4.A.70 Student File Management

Business Administration

 

 

 

 

 

 

 

Administrative Procedure: Student File Management

 

EFFECTIVE DATE:

March 24, 2004

 

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ADMINISTRATIVE PROCEDURE CODE:

4.A.70

AMENDED DATE:

October 2019

March 2019

Policy Reference

 

Manitoba Pupil File Guidelines

Guidelines on the Retention and Disposition of School Division/District Records

Legal Reference

 

PSA, FIPPA, PHIA, YCJA

 

 

 

The student file is a record or collection of records, physical and/or electronic, respecting student attendance, academic achievement, and other related matters in the possession or control of the Board. These records may include:

 

  • Personal Information
  • Youth Criminal Justice Act (YCJA)
  • Third Party Information

 

The purpose of collecting this information shall relate to the provision of educational programs and services supporting the educational progress of the student.  Information may be collected either directly from the student or parent/guardian, or indirectly from another source.  Both collections are allowed under PHIA and FIPPA, although indirect collection requires consent, except under certain limited conditions. (See FIPPA subsections 37 (1) or 14 (2) of PHIA). See attached consent form.

 

The student file shall be organized and separated into the cumulative file and the student support file.  Both are considered part of the student file for definition, collection, access, retention, and destruction or transfer considerations. Electronically stored information contained in the BLSD Student Information System is also considered part of the student file for these purposes.

 

YCJA file shall be considered a separate entity with its management, transfer, and/or destruction governed by the YCJA.

 

 

 

 

 

 

Cumulative File (all students)

 

The student's name as registered under The Vital Statistics Act or, if the student was born in a jurisdiction outside Manitoba, the student's name as registered in that jurisdiction, and any other names and surnames by which the student is known;

• The birth date of the student;

• Student gender;

 • The Manitoba Education Number (MET#) and any other student identification number assigned to the student by a board;

• The name of the student's parent(s) and/or legal guardian(s);

• The addresses and telephone numbers of the student and of the student's parent(s)/legal guardian(s);

• The school division or district of which the student is a resident student, if different than the school division or district the student is attending (school of choice form);

• The names of all schools attended by the student and the dates of enrollment, if known;

• The citizenship of the student, and if the student is not a Canadian citizen, the type of visa or other document pursuant to which the student is lawfully admitted to Canada for permanent or temporary residence and the expiry date of that visa or other document;

• Any health information that the parent or legal guardian of the student or the student (where he or she is capable of making health care decisions) wishes to be placed on the student record (e.g. allergy alerts, asthma) and, where necessary to provide health care or protect the student’s health (Red folder), the Personal Health Identification Number (PHIN);

 • An annual summary or a summary at the end of each semester of the student's achievement or progress in the courses and programs in which the student is enrolled i.e. report cards and transcripts;

• Information about any behavioural misconduct and disciplinary measures meted out, including suspension or expulsion relating to the student;

• Attendance records;

• Photographs (actual or electronic);

• Communication regarding the student between the home and school e.g. discipline, behaviour, achievements, etc.;

 • Indications of awards, prizes;

• A copy of any separation agreement or court order with respect to child custody or guardianship, where applicable;

• A cross-reference listing which identifies the location of all information about a pupil that is held by the school division or district, including an indication of the existence and location of pupil support information not housed in the cumulative file component, including any working files that exist (Pupil Support File Tracking - yellow);

• The results obtained by the student on any diagnostic test, achievement test and examination conducted by or on behalf of the Province, and standardized tests under any testing program administered by the board to all or a large portion of the students or to a specific grade level of students;

• Any other assessment or evaluation that the parent/legal guardian or the student wishes to be placed on file;

 

Inside the Student Support Insert in the CUM file (Yellow folder inside CUM folder):

• The most recent Individualized Education Plan (IEP); any student specific plan such as an adaptation plan, behavior plan, IEP, and/or Health Care Plan (Red folder) specifically devised for a student, and any amendments to these plans;

• Up-to-date notations of referrals to/contacts with external agencies (e.g. Child and Family Services) or caregivers;

• Admission advisement concerning whether the student has used or is continuing to use social service, psychological/psychiatric or counseling resources of any agency or of any school previously attended;

• General information related to special funding (funding application must be in the pupil support file, not the cumulative file);

• Notations of pullout for resource or challenge work;

• The BLSD local student services tracking form (BLSD Student Services Tracking).

 

Security Requirements for the Cumulative File Component

 

Section 41 of FIPPA requires that a school division or district protect personal information by making reasonable security arrangements against such risks as unauthorized access, use, disclosure or destruction.

 

However, where the cumulative file component contains personal health information, the more specific security requirements in sections 18 and 19 of PHIA and of the Personal Health Information Regulation must be complied with, at least with respect to the personal health information in the file.

 

 

Pupil Support File (Green folder; some students)

 

The pupil support file may include summary reports from guidance, resource, and clinical services.  The pupil support file is a file that contains student records belonging to the student and as such should be transferred to a student’s new location.

 

  • Detailed documentation from school clinicians and special education/resource staff about all inter-agency contacts and the provisions of any other resource services from within or outside of the school division or district that are occurring;
  • Ongoing health/psycho-social/counseling information, whether medical, psychological or behavioural. (Schools should endeavour to ascertain at point of first admission whether students have used or are continuing to use the social service, psychological, psychiatric, counseling resources of any professional, of any agency, or of any school previously attended);
  • School clinician reports and related correspondence, notes from meetings and discussions concerning intervention strategies, contact logs and consultation notes;
  • Referrals to other agencies and individuals;
  • The results obtained on specialized diagnostic tests;
  • Reports from service providers such as agencies, hospitals, and clinics.
  • Reports and notes from behaviour specialists such as psychologists, psychiatrists or other therapists, if such documentation exists.

 

Security Requirements for the Pupil Support File Component

 

The information comprising the pupil support file component should be kept in a secure area; designated by the school division or district, separate and away from the cumulative file component and the youth criminal justice file component. Physical access to this designated area must be limited to authorized persons (section 3 of the Personal Health Information Regulation). Pupil support information may be held in more than one designated secured location within a school division or district. For example, there may be pupil support information about a pupil in the school counselor’s office, as well as in the resource coordinator’s office. Arrangements such as this are acceptable as long as documentation is recorded in the pupil’s cumulative file component stating that information on the pupil is being held in these separate locations, appropriate security measures are in place and physical access to the separate locations is limited to authorized persons (as required by s. 3 of the Personal Health Information Regulation).

 

Irrespective of where information comprising the pupil support file component is held, if it contains personal health information, the specific security requirements in sections 18 and 19 of PHIA and of the Personal Health Information Regulation must also be met.

 

Youth Criminal Justice Act (some students)

 

Exists only for a few students and will typically include:

  • The type of youth justice court order with which the young person is expected to comply i.e. bail, probation, conditional supervision, temporary release;
  • The expected expiry date of the court order;
  • Information about the offence for which the order has been made;
  • The particular terms of the order which relate to school attendance or any other education matter;
  • Prior record of offences if safety of staff and students may be at risk;
  • Any identifiable individual or group of persons who could be at risk from the young person;
  • Patterns of behaviour which may signal the onset of activity with potential to affect the safety of staff or students;
  • Any recommendations for reducing the risk of violence and increasing the level of safety of staff and students.

Security Requirements for the Youth Criminal Justice Component

 

The person designated as a school representative for the purposes of receiving information

about a young person under the YCJA (usually the school principal) has specific duties and

responsibilities to ensure that information is used only for the purposes for which it is

disclosed, that proper security measure are implemented and followed to protect the privacy

of the young person, and that the requirements of the YCJA respecting further access, use,

disclosure, storage and destruction are complied with (see subsections 125(7) and 129 of the

YCJA). The school and the school representative must develop procedures to ensure that

the information remains confidential, privacy is protected and that these duties and

responsibilities are met. The Act contains criminal penalties for unauthorized disclosure of

this information (and of information provided under the former Young Offenders Act) in

section 138.

 

The school representative must ensure that no other person has access to the information

and that the information is not disclosed to any other person unless:

 

(a) access to or disclosure of the information is necessary for the purpose for which the

information was provided to the school representative. That is, the school

representative must not disclose the information to any person (including teaching

and other school staff) except where disclosure to that person is necessary:

• to ensure compliance with a youth justice court order or authorization for

   reintegration leave or day release;

• to ensure the safety of the staff or students of the school or other persons; or

• to facilitate the rehabilitation of the young person the information is about; or

 

(b) access or disclosure is authorized under some other provision of the YCJA.

 

It is recommended that the school representative (usually the principal) should verbally

advise school staff and others who need to know the information for the authorized purposes,

or should let them review but not copy the information for those purposes.

 

The school representative must keep the youth criminal justice information separate from all other records about the young person which are kept by the school representative or the

school (clause 125(7)(a) of the YCJA).

 

Specific measures must be put in place to ensure that the information is secure and protected

from unauthorized access, use, disclosure and destruction. Such measures can include:

 

• ensuring that the information is never left unattended in an unsecured area;

• storing the information in locked filing cabinets, and restricting the use of these

cabinets to this information;

• putting in place procedures to control distribution of keys or lock combinations to the

locked cabinets or locating them in secure areas where access is restricted to staff

authorized to have access to the information;

• labeling filing cabinets so as to not reveal the fact that they contain this sensitive

information;

• training school staff on confidentiality of information, privacy and security procedures

and monitoring compliance with security procedures;

• ensuring that unauthorized copies are not made of the information; and

• if the information is stored electronically, ensuring the computer system has access

control codes (encryption), and can automatically track attempts to obtain access to

the information.

 

The school representative must also destroy the youth criminal justice information (and all

copies the representative or the school has of the information) when it is no longer required

for the purpose for which it was disclosed. The school representative must ensure that the

information is destroyed in a secure manner so that the confidentiality of the information and the privacy of the young person it is about are adequately protected (clause 125(7) of the

YCJA).

 

For additional information, see the “Information Sharing Protocol under the Youth Criminal Justice Act (Canada) for the Sharing of Youth Criminal Justice Information with Manitoba Schools by Manitoba Justice and Manitoba’s Policy Officers (April 2003)” prepared by Manitoba Justice and Manitoba Education.

 

Student File Review/Culling Procedures

 

The principal is responsible to ensure that files are reviewed and culled each year. Professional staff and administrative assistants, under the supervision of the principal, will review and cull the cumulative file and support file annually.

 

The following procedures apply to an annual review and culling of student files:

 

  • Student file and pupil support files are to be reviewed annually by each classroom teacher and the resource teacher(s) before the end of the school year, before the culling process, and/or before a file is transferred:
    • Insert updates.
    • Record updated information on the cum file and replace photo
    • Update student data tracking sheet, including updates to involvement of external agencies and services, notations of pullout for resource or challenge work. (Student Services Tracking).
    • Organize any documentation from services provided in the pupil support file, most current on top.

 

When culling a file, please note the following;

 

  • Organization of the files by document type;
  • Placement of documents in reverse chronological order;
  • An annual report card for each year in attendance should remain;
  • The most recent IEP should remain with previous IEPs being placed in the pupil support file;
  • Updated demographic information, including guardianship (paper and electronic file should match); and
  • Minimum retention guideline is 10 years after a student ceases to attend school, with the exception of the young offender file.

 

Young Offender information

  • Is kept on file until the information is no longer required for the purpose for which is was established; and
  • It is not transferable (if leaving the division, the information is to be destroyed)

 

When any part of a student file is no longer required, or the authorized retention period has expired, using the Record of destruction of student records form, shall list the content to be destroyed and send the form to the Divisional Records Manager (Secretary Treasurer) for permission to destroy. Once permission is granted, the listed documents can be destroyed and the summary will be kept on file as part of the disposition system.

 

Access and Privacy

 

Staff access to files is permitted to the extent the information is necessary to assist in the educational program of the student.  Various staff members may need to have access to different pieces of information in order to carry out their duties.

 

Students who have reached the age of majority (18) may have access to their files, both personal and health information.  When a student turns 18, they must complete the access to information form as per BLSD Admin Procedure 1.A.220. Schools must follow this direction when determining access to information.  However, schools are not authorized to disclose information in the YCJA file to the student or to parent/guardian.

 

Parents/guardians can access the student file until the child reaches the age of majority, except under certain conditions. These conditions for both students over the age of 18 or parents of students under the age of 18 are that the:

 

  • Disclosure could reasonably be expected to constitute an unreasonable invasion of the privacy of a third party.
  • Disclosure could reasonably be expected to be detrimental to the education of the student.
  • Disclosure could reasonably be expected to cause serious physical or emotional harm to the student or another person.
  • Disclosure could reasonably be expected to be injurious to the enforcement of an enactment or the conduct of an investigation under an enactment.

 

Divorced/separated parents have the right to receive information as to the health and education of their child unless the court orders otherwise.

 

Access to information in the Youth Criminal Justice file may only be made available under restricted conditions:

  • To ensure compliance by the student with a court order
  • To ensure safety of staff, students, or other persons

 

A list of those entitled to access shall be attached to the Youth Criminal Justice file.

 

For further information on Access and Privacy guidelines see pages 13-20 of the

Manitoba Student File Guidelines.

 

Access to this information shall be supervised by school personnel to maintain the integrity of the file.  The files shall not leave the school building.  Photocopies of documents can be released to parents/guardians and to students who are no longer registered in school.  All requests for copies of pupil file information shall be made in writing by former students.  ID will be required for former students requesting copies.  A copy of the request, the Id and a notation about documentation provided to former students will remain in the file.

Third Party Requests for Personal Information or Personal Health Information

 

A third party is a person, group of persons, or an organization other than the school division.  School staff may receive requests for personal information or personal health information about a student or former student.

The Division and the Access and Privacy Coordinator (Secretary Treasurer) shall provide guidance for third party requests for access to the personal information and personal health information of an individual within the organization.  They shall ensure that:

 

  • Disclosure is authorized under FIPPA-PHIA.
  • Disclosure of personal information and personal health information is limited to the amount necessary to accomplish the authorized purpose.

 

Student File Transfer Procedures

 

  • For transfers within the Division, the student file is forwarded to the receiving school.
  • When requested by a different school division, student files must be transferred.  They shall be reviewed to ensure that only the personal information and personal health information necessary for the provision of educational services to that student is forwarded.  The student cumulative files, as described in these procedures, will be passed on to the requesting educational authority, with the exception of the following:
    • Personal notes of the resource teacher, counselor, clinician, or administrator
    • Meeting notes that are not necessary for the continued educational services for that student
    • Information about a third party
    • Other agency information that does not pertain to schooling and provision of educational services

 

If the student transfers to another school division or district, the Youth Criminal Justice File must be destroyed.

 

Cumulative and Student Support file – Retention

 

  • Except for grade 9-12 student marks, information in the student file should be retained for a minimum of ten years after the student ceases to attend school or until the file is transferred to another school.
  • Grade 9-12 marks should be retained for thirty years.

 

Cumulative and Student Support File – Destruction

 

  • Destruction must be carried out in a manner that protects the privacy of the student.
  • Record of destruction of student records form must be used (distributed annually to schools)
  • Where personal health information is destroyed, the principal will record the name of the individual whose personal health information is destroyed, the time period to which the information relates, the method of destruction, and the person responsible for supervising the destruction, ie. When a new URIS plan is received
  • The record of destruction will be forwarded to the Divisional Records Manager for archival reference.
  • A signed and dated copy of the record of destruction shall remain on file at the school location.

 

Youth Criminal Justice File – Retention and Destruction

 

The YCJ File must be destroyed when it is no longer required for the purpose for which it was established and/or when the student leaves the division.