Secondary, Postsecondary, and Adult Leadership Division
|To: Adult Education Programs Funded by State Apportionment||Number: 06-03|
|Subject: Retention of Records||Date: April 3, 2006|
Authority: Education Code sections 41020 and 35254, California Code of Regulations, title 5, sections 400, 401, 431, 432, 16020-16027, Code of Federal Regulations, title 34, sections 74.53 and 80.42 (b)(4)
Date: April 3, 2006
The purpose of this bulletin is to give direction to adult schools and the Workforce Investment Act (WIA) Title II grant recipients on record retention.
Adult schools and other agencies providing adult education and literacy services often ask questions about what records should be saved and for how long. To respond to these questions, there are three issues to consider:
- What constitutes student records for state funded schools;
- The classification of records per California Code of Regulations (CCR) title 5. Subchapter 2, Section 16022, "Destruction of Records of School Districts-Classification;"
- The retention of records by a recipient of federal grant funds.
Student records for schools must be kept on file for each pupil enrolled in school and the school must maintain all mandatory records (for high school diploma students), or an exact copy of the records, for every pupil enrolled in the district. Each school district shall maintain indefinitely all mandatory permanent pupil records. (5 CCR sections 430, 432, and 16023). "Mandatory Permanent Pupil Records" are defined in title 5 CCR section 432 (b) (1) as those records which are maintained in perpetuity and which schools have been directed to compile by California statute, regulation, or authorized administration directive (see attachment). This information can be accessed at California Code of Regulations .
California Code of Regulations, title 5, subchapter 2, "Destruction of Records of School Districts," commencing with section 16020, classifies records into Class 1-permanent; Class 2-optional, and Class 3-disposable, and gives directions on how to classify records. Class 3-disposable records shall not be destroyed until after the third July 1 succeeding the completion of the audit required by California Education Code (EC) ection 41020, or any other legally required audit, or after the ending date of any retention period required by any other agency other than the State of California.
Federal Grant Requirement
Under the General Assurances of the California Department of Education’s submission for funds pursuant to the WIA, Title II, Adult Education and Family Literacy Act, agencies receiving federal grant funds must maintain auditable records on file for a specified time as outlined in Education Department General Administrative Regulations (EDGAR), 34 C.F.R. section 80.42(b)(4). This section applies to all financial and programmatic records. The length of the retention period for records shall be for a minimum of three years after the submission of the last expenditure report for that period (usually June 30 of each year).
Generally, recipients are required to keep records associated with grant transactions for three years after the financial status report is submitted for the grant. The single audit and coordinated audit approaches are timed so that all of the requirements will be accomplished before the three-year period expires.
If any litigation, claim, negotiation, audit or other action involving the records began before the expiration of the three-year period, the records must be retained until completion of the action and resolution of all issues which arose from it, or until the end of the three-year period, whichever is later.
Finally, for English Literacy/Civics Education grantees that use a portfolio to evaluate student progress, these documents are returned to the students. Items kept on file for audit purposes are:
- Rubrics used to evaluate students and grades indicating a "pass" or "fail;"
- A sample of portfolios that represent those evaluated as "passing" or "failing;"
- A master grade sheet or report showing the additional assessment evaluation.
California EC sections 41020 and 35254
EDGAR 74.53 and 80.42 (b) (4) (34 C.F.R. sections 74.53 and 80.42(b)(4))
Code of Federal Regulations, 34 C.F.R. section 74.53
California Code of Regulations, title 5, sections 400, 401, 430, 431, 432, and 16020-16027
If you have any further questions regarding this subject, please contact your assigned regional consultant at the California Department of Education, Adult Education Office, at 916-322-2175.
This Management Bulletin is mandatory only to the extent that it cites a specific statutory and/or regulatory requirement. Any portion of this Management Bulletin that is not supported by a specific statutory and/or regulatory requirement is not prescriptive pursuant to EC Section 3308.5.