RECORDS MANAGEMENT ELEMENTARY AND HIGH SCHOOL COUNSELORS

RECORDS MANAGEMENT CONTACTS  Susan Izban: (773)  Kina White: (773)  Fax (773)

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 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

10 I should have called the Law Department! Unemployment Line

FINDING YOUR WAY … 11

FINDING YOUR WAY … 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 … FINDING YOUR WAY … Once you know what you have, contact Kina White ( ) or Susan Izban ( ) 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 14 Chicago Public Schools Records Management Manual Fourth Edition The Manual is available at Departments/Documents/RecordsManagementManual.pdf

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MANAGING INACTIVE RECORDS 16 Proper Record DisposalProper Offsite Storage

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 TRANSCRIPT

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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

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

ARRANGING STUDENT RECORDS FOR STORAGE SAMPLE: If you have Cumulative Records at your school for students born between that total 6 boxes, you may have boxes divided up as follows: a) DOB students with last names Abr-Mon b) DOB students with last names Net-Zeb c) DOB students with last names Ada-Fra d) DOB students with last names Gab-Ren e) DOB students with last names Smy-Zon f) DOB students with last names Alb-Wil 26

MANAGING INACTIVE RECORDS 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 IIIIIIIIIIIIIII SCHOOL ABR-DRA

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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 ( ) for student records ► Kina White ( ) or Susan Izban ( ) 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 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 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

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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

39 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)

40 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 + =

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 8 th 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 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 ( ). ► 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

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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

STUDENT RECORDS – ADDITIONAL REMINDERS All schools are required to distribute the Notice of Student Record Retention and Disposal (available on CEdO and ed 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 8 th 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 8 th 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 8 th grade records to high schools in the fall. Schools should not transfer records based on projected enrollment. 54

Transferring 8 th GRADE RECORDS to High Schools Schools will receive a short survey in the near future regarding the th 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 to or or by faxing to

61  Susan Izban: (773) us  Kina White: (773)  Fax (773) Contact us! NEED MORE INFORMATION?