Presentation is loading. Please wait.

Presentation is loading. Please wait.

Recommended Best Practices for Admissions & Academic Records Maintenance in Law Schools AACRAO - SAN FRANCISCO 2013 SESSION 774 presented by Chris Butzen,

Similar presentations


Presentation on theme: "Recommended Best Practices for Admissions & Academic Records Maintenance in Law Schools AACRAO - SAN FRANCISCO 2013 SESSION 774 presented by Chris Butzen,"— Presentation transcript:

1 Recommended Best Practices for Admissions & Academic Records Maintenance in Law Schools AACRAO - SAN FRANCISCO 2013 SESSION 774 presented by Chris Butzen, Registrar Loyola Law School Jerri Cunningham, Registrar Baylor Law School Ken Pokrowski, Assistant Dean of Academic Records & Research Fordham Law School Colleen Timmons, Assistant Dean, Academic Services Tulane University School of Law

2

3 Purpose: The purpose of this policy is to ensure that necessary records and documents are adequately protected and maintained and to ensure that records that are no longer needed or of no value are discarded at the appropriate time. We should consider the following in developing a record retention policy: A record is deemed to have-- 1.Administrative value 2.Fiscal value 3.Legal value 4.Historical/research value If the retention period of a record exceeds five years, and especially if the retention period is to be either indefinite or permanent attention must be paid to the longevity and quality of the medium on which the record is stored. Recommended Best Practices for Admissions & Records Maintenance in Law Schools

4  Keep as little as possible.  Do not keep copies of records that are maintained by an office that created the record.  Records retention policies and procedures for any particular record type must be consistent.  Records that identify a person are more subject to direct legal action than statistical or generic records; therefore, retention and disposal of these records require priority attention.  Records, which have been contested, should never be destroyed unless the ability to reconstruct them in legally acceptable form is preserved. The destruction of permanent records should cease once litigation commences.  Retention and disposal policies should include provisions for machine-readable records, which can be accessed only with specific technology.  Any record recommended for permanent retention should be imaged for security (current PDF).  The retention periods recommended above are based on the fact that essential data will be recorded on academic records which are retained permanently. Principles Governing Records Retention and Disposal

5 The majority of e-discovery is performed against system and data. E-discovery has become the de facto standard for prima facie evidence and affirmative defense in litigation or investigative matters. One case custodian had to print over 200,000 s. archiving solutions are a great way to manage your . A good archiving solution will automatically keep what you want and remove what you do not want. Know what you own and where the data is stored, who has access and control of it, its value and, if there is no value why is it being kept? School value, statutory and regulatory requirements must drive the definition and ongoing maintenance of your retention policies. Do you review you electronic files as you did the hard-copy files Ensure that data that does not provide school value – or that is not subject to legal, compliance retention or preservation requirements – is disposed of quickly and properly. New source code – can it read the old source code? Save s Electronic Discovery

6 Retention Schedule A: Admissions Data/Documents for Applicants Who Enter Records Series TitleDescription AACRAO Recommendation Retention Current Recommended Retention ImageNote Admission LettersNotices of admission 5 years after graduation or non- attendance Permanent Destroy as part of degree audit Yes LSAC Recommendation:Mai ntain complete copies of all law school application records throughout the admission cycle and the law school career. Denial and Waitlist Notifications 5 years after graduation or non- attendance 2 yearsCurrent retentionNo LSAC Recommendation: Records for those who do not enroll are maintained for only one calendar year. Admission response/deposit form None Destroy before files are transferred to OTR Current retentionNo Applications for admission or readmission 5 years after graduation Permanent Yes Correspondence, relevant 5 years after graduation PermanentAACRAO standardYes

7 Records Series TitleDescription AACRAO Recommendation Retention Current Recommended Retention ImageNote Letters of recommendation Until admitted Destroy before files are transferred to OTR Current retentionNo Letters of recommendation not accompanied by waivers may be viewed by the student. It is recommended that these letters be destroyed after admission of the students. Waiver of rights of access should be retained as long as the file is retained. Personal statementNonePermanent Yes ResumesNone Destroy before files are transferred to OTR Current retentionNo Student waivers for rights of access to see letter of recommendation for admission Until terminated Destroy before files are transferred to OTR Current retentionNo Retention Schedule A: Admissions Data/Documents for Applicants Who Enter

8 Records Series TitleDescription AACRAO Recommendation Retention Current Recommended Retention ImageNote Test scores LSAT 5 years after graduation or date of last attendance PermanentAACRAO StandardYes LSAC Recommendation: Maintain complete copies of all law school application records throughout the admission cycle and the law school career. Transcripts – reflecting earned degree 5 years after graduation non- attendance Permanent 5 years after graduation non- attendance Yes LSAC Recommendation; Maintain complete copies of all law school application records throughout the admission cycle and the law school career. Some debate as to maintaining hard copy vs scanned copy Military records 5 years after graduation non- attendance PermanentAACRAO standardYes Handwriting samplePart of LSATNonePermanentCurrent retentionYes Transcript UnofficialPart of LSATNone Destroy before files are transferred to OTR No Retention Schedule A: Admissions Data/Documents for Applicants Who Enter

9 Retention Schedule B: Student Academics Records Records Series TitleDescription AACRAO Recommendation Retention Current Recommended Retention ImageNote Academic action authorizations (dismissal, etc.) 5 years after graduation or date of last attendance Permanent Yes Academic action authorizations (dismissal, etc.) Academic recordsPermanent Current RetentionYesAcademic records Address update formNoneDestroy immediatelyCurrent RetentionNoAddress update form Applications for graduation 1 year after graduation or date of last attendance N/A Students do not apply for graduation Applications for graduation Applications for admission or readmission 5 years after graduation or date of last attendance PermanentCurrent RetentionYes Applications for admission or readmission Audit authorizations 1 year after date submitted N/A Current students cannot audit classes Audit authorizations Changes of course (add/drop) 1 year after date submitted Next like termCurrent RetentionYes With online registration there are few Add/Drop forms Changes of course (add/drop) Change of grade forms PermanentAACRAO Standard Yes Change of grade forms

10 Retention Schedule B: Student Academics Records Records Series TitleDescription AACRAO Recommendation Retention Current Recommended Retention ImageNote Class lists (original grade sheets) PermanentN/A No Same as grade rosters Class lists (original grade sheets) Class schedules (students') 1 year after graduation or date of last attendance N/A Same as transcript Class schedules (students') Correspondence, relevant 5 years after graduation or date of last attendance Destroy as part of degree audit Current RetentionYes Correspondence, relevant Correspondence, probation form letters None Destroy as part of degree audit Current RetentionYes Correspondence, probation form letters Correspondence, disqualification 5 years after graduation or date of last attendance PermanentCurrent RetentionYes Transcript notes the disqualification Correspondence, disqualification Curriculum change authorizations JD/MBA and 3.5 Program 5 years after graduation or date of last attendance AACRAO Standard YesNoted on transcript Curriculum change authorizations JD/MBA and 3.5 Program Degree audit records 5 years after graduation or date of last attendance 3 months after graduation NoAvailable onlineDegree audit records Disciplinary action documents See note 1Permanent Yessee note 1 Disciplinary action documents

11 Retention Schedule B: Student Academics Records Records Series TitleDescription AACRAO Recommendation Retention Current Recommended Retention ImageNote Grade reports (registrar's copies) 1 year after date distributed None Yes The same information should be on students’ transcripts Grade reports (registrar's copies) Hold or encumbrance authorizations Until releasedAACRAO Standard No Hold or encumbrance authorizations Incomplete requestNone Destroy when the’ I’ grade is changed to a permanent grade Destroy when the ‘I ‘grade is changed to a permanent grade YesIncomplete request Leave of absenceNonePermanent Destroy as part of degree audit Yes This information is printed on the students’ transcript Leave of absence Letters of good standing None Destroy as part of degree audit Yes Recorded in Office Log Letters of good standing Grade reports (registrar's copies) 1 year after date distributed None Yes The same information should be on students’ transcripts Grade reports (registrar's copies) Name change authorizations 5 years after graduation or date of last attendance PermanentCurrent PracticeYes Name change authorizations Registration forms 1 year after date submitted Destroy next like term Current PracticeYes Only Auditors and Visitors use a Registration Form Registration forms

12 Retention Schedule B: Student Academics Records Records Series TitleDescription AACRAO Recommendation Retention Current Recommended Retention ImageNote Social Security number change documentation NonePermanentCurrent PracticeYes SSN changes are recorded permanently in the Student Administrative System Social Security number change documentation Transcript requests (student) 1 year after date submitted AACRAO Standard Yes Not retained in students’ folders Transcript requests (student) Transfer credit evaluations 5 years after graduation or date of last attendance Permanent Destroy as part of degree audit Yes Transfer credit evaluations Withdrawal authorizations 2 years after graduation or date of last attendance PermanentCurrent PracticeYes Withdraws are noted on transcripts Withdrawal authorizations Visiting students’ applications (accepted) 1 year after application term Permanent Yes Visiting students’ applications (accepted) Visiting students’ applications (rejected) 1 year after application term Same semester No Visiting students’ applications (rejected) Visiting Students’ letters of good standing 1 year after application term Permanent Destroy as part of degree audit Yes Visiting Students’ letters of good standing 1.Disciplinary-action documents should be retained while in force and should be in a file separate from the student's academic records.

13 Retention Schedule C: Certification Data/Documents Records Series Title AACRAO Recommendation Retention Current Recommended RetentionABAImageNote Bar certificationsNone Kept permanently if there is a reportable incident All certifications keep for one year; keep reportable incident certifications permanently Yes Enrollment verifications 1 year after verification AACRAO Yes Using the Clearinghouse Social security certification 1 year after certification AACRAO Standard Yes Veterans Administration certifications 3 years after graduation or date of last attendance AACRAO Standard Yes

14 Retention Schedule D: Publications, Statistical Data/Documents, and Institutional Reports Records Series Title AACRAO Recommendation Retention Current Recommended Retention ABAImageNote Handbook/Catal og PermanentAACRAO Standard No Bound copies are maintained in the OTR and in the Archive Section the Library Census day statistics (Lock- on, fall reporting) NonePermanent No (Should be imaged) If not already, a copy should be maintained in the Archive Section of the Library Commencement program PermanentAACRAO Standard No Bound copies are maintained in the Office of the Registrar and the Archive Section of the Library. The Development Office also maintains copies Degree statisticsPermanentAACRAO Standard Yes Maintained ins a separate database Enrollment statistics PermanentAACRAO Standard YesPart of ABA Annual Report

15 Retention Schedule D: Publications, Statistical Data/Documents, and Institutional Reports Records Series Title AACRAO Recommendation Retention Current Recommended Retention ABAImageNote Faculty evaluations None10 Years Yes Summary Only. Original evaluations are given to the faculty once their grades are submitted. Copies are maintained in the Library for student use Grade statisticsPermanentNone We do not maintain grade statistics Racial/ethnic statistics PermanentAACRAO Standard NoPart of ABA Annual Report Schedule of classes PermanentAACRAO Standard No Bound copies are maintained by the Office of the Registrar and also in the Archive Section of the Library

16 Retention Schedule E: Family Educational Rights and Privacy Act Data/Docs Representative FERPA Data/Documents AACRAO Retention Current Retention Recommended ImageNote: Representative FERPA Data/Documents Requests for formal hearings Life of affected record PermanentAACRAO StandardYes Requests for formal hearings Requests and disclosures of personally identifiable information Life of affected records PermanentAACRAO StandardYes Requests and disclosures of personally identifiable information Students requests for nondisclosure of directory information 1 year after date submitted if so indicated in the college's policy statement AACRAO Standard Destroy as part of degree audit Yes Student decision on SSS Students requests for nondisclosure of directory information Student statements on content of records regarding hearing panel decisions Life of affected record PermanentPemanentYes Student statements on content of records regarding hearing panel decisions Student's written consent for records disclosure Until termination by the student or life of affected record PermanentAACRAO StandardYes Student's written consent for records disclosure Waivers for rights of access Until terminated by the student or life of affected record PermanentAACRAO StandardYes Waivers for rights of access Written decisions of hearing panels Life of affected record PermanentCurrent PraticeYes Written decisions of hearing panels

17 Retention Schedule F: Examinations Representative Examination Document AACRAO Retention Current Retention Recommended ABAImageNote: Examination Questions None Varies can be up to one year – faculty discretion 1 YearNo Examination Blue Books and Virtual Blue Book None 1 year – If not released to students 1 yearNo Recommend maintaining record in a permanent file if honor code or grade appeal issue if filed Examination Verification Form NoneNext like semester No Examination Student Rosters NoneNext like semester No Examination Supplements NoneNo Examination Seating Charts NoneNext like semester Rescheduled Exam NoneNext like semester NoRecorded in SSS

18 Retention Schedule F: Examinations Representative Examination Document AACRAO Retention Current Retention Recommended ABAImageNote: Examination Instruction Sheets NoneNext like semester No Scantron Examination Answer Sheet None1 year NoRequirement Sworn Statement for Late Examinations NoneNext like semester NoRecorded in SSS Sworn Statements for an early exam NoneNext like semester No

19 Retention Schedule G: Accreditation, LSSSE, ABA Annual Questionnaire, Law School Admissions Council Representative Examination Document AACRAO Retention Current Retention Recommended ABAImageNote: Accreditation Reports None Last Three Accreditation Reports Current PolicyNoneNo Kept in the Dean’s Office Law School Survey of Student Engagement NoneGraduation CycleCurrent PolicyNoneNoHard Copy ABA Annual Questionnaire None Until Next ABA Accreditation Report is Completed Current PolicyNoneNo Hard Copy and ABA On-Line Website

20 Retention Schedule G: Accreditation, LESSE, ABA Annual Questionnaire, Law School Admissions Council Representative Examination Document AACRAO Retention Current Retention Recommended ABAImageNote: LSAC Candidate Files (online LSAC.org Account Profile, Transcripts, LSAT Scores, Recommender Data and LORs). Five Years as of the Last Financial Transaction with LSAC. LSAC Copies of LSAT scores and writing samples. Ten Years from the Candidate’s Last LSAT Test Date LSAC Electronic Applications Available in Aces2 for Five Years

21

22 Retention Schedule H: Student Data ABA Site Evaluation: Entering Students Field DescriptionRequired/OptionalMax Character LengthValid ValuesComments Type IndicatorRequired1E (entering) Student IDRequired15Must be unique for all students, but does not need to be SSN) Current/Prior Year Indicator Required1C (current) College DegreeRequired60ABA looking for baccalaureate degree College MajorRequired40Baccalaureate major Entering classRequired1F (fall) W (winter/spring) S (summer) UGPARequired4Range LSATRequired3Range Full-Time/Part-Time Indicator Required2F (full time) or P (part time) Last NameOptional20While not required, inclusion may be extremely helpful First NameOptional20While not required, inclusion may be extremely helpful RemarksOptional-

23 Retention Schedule I: Student Data ABA Site Evaluation: Transfer Students Field DescriptionRequired/OptionalMax Character LengthValid ValuesComments Type IndicatorRequired1T (transfer) Student IDRequired15Must be unique for all students, but does not need to be SSN) Current/Prior Year Indicator Required1E (entering) or P (prior)Current year and prior academic year UGPARequired4Range LSATRequired3Range Full-Time/Part-Time Indicator Required2F (full time) or P (part time) Transfer Law School GPARequired4Range GPA of law school transferred from Transfer Credit HoursRequired3Number of credit hours accepted by law school transferred into) Law School (transferred from) Required60 Last NameOptional20While not required, inclusion may be extremely helpful First NameOptional20While not required, inclusion may be extremely helpful RemarksOptional-

24 Retention Schedule J: Student Data ABA Site Eval: Readmitted Students Field DescriptionRequired/OptionalMax Character LengthValid ValuesComments Type IndicatorRequired1R (readmitted) Student IDRequired15Must be unique for all students, but does not need to be SSN) Current/Prior Year Indicator Required1E (entering) or P (prior)Current year and prior academic year UGPARequired4Range LSATRequired3Range Full-Time/Part-Time Indicator Required2F (full time) or P (part time) Law School GPARequired4Range GPA of law school if given advanced standing Last NameOptional20While not required, inclusion may be extremely helpful First NameOptional20While not required, inclusion may be extremely helpful RemarksOptional-

25 Combined first time results for Winter AND Summer administrations. This data must be provided for the most recently completed calendar year and the four prior calendar years. Total 5 calendar years. The school must account for at least 70% of its graduates who took the bar exam for the first time in each of the respective calendar years Determining 70% of first-time takers A.Total number of J.D. in most recent graduating class (Include August and December graduates from previous year) B.Number of most recent graduating class who did NOT take the bar exam in that year. Subtract B from A. C.Number of graduates who took the bar exam for the first time in the current year. After subtracting B from A, add C to the result. D.Multiply the result in C (A minus B plus C) by 70% (0.7) Retention Schedule K: Bar Passage Data – ABA Site Eva

26 A.Total number of 2012 J.D. graduates = 250 B.Total number of 2012 J.D. graduates who did NOT take the bar exam = 30 C.Subtract 30 from 250 = 220 D.Number of previous year graduates (2011 and earlier) who DID take the bar exam for the first time in 2012 = 25 E.Add 25 to 220 = 245 F.70% of 245 = 172 Determining 70% of first-time takers - Example

27 Retention Schedule L: Course Data Field DescriptionRequired/OptionalMax Character LengthValid ValuesComments Course CodeOptionalStrongly recommended to complete all fields especially divisions SectionOptionalStrongly recommended to complete all fields especially divisions Course TitleRequired DivisionOptionalStrongly recommended to complete all fields especially divisions TermRequired Credit HoursRequired0.9, 0.90, 9.9, 9.99, 99.9 and Number of StudentsRequired

28 Retention Schedule M:Regional Accreditors & State Law Many of the records you keep for other reasons/uses (ABA reporting, FERPA recommended, etc.) may also satisfy requirements of regional accreditors and state law. Examples: Statistical Reports for Graduation List of Curricular Offerings Records that satisfy reporting needs of regional accreditors. Example: SACS Learning Outcomes State Reporting Requirements Public or Private Institution? Private: Education may not be required to report same as state Both: Look to state department of education. If unsure, look to your general counsel.

29 References CompanyPublicationAuthors AACRAO’s Retention of Records Guide for Retention and Disposal of Student Records Dell Software Stop Taking the Heat – Six Steps to Avoid the e-Discovery Inferno Keri Farrell and Kyle Hetherington Dell Software Retention GuideKeri Farrell and Kyle Hetherington AACRAO’s The Registrar’s Guide Evolving Best Practices in Records and Registration Barbara Lauren, PH.D., J.D.. Editor Jossey-BassThe FERPA Answer BookAileen Gelpi, Esq and Clifford A. Ramirez

30 Questions / Comments


Download ppt "Recommended Best Practices for Admissions & Academic Records Maintenance in Law Schools AACRAO - SAN FRANCISCO 2013 SESSION 774 presented by Chris Butzen,"

Similar presentations


Ads by Google