release
of student records permanently.

Schools maintaining logs electronically
must print them at the end of each semester.

Schools may maintain the printed log/
record of release of student records
in a binder, notebook, or chronological file.

The log/record of release of student records
is a permanent record and therefore should
never be destroyed or become inaccessible.
59
Obtaining Student Records from
Schools that have CLOSED

Records from the schools that have closed are
being stored at CPS offsite storage.

Requests for student records can be sent
through CPS Distribution/Mail Run to Kina
White or Susan Izban (GSR # 125, 7th
Floor/Law Department), by email to
[email protected] or
[email protected], or by faxing to 5531703.
60
NEED MORE INFORMATION?
Contact us!

Susan Izban:
(773) 553-1679
[email protected]
us

Kina White:
(773) 553-1593
[email protected]
Fax
(773) 553-1703

61

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