Recommended Best Practices for Admissions & Academic Records Maintenance in Law SchoolsAACRAO - SAN FRANCISCO

2013SESSION 774

presented by

Chris Butzen, RegistrarLoyola Law School

Jerri Cunningham, RegistrarBaylor Law School

Ken Pokrowski, Assistant Dean of Academic Records & ResearchFordham Law School

Colleen Timmons, Assistant Dean, Academic ServicesTulane University School of Law

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

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

The majority of e-discovery is performed against email 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 emails.

Email archiving solutions are a great way to manage your email. 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 emails

Electronic Discovery

Retention Schedule A: Admissions Data/Documents for Applicants Who EnterRecords Series Title Description AACRAO Recommendation Retention Current Recommended Retention Image Note

Admission Letters Notices of admission 5 years after graduation or non-attendance Permanent Destroy as part of degree audit YesLSAC Recommendation:Maintain 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 years Current retention NoLSAC 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 retention No

Applications for admission or readmission 5 years after graduation Permanent Permanent YesCorrespondence, relevant 5 years after graduation Permanent AACRAO standard Yes

Records Series Title Description AACRAO Recommendation Retention Current Recommended Retention Image Note

Letters of recommendation Until admitted Destroy before files are transferred to OTR Current retention No

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 statement None Permanent Permanent YesResumes None Destroy before files are transferred to OTR Current retention NoStudent waivers for rights of access to see letter of recommendation for admission Until terminated Destroy before files are transferred to OTR Current retention No

Retention Schedule A: Admissions Data/Documents for Applicants Who Enter

Records Series Title Description AACRAO Recommendation Retention Current Recommended Retention Image Note

Test scores LSAT 5 years after graduation or date of last attendance Permanent AACRAO Standard YesLSAC 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 YesLSAC 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 Permanent AACRAO standard YesHandwriting sample Part of LSAT None Permanent Current retention YesTranscript Unofficial Part of LSAT None Destroy before files are transferred to OTR

Destroy before files are transferred to OTR No

Retention Schedule A: Admissions Data/Documents for Applicants Who Enter

Retention Schedule B: Student Academics RecordsRecords Series Title Description AACRAO Recommendation Retention Current Recommended Retention Image Note

Academic action authorizations (dismissal, etc.) 5 years after graduation or date of last attendance Permanent Permanent Yes Academic action authorizations (dismissal, etc.)Academic records Permanent Permanent Current Retention Yes Academic recordsAddress update form None Destroy immediately Current Retention No Address update formApplications for graduation 1 year after graduation or date of last attendance N/A N/A N/A Students do not apply for graduation Applications for graduationApplications for admission or readmission 5 years after graduation or date of last attendance Permanent Current Retention Yes Applications for admission or readmissionAudit authorizations 1 year after date submitted N/A N/A N/A Current students cannot audit classes Audit authorizationsChanges of course (add/drop) 1 year after date submitted Next like term Current Retention Yes With online registration there are few Add/Drop forms Changes of course (add/drop)Change of grade forms Permanent AACRAO Standard AACRAO Standard Yes Change of grade forms

Retention Schedule B: Student Academics RecordsRecords Series Title Description AACRAO Recommendation Retention Current Recommended Retention Image Note

Class lists (original grade sheets) Permanent N/A N/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 N/A 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 Retention Yes Correspondence, relevantCorrespondence, probation form letters None Destroy as part of degree audit Current Retention Yes Correspondence, probation form lettersCorrespondence, disqualification 5 years after graduation or date of last attendance Permanent Current Retention Yes Transcript notes the disqualification Correspondence, disqualificationCurriculum change authorizations JD/MBA and 3.5 Program

5 years after graduation or date of last attendance AACRAO Standard AACRAO Standard Yes Noted on transcript Curriculum change authorizations JD/MBA and 3.5 ProgramDegree audit records 5 years after graduation or date of last attendance 3 months after graduation 3 months after graduation No Available online Degree audit recordsDisciplinary action documents See note 1 Permanent Permanent Yes see note 1 Disciplinary action documents

Retention Schedule B: Student Academics RecordsRecords Series Title Description AACRAO Recommendation Retention Current Recommended Retention Image Note

Grade reports (registrar's copies) 1 year after date distributed None None Yes The same information should be on students’ transcriptsGrade reports (registrar's copies)

Hold or encumbrance authorizations Until released AACRAO Standard AACRAO Standard No Hold or encumbrance authorizationsIncomplete request None Destroy when the’ I’ grade is changed to a permanent grade

Destroy when the ‘I ‘grade is changed to a permanent grade Yes Incomplete requestLeave of absence None Permanent Destroy as part of degree audit Yes This information is printed on the students’ transcript Leave of absenceLetters of good standing None None Destroy as part of degree audit Yes Recorded in Office Log Letters of good standingGrade reports (registrar's copies) 1 year after date distributed None 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 Permanent Current Practice Yes Name change authorizationsRegistration forms 1 year after date submitted Destroy next like term Current Practice Yes Only Auditors and Visitors use a Registration Form Registration forms

Retention Schedule B: Student Academics RecordsRecords Series Title Description AACRAO Recommendation Retention Current Recommended Retention Image Note

Social Security number change documentation None Permanent Current Practice Yes SSN changes are recorded permanently in the Student Administrative SystemSocial Security number change documentation

Transcript requests (student) 1 year after date submitted AACRAO Standard 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 evaluationsWithdrawal authorizations 2 years after graduation or date of last attendance Permanent Current Practice Yes Withdraws are noted on transcripts Withdrawal authorizationsVisiting students’ applications (accepted) 1 year after application term Permanent Permanent Yes Visiting students’ applications (accepted)Visiting students’ applications (rejected) 1 year after application term Same semester 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 standing1. Disciplinary-action documents should be retained while in force and should be in a file separate from the student's academic

records.

Retention Schedule C: Certification Data/DocumentsRecords Series Title AACRAO Recommendation Retention Current Recommended Retention ABA Image Note

Bar certifications None 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 AACRAO Yes Using the ClearinghouseSocial security certification 1 year after certification AACRAO Standard AACRAO Standard YesVeterans Administration certifications 3 years after graduation or date of last attendance AACRAO Standard AACRAO Standard Yes

Retention Schedule D: Publications, Statistical Data/Documents, and Institutional ReportsRecords Series Title AACRAO Recommendation Retention Current Recommended Retention ABA Image Note

Handbook/Catalog Permanent AACRAO Standard AACRAO Standard No Bound copies are maintained in the OTR and in the Archive Section the LibraryCensus day statistics (Lock-on, fall reporting) None Permanent Permanent No (Should be imaged) If not already, a copy should be maintained in the Archive Section of the LibraryCommencement program Permanent AACRAO Standard AACRAO Standard No

Bound copies are maintained in the Office of the Registrar and the Archive Section of the Library. The Development Office also maintains copiesDegree statistics Permanent AACRAO Standard AACRAO Standard Yes Maintained ins a separate databaseEnrollment statistics Permanent AACRAO Standard AACRAO Standard Yes Part of ABA Annual Report

Retention Schedule D: Publications, Statistical Data/Documents, and Institutional ReportsRecords Series Title AACRAO Recommendation Retention Current Recommended Retention ABA Image Note

Faculty evaluations None 10 Years 10 YearsYesSummary Only. Original evaluations are given to the faculty once their grades are submitted.

Copies are maintained in the Library for student use

Grade statistics Permanent None None We do not maintain grade statistics

Racial/ethnic statistics Permanent AACRAO Standard AACRAO Standard No Part of ABA Annual Report

Schedule of classes Permanent AACRAO Standard AACRAO Standard No Bound copies are maintained by the Office of the Registrar and also in the Archive Section of the Library

Retention Schedule E: Family Educational Rights and Privacy Act Data/DocsRepresentative

FERPA Data/Documents

AACRAORetention

CurrentRetention

RecommendedImage Note:

Representative FERPA

Data/Documents

Requests for formal hearings Life of affected record Permanent AACRAO Standard Yes Requests for formal hearingsRequests and disclosures of personally identifiable information Life of affected records Permanent AACRAO Standard Yes Requests and disclosures of personally identifiable informationStudents requests for nondisclosure of directory information1 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 informationStudent statements on content of records regarding hearing panel decisionsLife of affected record Permanent Pemanent Yes

Student statements on content of records regarding hearing panel decisionsStudent's written consent for records disclosureUntil termination by the student or life of affected record Permanent AACRAO Standard Yes Student's written consent for records disclosure

Waivers for rights of access Until terminated by the student or life of affected record Permanent AACRAO Standard Yes Waivers for rights of accessWritten decisions of hearing panels Life of affected record Permanent Current Pratice Yes Written decisions of hearing panels

Retention Schedule F: ExaminationsRepresentati

ve Examination Document

AACRAORetention Current

Retention

RecommendedABA Image Note:

Examination Questions

NoneVaries can be up to one year – faculty discretion

Varies can be up to one year – faculty discretion

1 Year No

Examination Blue Books and Virtual Blue Book

None1 year – If not released to students

1 year – If not released to students

1 year No

Recommend maintaining record in a permanent file if honor code or grade appeal issue if filed

Examination Verification Form

None Next like semester Next like semester No

Examination Student Rosters

None Next like semester Next like semester No

Examination Supplements

None No

Examination Seating Charts

None Next like semester Next like semester

Rescheduled Exam

None Next like semester Next like semester No Recorded in SSS

Retention Schedule F: ExaminationsRepresentati

ve Examination Document

AACRAORetention Current

Retention

RecommendedABA Image Note:

Examination Instruction Sheets

None Next like semester Next like semester No

Scantron Examination Answer Sheet

None 1 year 1 year 1 year No Requirement

Sworn Statement for Late Examinations

None Next like semester Next like semester No Recorded in SSS

Sworn Statements for an early exam

None Next like semester Next like semester No

Retention Schedule G: Accreditation, LSSSE, ABA Annual Questionnaire, Law School Admissions CouncilRepresentati

ve Examination Document

AACRAORetention Current

Retention

RecommendedABA Image Note:

Accreditation Reports

NoneLast Three Accreditation Reports

Current Policy None NoKept in the Dean’s Office

Law School Survey of Student Engagement

None Graduation Cycle Current Policy None No Hard Copy

ABA Annual Questionnaire

NoneUntil Next ABA Accreditation Report is Completed

Current Policy None NoHard Copy and ABA On-Line Website

Retention Schedule G: Accreditation, LESSE, ABA Annual Questionnaire, Law School Admissions CouncilRepresentati

ve Examination Document

AACRAORetention Current

Retention

RecommendedABA Image Note:

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

Retention Schedule H: Student Data ABA Site Evaluation: Entering StudentsField Description Required/Optional Max Character Length Valid Values Comments

Type Indicator Required 1 E (entering)

Student ID Required 15 Must be unique for all students, but does not need to be SSN)

Current/Prior Year Indicator

Required 1 C (current)

College Degree Required 60 ABA looking for baccalaureate degree

College Major Required 40 Baccalaureate major

Entering class Required 1 F (fall) W (winter/spring) S (summer)

UGPA Required 4 Range 1.0 - 4.5

LSAT Required 3 Range 120 -180

Full-Time/Part-Time Indicator

Required 2 F (full time) or P (part time)

Last Name Optional 20 While not required, inclusion may be extremely helpful

First Name Optional 20 While not required, inclusion may be extremely helpful

Remarks Optional -

Retention Schedule I: Student Data ABA Site Evaluation: Transfer StudentsField Description Required/Optional Max Character Length Valid Values Comments

Type Indicator Required 1 T (transfer)

Student ID Required 15 Must be unique for all students, but does not need to be SSN)

Current/Prior Year Indicator

Required 1 E (entering) or P (prior) Current year and prior academic year

UGPA Required 4 Range 1.0 - 4.5

LSAT Required 3 Range 120 -180

Full-Time/Part-Time Indicator

Required 2 F (full time) or P (part time)

Transfer Law School GPA

Required 4 Range 1.0 - 4.5 GPA of law school transferred from

Transfer Credit Hours Required 3 Number of credit hours accepted by law school transferred into)

Law School (transferred from)

Required 60

Last Name Optional 20 While not required, inclusion may be extremely helpful

First Name Optional 20 While not required, inclusion may be extremely helpful

Remarks Optional -

Retention Schedule J: Student Data ABA Site Eval: Readmitted StudentsField Description Required/Optional Max Character Length Valid Values Comments

Type Indicator Required 1 R (readmitted)

Student ID Required 15 Must be unique for all students, but does not need to be SSN)

Current/Prior Year Indicator

Required 1 E (entering) or P (prior) Current year and prior academic year

UGPA Required 4 Range 1.0 - 4.5

LSAT Required 3 Range 120 -180

Full-Time/Part-Time Indicator

Required 2 F (full time) or P (part time)

Law School GPA Required 4 Range 1.0 - 4.5 GPA of law school if given advanced standing

Last Name Optional 20 While not required, inclusion may be extremely helpful

First Name Optional 20 While not required, inclusion may be extremely helpful

Remarks Optional -

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

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

Retention Schedule L: Course DataField Description Required/Optional Max Character Length Valid Values Comments

Course Code Optional Strongly recommended to complete all fields especially divisions

Section Optional Strongly recommended to complete all fields especially divisions

Course Title Required

Division Optional Strongly recommended to complete all fields especially divisions

Term Required

Credit Hours Required 0.9, 0.90, 9.9, 9.99, 99.9 and 99.99

Number of Students Required

Retention Schedule M:Regional Accreditors & State LawMany 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.

ReferencesCompany Publication Authors

AACRAO’s Retention of RecordsGuide for Retention and Disposal of Student Records

Dell SoftwareStop Taking the Heat – Six Steps to Avoid the e-Discovery Inferno

Keri Farrell and Kyle Hetherington

Dell SoftwareRetention Guide Keri Farrell and Kyle Hetherington

AACRAO’s The Registrar’s GuideEvolving Best Practices in Records and Registration

Barbara Lauren, PH.D., J.D.. Editor

Jossey-Bass The FERPA Answer Book Aileen Gelpi, Esq and Clifford A. Ramirez

Questions / Comments