RECORDS MANAGEMENT

BASIS FOR OPERATION

Redwoods Community College District develops records to meet county, state, and federal requirements. Records are also developed in order to meet the daily operating requirements.

The administrative value of almost all of these records generally decreases rapidly when transactions are completed. Some of these records should be destroyed when their usefulness has ended. Other records have continuing legal, fiscal, or historical value for years after their administrative value is exhausted. Other specific records must be permanently retained according to state regulations.

A procedure for record management is essential for efficient administration. This includes legal requirements for retaining records.

A procedure for management of diversified records minimizes the effort and costs necessary to keep those records of significant value. It maximizes the usability of the records needed for administration. The following objectives for a paperwork management program are suggested by the State Administrative Manual, Section 1602. It is intended to control the creation, utilization, maintenance, retention, preservation, and disposal of records:

1. Improve administration through efficient correspondence management. This includes forms, reports, and file operations.

2. Streamline systems and procedures.

3. Transfer inactive records from high-cost office space to low-cost storage space.

4. Destroy records no longer legally required or of significant value for administrative, legal, fiscal, historical, or research purposes promptly upon expiration of the appropriate retention period.

5. Ensure the preservation of records with long-term or permanent value.

Records disposition is the term used to encompass objectives 3 and 4 of a total paperwork management program. Records disposition is defined as the systematic transfer from office space to storage of records no longer needed for everyday operations. It includes the destruction of records that no longer have any significant value. The systematic transfer of records from office space to storage to destruction accommodates the storage needs for records produced during the current school year.

Purchase of additional equipment and supplies for record storage is minimized along with the amount of floor space that must be set aside for record storage purposes. Employee time is not wasted maintaining inactive records longer than necessary.
The following material is compiled as a reference to provide direction in keeping a records disposition procedure. This is a basis for a total paperwork management program. The material focuses upon the state requirement for record retention, transfer, and destruction. Offices that require specific federal records retention information should contact the appropriate federal agency for assistance.

DEFINITION OF RECORDS

Local Agencies
Public records include any writing containing information that relates to the conduct of the public's business prepared, owned, used, or retained by any local agency regardless of physical form or characteristics. Every employment contract between a local agency and any public official or public employees is a public record.

Writing is defined as "handwriting, typewriting, printing, photostating, photographing, and every other means of recording upon any form of communication or representation, including letters, words, pictures, sounds, or symbols, or combination thereof, and all papers, maps, magnetic or paper tapes, photographic films and prints, magnetic or punched cards, discs, drums, and other documents."

Community College District
Records are defined as all records, maps, books, papers, data processing output, and electronic documents a community college district is required by law to prepare or retain by law or official duty. It includes student records.

Student records may be any item of information directly related to an identifiable student, other than directory information, which is maintained by a community college or required to be maintained by any employee in the performance of his or her duties, whether recorded by handwriting, print, tapes, film, microfilm, or other means. (Refer to specific sections for exceptions.)

The following documents, listed under Section 59020(b), are not records and may be destroyed at any time:

1. Additional copies of documents beyond the original or one copy. (A person receiving a duplicated copy need not retain it.)

2. Correspondence between district employees that does not pertain to personnel matters or constitute a student record.

3. Advertisements and other sales material received.

4. Textbooks used for instruction, and other instructional materials, including library books, pamphlets, and magazines.

ACCESS TO RECORDS

Local Agencies
Access to information concerning the conduct of the people's business is a fundamental and necessary right of every person in the state. Court decisions have supported the concept of freedom of information and public access to information in possession of public agencies. The California Public Records Act was intended to provide access to governmental records while protecting the individual's right to privacy. The Act was intended to ensure that an individual could have access to and receive copies of documents.

Public records are open to inspection at all times during the office hours of the local agency. Every person has a right to inspect any public record not specifically exempted by provisions of the California Public Records Act. An agency may adopt regulations stating the procedure for making public records available.

A person may receive a copy of any identifiable public record upon payment of fees for direct costs of duplication or applicable statutory fee. An exact copy shall be made unless impracticable to do so; computer data shall be provided in a form determined by the agency. Within 10 days after receipt of any request for a copy of records, the agency shall determine whether to comply with the request and shall immediately notify requester of the determination and reasons therefore.

Exemption of Particular Records from Disclosure
An agency shall justify withholding any record by demonstrating that the record is exempt under express provisions of the California Public Records Act, or that on the facts of the particular case, the public interest served by not making the record public clearly outweighs the public interest served by disclosure of the record.

The following records are exempt from disclosure:

1. Preliminary drafts, notes, or interagency or intra-agency memoranda which are not retained by the public agency in the ordinary course of business. This is provided that the public interest in withholding such records clearly outweighs the public interest in disclosure.

2. Records pertaining to pending litigation to which the public agency is a party, or to specified claims until such litigation or claim has been finally adjudicated or otherwise settled.

3. Personnel, medical, or similar files, the disclosure of which would constitute an unwarranted invasion of personal privacy.

4. Test questions, scoring keys, and other examination(s) used to administer a licensing examination, examination for employment, or academic examination.

5. The contents of real estate appraisals, engineering or feasibility estimates, and evaluations made for or by the local agency relative to the acquisition of property, or to prospective public supply and construction contracts, until such time as all of the property has been acquired or all of the contract agreement obtained.

6. Records the disclosure of which are exempted or prohibited according to provisions of federal or state law. This includes, but is not limited to, provisions of the Evidence Code relating to privilege.

7. Petitions for school district reorganization or for filling governing board vacancies.

8. Other records exempt from disclosure are specified in sections of the California Public Records Act.

The minute book of closed sessions of the governing board is not a public record subject to disclosure according to the California Public Records Act and shall be kept confidential.

The California Public Records Act does not require the disclosure of memoranda submitted to the governing board by its legal counsel pursuant to GCS 54956.9 until the pending litigation has been finally adjudicated or otherwise settled.

Subpoena for Records
A subpoena duces tecum ("subpoena") may be served on a community college district officer or employee requiring the production of certain records. The exact records to be produced must be specified in the affidavit or declaration served with the subpoena. In no event may the custodian of records mail or give copies of these records to any party other than the party noted in the subpoena.

Community College District, Student Records
Access to student records shall be in accordance with the Education Code sections. The procedure access to student records is specified in the California Administrative Code.

PENALTIES FOR CRIMES RELATING TO PUBLIC RECORDS

It is a crime punishable by imprisonment for any officer having the custody of any record filed or deposited in any public office, or other person not an officer, to willfully destroy the whole or any part of such record. In order for a record to be protected under the Government Code, it must qualify as a public record. Both confidential public records and public records open for inspection are entitled to protection under this statute.

An officer who destroys records of a district in accordance with the provisions of the California Administrative Code does not violate these Government Code sections.

RETENTION, TRANSFER, AND DESTRUCTION OF RECORDS

Whenever the destruction of records of a district is not otherwise authorized or provided for by law, the governing board of the district may destroy such records in accordance with the policies established by the District. District records shall be retained, transferred, or destroyed only as provided in the California Administrative Code.

Community college districts are authorized to adopt the regulations of the Board of Governors of the California Community Colleges. The provisions of the California Administrative Code shall apply only in the event that the destruction or retention of records by the community college district is not otherwise authorized or provided by law.

Classification of Records - Community College Districts

1. Prior Year Records
Each community college district shall establish an annual procedure by which the chief administrative officer, or the designee of that officer, shall review documents and papers received or produced during the prior college year and classify them as Class 1-Permanent, Class 2-Optional, or Class 3-Disposable.

2. Records Not Classified Before July 1, 1976
All records not classified prior to July 1, 1976, are subject to the same review and classification as in "1." If such records are three or more years old and classified in Class 3-Disposable, they may be destroyed without further delay, but in accordance with procedures for destruction.

3. Current Year Records
Records originating during a current college year shall not be classified during that year.

4. Continuing Records
Records of a continuing nature, i.e., active and useful for administrative, legal, fiscal, or other purposes over a period of years, shall not be classified until such usefulness has ceased.

5. Microfilm Copy
Whenever an original Class 1-Permanent record is photographed, microphotographed, or otherwise reproduced on film or electronically, the copy made is classified as Class 1-Permanent. The original record, unless classified as Class 2-Optional, may be classified as Class 3-Disposable. It may then be destroyed in accordance with the California Administrative Code if the following conditions have been met:

a. The reproduction was accurate in detail.

b. The chief administrative officer, or the designee of that officer, has attached to or incorporated in the copy or system, a signed and dated certification of compliance with the provisions of the Evidence Code (Exhibits 1 and 2), stating in substance that the copy is a correct copy of the original, or a specified part thereof, as the case may be.

c. The copy was placed in an accessible location, and provision was made for preserving permanently, examining and using the same.

d. In addition, if the record is photographed or microfilmed, the reproduction must be on film of a type approved for permanent, photographic records by the United States Bureau of Standards.

Period of Retention of Records - Community College Districts

1. Class 1-Permanent Records
The original of each of the types of records listed below or one exact copy, when the original is required by law to be filed with another agency, is a Class 1-Permanent record. It shall be retained indefinitely, unless copied or reproduced in accordance with "5" above.

a. The following annual reports:

1) official budget;
2) financial report of all funds, including cafeteria and student body funds;
3) audit of all funds;
4) full-time equivalent student, including Period 1 and Period 2 reports; and
5) other major annual reports, including:

a) those containing information relating to property, activities, financial condition, or transactions; and
c) those declared by board minutes to be permanent

b. The following official actions:

1) minutes of the board or committee thereof, including the text of a rule, regulation, policy, or resolution not set forth verbatim in minutes but included therein by reference only;

2) elections, including the call, if any, for and the result (but not including detail documents, such as ballots) of an election called, conducted, or canvassed by the governing board for a board member, the board member's recall, issuance of bonds, incurring any long-term liability, change in maximum tax rates, reorganizations, or any other purpose; and

3) records transmitted by another agency that pertain to that agency's action with respect to district reorganization.

c. The following personnel records of employees. All detail records relating to employment, assignment, employee evaluations, amount, and dates of service rendered, termination or dismissal of an employee in any position, sick leave record, rate of compensation, salaries or wages paid, deduction or withholdings made, and the person or agency to whom such amounts were paid. In lieu of the detail records, a complete proven summary payroll record for each employee of the school district containing the same data may be classified as Class 1-Permanent, and the detail records may then be classified as Class 3-Disposable.

d. The following student records:

1) the records of enrollment and scholarship for each student. Such records of enrollment and scholarship may include but need not be limited to:

a) name of student;
b) date of birth;
c) place of birth;
d) name and address of a parent having custody or a guardian, if the student is a minor;
e) entering and leaving date for each academic year and for any summer session or other extra session;
f) subjects taken during each year, half year, summer session, or quarter; and
g) if grades or credits are given, the grades and number of credits toward graduation allowed for work taken.

2) All records pertaining to any accident or injury involving a student for which a claim for damages has been filed as required by law, including any policy of liability insurance relating thereto, except that these records cease to be Class 1-Permanent records, one year after the claim has been settled or after the applicable statue of limitations has run.

e. Property records. All detail records relating to land, buildings, and equipment. In lieu of such 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:

1) all fixed assets;
2) an equipment inventory; and
3) for each unit of property, the date of acquisition or augmentation, the person from whom acquired, an adequate description or identification, and the amount paid, and comparable data if the unit is disposed of by sale, loss, or otherwise.

2. Class 2 - Optional Records
Any record worthy of further preservation but not classified as Class 1-Permanent, may be classified as Class 2-Optional. It shall then be retained until reclassified as Class 3-Disposable. If the chief administrative officer, or the designee of that officer, determines that classification should not be made annually, all records of the prior year may be classified as Class 2-Optional, pending further review and classification within one year.

3. Class 3 - Disposable Records
All records, other than continuing records not classified as Class 1-Permanent or Class 2-Optional, shall be classified as Class 3-Disposable. This includes, but is not limited to, detail records basic to audit including those relating to attendance, full-time equivalent student, or a business or financial transaction (purchase orders, invoices, warrants, ledger sheets, canceled checks and stubs, student body and cafeteria fund records, etc.), and detail records used in the preparation of any other report; and periodic reports such as daily, weekly, and monthly reports, bulletins, and instructions.

Generally, a Class 3-Disposable record, unless otherwise specified, should be destroyed during the third school year after the school year in which it originated (e.g., 2001-02 plus three equals 2004-05).

A Class 3-Disposable record shall not be destroyed until after the third July 1 succeeding the completion of the audit required by the Education Code or of any other legally required audit. This also applies 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 third year after it has been classified as Class 3-Disposable.

4. Retention and Destruction of Student Records
The retention and destruction of student records, where not otherwise specifically provided for in the Education Code, shall be in accordance with regulations of the Board of Governors that appear in the California Administrative Code.

Statute of Limitations
In addition to periods of retention required by the Board of Governors, a district may desire for its own benefit to maintain some records at least beyond the statutory period for bringing suits upon these records.

If the district has any particular inquiry in placing any records in the proper classifications, the doubt should be resolved in favor of the longer retention period.

1. Purchase Orders, Written Contracts
Any purchase orders, contracts, or other documents of this type should be retained for at least five years from the date last performance become due. This is done because any contract in writing may be the subject of a suit within four years after final performance of any act under the contract becomes due.

2. Financial Records
Any records involving financial transactions for which a public officer would become liable for malfeasance or misfeasance of duty should be retained for a period of at least four years.

This applies unless otherwise required inasmuch as any criminal action may be brought against such person for up to three years after the act occurred. Financial records that might be the basis for an action for embezzlement should be retained as permanent records inasmuch as there is not limitation for bringing an action against an officer for such as act.

Transfer of Records - Community College Districts, Student Records
Whenever a student transfers from one community college or public or private institution of post-secondary education to another within the state, appropriate records or a copy shall be transferred by the former community college, university, college, or school district or school from which the student is transferring. The student may be notified that records will be transferred upon payment by the student of all fees and charges due the community college, university, college, school, or school district.

The student shall be notified of the records transfer in accordance with the Education Code and California Administrative Code requirements.

Destruction of Records - Community College Districts
The chief administrative officer, or the designee of that officer, shall:

1. Personally supervise the classification of records.

2. Mark each file or other container as to classification and the school year in which the records originated. If the records are classified as Class 3-Disposable, the chief administrative officer shall also mark the school year in which such records are to be destroyed.

3. Supervise the destruction of records.

4. Submit to the governing board a list of records recommended for destruction with certification that no records are included in the list in conflict with the regulations in the California Administrative Code.

The governing board shall:

1. Approve or disapprove the recommendation of the chief administrative officer.

2. Order a reclassification when necessary or desirable.

3. Order by action recorded in the minutes (with lists attached) the destruction of records in accordance with these regulations.

Records ordered for destruction shall be permanently destroyed by such foolproof methods as shredding, burning or pulping; and such destruction shall be supervised by the chief executive officer or other designee.

RECORDS DISPOSITION PROGRAM

Inventory of all records (Exhibit 3)

1. Describe the quantity and form of specific district records (i.e., original, copy, microfilm, tape, etc.).

2. Determine which records are maintained in office space and which are located in storage facilities.

3. Determine how frequently each record is used and who needs access to each specific record.

4. Specify the classification of each record from prior school years.

5. Specify the scheduled retention period for each record and the frequency of its review.

6. Estimate the approximate cost of records management.

Classification of Records

Classify documents and papers originating during the prior school year according to California Administrative Code rules and regulations.

Appraisal of records

1. Establish retention periods for all records.

2. Identify records requiring limited accessibility that may be transferred from office space to storage.

3. Determine feasibility of microfilming Class 1-Permanent records.

Development, approval, and application of disposition schedule (Exhibit 4)

1. Retain current records in office space or accessible storage location.

2. Transfer inactive records to storage space. Microfilm records as appropriate.

3. Destroy Class 3-Disposable records according to approved procedures.

SUMMARY OF STATE REQUIREMENTS FOR RECORDS RETENTION, TRANSFER, AND DESTRUCTION

Community College District

1. Retention, destruction, generally

a. Title 5, Cal. Adm. Code, Section 59020 et seq.

2. Retention, destruction, student records

a. Education Code Sections 76220, 76232 (b)(c)

b. Title 5, Cal. Adm. Code, Section 54608

3. Transfer, student records

a. Education Code Section 76225

b. Title 5, Cal. Adm. Code, Section 54640

Approved: 8/6/90
Revised: 11/6/01