3580.1 - Records Retention and Destruction - Procedure

A Custodian of Records for each branch/SELPA will be assigned responsibility for records management, retention, and destruction within that specific area. The Director of Business Support Services shall serve as the Organizational Custodian of Records and will be responsible for records during audits. A Custodian of Records and an alternate will be designated by each branch/SELPA lead and approved by the Chief Business Officer.

Each branch/SELPA/department will maintain, store, and destroy its records consistent with state statutes and SBCSS policies and procedures. No records will be destroyed without prior notification being given to the Custodian of Records of the branch/SELPA/department and without approval from the Organizational Custodian of Records.

Department staff are required to maintain an inventory of box contents for each warehouse-issued box number on a network department drive. The inventory of box contents must be submitted to the Branch Custodian of Records for any boxes that are to be destroyed.

Once a records storage box has been prepared and assigned a box number, its contents and designation must remain unchanged. Files are not to be replaced, consolidated, added, or deleted once the box is sealed for storage. Each box number is unique and may not be reused or reassigned for other purposes. This ensures the integrity of the records and preserves a clear chain of custody for compliance, accountability, and retrieval purposes.

The Custodian of Records representatives shall meet periodically, but no less than once a year, to review the process related to policies, procedures, and guidelines pertaining to record management, retention, and destruction. Items to be reviewed shall include, but not be limited to, organizational policies and procedures related to records, current technology and storage methodology, the effectiveness of the current process, and proposed changes to branch guidelines. The Organizational Custodian of Records or designee shall be responsible for scheduling and chairing these meetings.

Records shall mean all records, maps, books, papers, and documents of the County Superintendent’s office that it is required by law to prepare or retain or which it prepares or retains as necessary or convenient to the official duties of the office, except that:

1. The record, map, book, paper, or document shall have been prepared, preserved, or maintained by the County Superintendent with respect to a matter of state concern, including but not limited to: (a) County School Service Fund; (b) activity financed by the County School Service Fund; (c) one exact copy of an original when the original is required by law to be filed with another agency; and (d) all other records prepared, preserved, or maintained pursuant to a state statute, except as specified below.
2. Records do not include those items for which destruction is governed by the Government Code such as records relating to county matters, such as expenses and travel costs financed by the county general fund, matters imposed by county ordinances, and records of a County Board of Education and of a County Committee on School District Organization.

Any record other than an original record required to be filed with the San Bernardino County Superintendent of Schools by a school district shall be classified as Class 3 (Disposable) or as Class 2 (Optional). Copies of district invoices, warrants, ledger sheets, attendance reports, and correspondence are examples of records that may be classified as Class 2 or Class 3.

1. Custodial Responsibility

SBCSS’s warehouse staff shall be responsible for the secure pickup, storage, and retrieval of boxed records in accordance with established record retention and destruction procedures. The warehouse function is strictly custodial in nature and shall not include review, analysis, or examination of records.

2. Departmental Responsibility

Each originating branch/department shall retain full responsibility for the classification, labeling, and identification of records prior to transfer to storage. Departments shall ensure that all boxes are accurately described, properly classified in accordance with the approved retention schedule, and traceable throughout their lifecycle.

3. Destruction Authorization

When authorizing the destruction of stored records, the originating branch/department shall confirm the contents and eligibility of such records for destruction, consistent with applicable law and the approved retention schedule. Warehouse staff, as non-confidential personnel, shall not open or inspect records for verification purposes.

4. Compliance and Defensibility

This delineation of responsibilities preserves the confidentiality and integrity of records, ensures compliance with federal and state law, and supports SBCSS’s ability to maintain a defensible records management program in the event of an audit, public records request, or legal proceeding.

Prior to archiving records, each branch/SELPA/department shall review documents and classify them as Class 1 (Permanent), Class 2 (Optional), and Class 3 (Disposable).

Department staff are required to maintain an inventory of box contents for each warehouse-issued box number on a network department drive. The inventory of box contents must be submitted to the Branch Custodian of Records for any boxes that are to be destroyed.

The process for document storage procedures (Exhibit A) can be found on the SBCSS e-Net webpage under “Employee Forms/Records & Storage”.  The process includes completion of a “Warehouse Storage Request Form” (Exhibit B) and filling out the template for box labels (Exhibit C), also found on the SBCSS e-Net webpage.  Warehouse staff will be responsible for assigning a box number. Warehouse delivery staff will pick up all box orders from the requestor’s site. Warehouse staff will assign a warehouse location to each box received and this information will be maintained in a warehouse database for access control purposes (retrieval, destruction, or return to storage).

Once a records storage box has been prepared and assigned a box number, its contents and designation must remain unchanged. Files are not to be replaced, consolidated, added, or deleted once the box is sealed for storage. Each box number is unique and may not be reused or reassigned for other purposes. This ensures the integrity of the records and preserves a clear chain of custody for compliance, accountability, and retrieval purposes. These requirements apply equally to the preparation and transfer of records for digitization to ensure document integrity and an unbroken chain of custody.

Boxes without destruction or review dates or without a “Permanent” designation will not be accepted at the Warehouse. (See Procedure 3580.2 for storage of items other than records)

All digitized records must be stored in SBCSS-approved electronic document management systems. Departments are responsible for:

• Ensuring that electronic files are properly classified as Class 1 (Permanent), Class 2 (Optional), or Class 3 (Disposable) consistent with Procedure 3580.1;
• Maintaining digital indexes that serve as the equivalent of box inventories;
• Ensuring access controls are applied to protect confidentiality, including FERPA-, HIPAA-, and personnel-related categories;

Reviewing digital archives annually to determine eligibility for destruction based on the established retention schedule.

Fireproof Storage: Certain documents should be maintained in a fireproof safe with restricted access. Examples of the type of documents to be maintained in this manner are deeds to real estate owned by the County Board of Education and documents validating ownership (pink slips) of vehicles purchased by SBCSS.

Records of a continuing nature (active and useful for administrative, legal, fiscal, or other purposes over a period of years) shall be classified as Class 1 (Permanent) until such usefulness has ceased. A student’s cumulative record is a continuing record until the student ceases to be enrolled in the program. (See Policy 5125 Student Records)

The original of each of the following records, or one exact copy of it when the original is required by law to be filed with another agency, is a Class 1 (Permanent) Record and shall be retained indefinitely unless digitized in accordance with California Education Code 35254.

1. Annual Reports, including: (1) official budget; (2) financial reports of all funds; (3) audit of all funds; (4) average daily attendance reports; and (5) other major annual reports, including: (a) those containing information relating to property, activities, financial condition, or transactions and (b) those declared by Board minutes to be permanent.
2. Official Actions, including: (1) minutes of Board or Board committees, including the text of rules, regulations, policies, or resolutions included by reference only; and (2) records transmitted by another agency pertaining to its action with respect to school district reorganization.
3. Personnel Records, including: (1) Employees, (a) all detail records relating to employment, assignment, amounts and dates of service rendered, termination or dismissal of an employee in any position, sick leave record, rate of compensation, salaries or wages paid, deductions or withholdings made and the person or agency to whom such amounts were paid. In lieu of the detailed records, a complete proven summary payroll record for each employee containing the same data may be classified as Class 1 (Permanent), and the detail records may then be classified as Class 3 (Disposable); (b) information of a derogatory nature as defined in Education Code 44031 shall be Class 1 (Permanent) only when the time for filing a grievance has passed or the document has been sustained by the grievance process; (2) Students, (a)the records of enrollment and scholarship for each student required by the Code of Regulations, Title 5, 432; and (b) all records pertaining to any accident or injury involving a minor for which a claim for damages had been filed as required by law. This includes any related policy of liability insurance except that these records cease to be Class 1 (Permanent), one year after the claim has been settled or the statute of limitations has run out.
4. Property Records, including: (1) all detail records relating to land, buildings, and equipment. In lieu of detail records, a complete property ledger may be classified as Class 1 (Permanent), and the detail records may then be classified as Class 3 (Disposable) if the property ledger includes: (a) all fixed assets; (b) an equipment inventory; and, (c) for each piece of property, the date of acquisition, name of previous owner, a legal description, the amount paid, and comparable data if the unit is disposed of by sale, loss, or otherwise.

Any record worthy of temporary preservation, but not classified as Class 1 (Permanent), may be classified as Class 2 (Optional) for one year following the date sent to archives and shall be reviewed annually until it is reclassified as Class 3 (Disposable). Boxes and lists should specify that the records are Class 2 and therefore will be destroyed on the identified date but will be sent to the department for a future destruction date to be assigned.

All records not classified as Class 1 (Permanent) or as Class 2 (Optional) shall be classified as Class 3 (Disposable). These include, but are not limited to, detail records relating to: (1) records basic to audit, including those relating to attendance, average daily attendance, or business or financial transactions (purchase orders, invoices, warrants, ledger sheets, cancelled checks and stubs, student body and cafeteria fund records, etc.), and; detail records used in preparing another report. Teachers’ registers, if all information required by the Code of Regulations, Title 5, Section 432 is retained in other records or if the General Records pages are removed from the register and classified as Class 1 (Permanent); and (2) Periodic reports, including daily, weekly and monthly reports, bulletins and instructions.

1. Definition of Student Records

Per Education Code §49061(b), “student record” includes any information directly related to an identifiable student and maintained by SBCSS, including but not limited to:

Enrollment and attendance records
Academic transcripts and grades
Disciplinary records
Health and immunization records
Counseling and psychological service notes or reports
Special education assessments and individualized education program (IEP) documents

-Personal working notes maintained solely by a counselor or psychologist for their own use and not shared with others are not considered part of the official student record under FERPA.

2. Access and Confidentiality

Student records are confidential and shall be accessible only to authorized personnel, the student’s parent/guardian (if the student is a minor), or the eligible student as defined under FERPA.  Staff must maintain strict confidentiality and ensure that records are not disclosed or transmitted improperly. Electronic student information systems shall be password-protected and encrypted as appropriate.

3. Storage and Security

Student records shall be stored in secure, locked locations or encrypted electronic systems at the student’s school site.  Access to confidential or sensitive files, such as psychological or health-related records, shall be limited to authorized staff on a need-to-know basis. All physical and electronic records must be protected against loss, theft, damage, or unauthorized alteration.

4. Retention Periods

Retention and disposal of student records shall follow Title 5, California Code of Regulations, §432, and approved retention schedules:

Mandatory Permanent Records (e.g., legal name, date of birth, grades, transcript of classes): retained permanently.

Mandatory Interim Records (e.g., health records, disciplinary actions, test results): retained for three years after the student leaves the district or graduates, then destroyed.

Counseling and Psychological Records: retained for five years after last student contact or per professional licensing standards, whichever is longer.

Special Education Records: retained for five years after program completion or withdrawal unless requested earlier by the parent/guardian or adult student.

5. Destruction of Records

Destruction of records must comply with Education Code §49073 and local retention schedules. Prior to destruction, parents/guardians or eligible students must be notified of their right to obtain copies.

Records containing personally identifiable information must be destroyed in a manner that renders them unreadable and irretrievable (e.g., shredding, secure digital wiping).  A destruction log shall be maintained documenting the date, record type, and method of destruction.

6. HIPAA-Related Records

For SBCSS-Operated health programs that fall under HIPAA, HIPPAA records shall remain at the site where the student attends school and shall be stored in secure, locked locations or encrypted electronic systems.  HIPAA-protected health records must be stored, transmitted, and destroyed in compliance with HIPAA Privacy and Security Rules (45 CFR §§164.500–534).  When both FERPA and HIPAA apply, FERPA requirements take precedence for education records.

SBCSS is transitioning to electronic records as the primary method of records storage and retrieval.

Once a physical record has been properly digitized in accordance with California Education Code §35254 and SBCSS standards for image quality, indexing, and metadata, the electronic version shall serve as the official record of reference.

Physical documents may be scheduled for secure destruction following verification of successful digitization and quality assurance, unless a legal, operational, or historical reason requires the retention of the original.

All records selected for digitization shall be prepared, transferred, scanned, indexed, and archived in a manner that maintains the integrity, authenticity, and chain of custody of the record throughout its lifecycle. This includes ensuring that:

• Records remain in their original order and classification during digitization;
• No files are removed, added, consolidated, or altered once a box has been assigned for scanning;
• Each digital file is indexed according to approved metadata fields to ensure accurate retrieval;
• All digital records are stored in secure, access-controlled systems that meet SBCSS security requirements.

These requirements parallel the existing rules for physical box integrity (e.g., prohibitions on replacing, consolidating, or reusing box numbers) and extend those protections to electronic processes.

Class 3 (Disposable) records shall not be destroyed until after the third July 1 following the completion of the audit required by Education Code §41020 or any legally required audit or after the ending date of any retention period required by any agency other than the State of California, whichever date is later.

A continuing record shall not be destroyed until the fourth year after it has been classified as Class 3 (Disposable).

All other Class 3 (Disposable) records shall be destroyed during the third school year after the school year in which they originated.

Email and other electronic communications created or received using SBCSS communication systems are public records and must be retained in accordance with SBCSS Policy 4012.4 – Organization Email.

Emails that constitute official records (e.g., fiscal approvals, personnel actions, student matters, contracts, directives) must be preserved in compliance with the retention schedule applicable to their content. The automatic three-year system archive described in Policy 4012.4 does not replace departmental responsibility to classify, retain, and archive records requiring longer retention periods.

Messages subject to litigation hold, audit, or public records requests must be preserved until SBCSS Legal authorizes their release or destruction.

Each year, Warehouse staff will forward a “Records Destruction” memo listing all boxes with destruction or review dates during the prior fiscal year for all branches/SELPAs/departments of SBCSS to the Organizational Custodian of Records. The Organizational Custodian of Records will disseminate these Records Destruction memos to each branch/SELPA/department point of contact.

Within thirty (30) days of receipt of the Records Destruction memo, each branch/SELPA/department point of contact shall review the information with department staff, modify destruction dates as appropriate, sign the form, secure the signature of the department head and Branch/SELPA Custodian of Record, and return the form to the Organizational Custodian of Records. For each box that is to be destroyed, an inventory of box contents must be kept on file by the branch/SELPA/department point of contact, and a copy forwarded to the Organizational Custodian of Records.

After the initial thirty (30) day period, if the branch/SELPA/department Custodian of Records has not returned the completed Records Destruction memo, the Organizational Custodian of Records will notify the Chief Business Officer and schedule to meet with the branch/SELPA/department Custodian of Records and/or branch/SELPA/department point of contact to complete the required process within the next thirty (30) days.

All Class 2 boxes must be given a new Class 2 date for 12 months in the future or identified as a Class 3 Disposable Record with a Destruction Date.

All Class 3 Disposable boxes on the Records Destruction memo for the prior fiscal year that have not had the destruction date changed will be destroyed no later than November 30.