Policy 1240 – Records Management and Retention

I. General Responsibilities of Officers, Officials, Employees, and Agents of the District

The District has a responsibility to maintain records in compliance with relevant state and federal laws. All officers, officials, employees, and other agents of the District are expected to adhere to applicable laws and District policies relating to records management. In carrying out those responsibilities, no such person may:

  1. Unlawfully or without having authority to do so access District records, alter District records, or dispose of District records.
  2. Unlawfully or inappropriately damage, remove, or conceal District records.
  3. Facilitate any person’s unlawful or unauthorized access to, or unlawful or unauthorized disclosure of, District records (including the content of such records).
  4. Direct or permit another person to unlawfully or inappropriately access, modify, disclose, damage, remove, conceal, or dispose of District records.

II. Administrative Responsibility for a District Records Management Program

The Superintendent, or designee, has the primary administrative responsibility for defining and implementing a program of records management that complies with applicable law and District policies relating to records management. Those responsibilities include, but are not limited to, the following:

  1. Overseeing the creation and implementation of any additional rules and operating procedures that may be needed to further govern records management in the District throughout the record life cycle, including protocols for storing District records, appropriately limiting access to records, protecting the personal privacy of record subjects, and maintaining the District’s capacity to appropriately retrieve records and respond to requests for access to records.
  2. Ensuring that the District utilizes appropriate information systems in connection with records maintained in an electronic format and defines appropriate rules and procedures related to the creation, modification, authority to access, and general management of electronic records.
  3. Establishing appropriate protocols (e.g., rules and training) for informing employees who are involved in collecting, maintaining, using, providing access to, sharing, or archiving personally-identifiable information of their duties and responsibilities relating to protecting the personal privacy of record subjects.
  4. Working with other staff and with the School Board President to bring issues and recommendations related to records management to the attention of the School Board, as deemed necessary or appropriate, on a timely basis.
  5. Maintaining an accurate summary of the current records disposition authority that the District has obtained from the Wisconsin Public Records Board (PRB). Such summary shall be maintained as an Exhibit (Rule 1240C) to this policy and shall include at least an up-to-date listing of the General Records Schedules that the District has formally adopted (in whole or in part) as well as any additional, unexpired District-specific records disposition authority that may have been approved by the PRB.

III. Adoption of General Records Schedules and other State-Level Approval for District Records Disposition Authority

The following apply to the District’s adoption and implementation of records disposition authority that is granted by the Wisconsin Public Records Board (PRB):

  1. The administration shall obtain advance approval from the School Board prior to submitting any of the following to the PRB on behalf of the District:
    1. A notice of adoption of a General Records Schedule (in whole or in part).
    2. A notification of intent to opt-out of the adoption of a General Records Schedule (in whole or in part).
    3. A request for the PRB’s approval, renewal, or modification of any District-specific records disposition authority.
  2. To the extent permitted or required by the rules, policies, and procedures of the PRB and unless the District takes additional steps to formally opt-out of the District’s previous adoption of a General Records Schedule, adoption of a General Records Schedule shall be understood to mean adoption of the applicable schedule (or applicable portion of the schedule) as such schedule may be amended from time to time by the Public Records Board.

IV. Records Retention and Disposition

Subject to the exceptions identified below in this Section:

As to any District records that are covered by a District-adopted General Records Schedule or by any other District-specific disposition authority that has been approved by the PRB, the District will implement the schedule or other disposition authority, including (1) by retaining the records for at least the minimum period of time defined in the PRB-approved schedule or other PRB-approved records disposition authority, and (2) if required by law and not waived by the Society, by providing advance notice of the intended destruction of particular records to the Wisconsin Historical Society.

Student records (referred to in state law as “pupil records” and in federal law as “education records”) shall be maintained as required by applicable state and federal laws and as further detailed in any applicable District-adopted General Records Schedule, in any other applicable District-specific disposition authority that has been approved by the PRB, and in any District policy or procedure that further governs student records.

In the event that a District record covered by section 19.21(6) (i.e., nearly all District records other than student records) has no other applicable retention period established by, or pursuant to, a District-adopted General Records Schedule or any other District-specific retention and disposition authority that has been approved by the PRB, the District will retain the record as required under section 19.21(6) for not less than 7 years and follow any applicable mandatory notice procedures (e.g., notice to the State Historical Society) prior to destruction. In some cases, a specific state or federal law or a District policy or rule that has not necessarily been approved by the PRB may require or direct the retention of a particular type/series of District records for a minimum period that is longer than 7 years, up to and including permanent retention.

To the extent permitted by and consistent with applicable law, and separate from the authority addressed in Section III of this policy (above), the District may establish further local policies, rules, and procedures that govern records retention and records disposition.  Such policies, rules, and procedures shall be approved by either the School Board or, to the extent not in conflict with any School Board decision, by the District Administrator or any Board-designated legal custodian(s) of District records.

The following are important exceptions to the District’s standard records retention and destruction schedules, policies, and practices:

  1. Litigation Holds, Including for Subpoenas: When appropriate (e.g., due to imminent litigation, the receipt of a subpoena, the receipt of a formal notice of claim, pending litigation and related appeals, notice of an investigation by or formal proceedings in a state or federal agency, etc.), the District will initiate a litigation-related hold for the purpose of identifying, retaining, and preserving potentially relevant records (including electronically stored information) and other evidence. The District shall maintain records that become subject to a litigation hold for the longer of (1) the normal retention period for the record; or (2) the date on which the litigation hold is released.
  2. Pending, Unresolved, and Litigated Requests for Access to District Records: Upon the receipt of a request for access to District records under the Public Records Law or similar legal authority, the District’s legal custodian of records shall take steps intended to prevent the destruction of potentially responsive records (including responsive records that the custodian may determine should not be released). The District shall maintain such potentially responsive records for the longer of (1) the normal retention period for the record; or (2) at least 30 additional calendar days beyond” the expiration of any applicable special minimum retention period specified in section 19.35(5) of the state statutes. The statutory special retention periods apply to public records requests that have been denied and/or over which a court action has been commenced. This process also supports the District’s compliance with a federal regulation governing students’ personally identifiable education records that states that school districts shall not destroy any such education records if there is an outstanding request of a parent/guardian (or adult student) to inspect and review those records.
  3. School District Audits: Records necessary for any audit conducted at the direction of the Board or with notice from a state or federal authority shall be maintained until the later of (1) the date the records are no longer needed for audit purposes; or (2) the end of the normal retention period.

The District Administrator and any School Board-designated legal custodian(s) of District records”, acting in cooperation with and pursuant to the direction of District legal counsel where applicable, shall have the primary responsibility for initiating and ending a litigation hold, the preservation of records due to an audit or a pending public records matter, or the special preservation of District records under other unique circumstances. Under any of these circumstances, the District Administrator or legal custodian, as applicable, or such person’s designee shall initiate prompt communication to the Board, relevant District staff, and any relevant third parties (e.g., contractors holding certain records) regarding the scope of the matter and the procedures that are to be followed.  The School Board President, acting in consultation with District legal counsel, may also initiate a litigation hold or other special directives regarding the preservation of records.

No officer, official, employee, or agent of the District may, directly or indirectly, modify, inhibit appropriate access to, or dispose of District records that the person knows or has reasonable cause to believe may be subject to any of the exceptions to the District’s standard records retention and destruction schedules, policies, and practices. Indirect conduct includes, for example, conduct that facilitates or causes the unlawful, unauthorized, or untimely modification or disposition of such records.

V. Converting District Records into Different Formats

From time to time, it may be necessary or desirable for the District to convert certain District records from one format to another. Typically, this will involve converting non-digital/electronic records into a digital/electronic format.  It may also include, for example, converting records from one digital/electronic format to another digital/electronic format. Provided the process is carried out in a manner consistent with applicable laws and regulatory standards, the Board authorizes such records conversions.

To the extent a records conversion program, process, or procedure includes the intent, after successful conversion, to dispose of any original input record prior to the end of the minimum retention period that is applicable to the record, then the following also apply:

  1. The program, process, or procedure must be authorized in advance by the District Administrator or any School Board-designated legal custodian of District records”;
  2. The authorizing administrator must give notice of the intended conversion of records to the Superintendent and ensure that the District complies with any mandatory procedures for giving notice of intent to convert records to the Public Records Board; and
  3. The original input records shall not be disposed of until the Public Records Board has acknowledged any related District submission related to the conversion of the records and the District has verified that the records have been successfully converted and stored in the new format.

Legal References:

  • Wisconsin Statutes
    • Section 16.61(3)(e) [authority of the Public Records Board to establish the minimum period of time for retention before destruction of any school district record]
    • Section 16.61(7) [standards for reproduction and conversion of records; executing and recording statements of intent]
    • Section 16.612 [optical disc and electronic storage standards to be set by a state-level rules; see Chapter Adm 12]
    • Section 19.21 [custody and delivery of official property and records]
    • Section 19.21(6) [school district records retention; destruction of obsolete records]
    • Section 19.33 [legal custodian(s) of records; designation, duties, and duty to identify to district employees]
    • Section 19.345 [time computations under the public records law]
    • Section 19.35(5) [holding records related to a pending public records request]
    • Section 19.65 [rules of conduct and employee training]
    • Section 118.125 [student records, generally]
    • Section 118.125(3) [retention rules for student records, including a requirement that any such local rules adopted by a school district must be published as a class 1 legal notice]
    • Section 120.13(28) [school board power to designate legal custodian(s) of records]
    • Section 137.20 [retention of electronic records; originals]
    • Section 146.81 to 146.84 [patient health care records]
    • Chapters 801 thru 809 [Wisconsin civil procedure]
    • Section 889.08 to 889.10 [certification of copies of records and related statutes]
    • Section 946.72 [criminal statute prohibiting tampering with public records]
  • Wisconsin Administrative Code
    • Ch. Adm 12 [electronic records management; standards and requirements]
  • Federal Laws and Rules
    • 20 U.S.C. §1232(g) Family Educational Rights and Privacy Act (FERPA); the federal student records law]
    • 34 C.F.R. part 99 [U.S. Department of Education FERPA regulations]
    • 34 C.F.R. §300.624 [retention and disposition of personally identifiable information in the education records of students with disabilities who receive services pursuant to the IDEA]
    • F.R.C.P. [Federal Rules of Civil Procedure]

CROSS REF.:

ADMINISTRATIVE REGULATIONS: None

AFFIRMED: December 28, 1990

REVISED:

  • May 11, 1999
  • February 25, 2003
  • December 19, 2006
  • February 28, 2013
  • December 10, 2024

Rule 1240 – Records Management and Retention

  1. Definition
    “Record” means any material on which written, drawn, printed, spoken, visual or electromagnetic information is recorded or preserved, regardless of physical form or characteristics, which has been created or is being kept by an authority.  “Record” includes, but is not limited to, handwritten, typed or printed pages, maps, charts, photographs, films, recordings, tapes (including computer tapes), and computer printouts and optical disks.  “Record” does not include drafts, notes, preliminary computations and like materials prepared for the originator’s personal use or prepared by the originator in the name of a person for whom the originator is working; materials which are purely the personal property of the custodian and have no relation to his or her office; materials to which access is limited by copyright, patent or bequest; and published materials in the possession of an authority other than a public library which are available for sale, or which are available for inspection at a public library.
  2. Legal Custodian(s) of Records
    The Superintendent of Schools/designee is the legal custodian of all School District records.  Persons in the following positions are designated as deputies to act as legal custodians of particular records:

    1. The School Board Secretary for all official Board records and minutes.
    2. The Chief Financial Officer for all records relating to financial documents.
    3. The Executive Director of Business Services for all records relating to business.
    4. The Director of Human Resources for all records relating to personnel services
    5. The Assistant Superintendent of Teaching and Learning for all records pertaining to curriculum and instruction.
    6. The Director of Special Education and Student Support for all records relating to special education and student services.
    7. The office of Student Support maintains records of former students.
    8. The principal of each school under the direction of the Assistant Superintendent of School Leadership Director of Special Education and Student Support  for all student records and other records located in individual school buildings or centers of operation.

    Upon request the Superintendent will provide information concerning the location of any District records not in the custody of any of the above named deputies.

  3. Records Requests
    1. Any person has a right to inspect a District record and to make or receive a copy of any record as provided in state law.  Records specifically exempted from disclosure by state or federal law or authorized to be exempted from disclosure by state law are exempted from disclosure under these procedures.  These records include, but are not necessarily limited to, student records, certain types of records of District employees and individuals holding local public office in the District, computer programs and data, contractor’s records, identities of certain applicants for public positions, and records or any portion of a record qualifying as a common law trade secret.
      If a record contains information that may be made public and information that may not be made public, the authority having custody of the record shall provide the information that may be made public and delete or redact the information that may not be made public from the record before release.
    2. A request to inspect or copy a record shall be made to the legal custodian of the records.  The request shall be deemed sufficient if it reasonably describes the requested record or the information requested.
      However, a request for a record without a reasonable limitation as to subject matter or length of time represented by the record does not constitute a sufficient request.  No request may be refused because the person making the request is unwilling to be identified or to state the purpose of the request.  However, if security reasons or federal law so dictate, identification may be required.  Mail requests, if approved, may require a fee prepayment.
    3. Each legal custodian, upon request for any record, shall, as soon as practicable and without delay, either fill the request or notify the requester of the denial of the request.
    4. A request for a record may be denied as described in these procedures.  A legal custodian may deny access to a record, in whole or in part, only if he/she determines that the harm to the public through disclosure of the record outweighs the public benefit of access to the record.  The legal custodian is authorized and encouraged to consult with the District’s legal counsel in making such determination.
      1. Oral requests may be denied orally unless a demand for a written statement of the reasons denying the request is made by the requester within five business days of the oral denial.
      2. If a written request is denied in whole or in part, the requester shall receive a written statement of the reasons for the denials.  Written denials must include a statement informing the requester that the denial may be reviewed by a court by mandamus under state law, or upon application to the Attorney General or a District attorney.
      3. Any custodian who denies access to a record shall report such denial to the Superintendent as soon as possible.
    5. Records will be available for inspection and copying during all regular office hours.
    6. A requester shall be permitted to use facilities comparable to those available to District employees to inspect, copy or abstract a record.
    7. The legal custodian may require supervision of the requester during inspection or may impose other reasonable restrictions on the manner of access to an original record if the record is irreplaceable or easily damaged.
    8. A requester shall be charged a fee for the cost of copying and locating records as follows:
      1. The fee for photocopying shall be set from time to time by the Superintendent.
      2. If the form of a written record does not permit copying, the actual and necessary cost of photographing and photographic processing shall be charged.
      3. The actual full cost of providing a copy of other records not on printed form on paper, such as films, computer printouts and audio or videotapes shall be charged.
      4. If mailing or shipping is necessary, the actual cost thereof shall also be charged.
      5. There shall be no charge for locating a record unless the actual cost therefore exceeds $50.00 in which case the actual cost shall be determined by the legal custodian and billed to the requester.
      6. The legal custodian shall estimate the cost of all applicable fees and may require a cash deposit adequate to assure payment, if such estimate exceeds $5.00.
      7. Elected officials and employees of the District shall not be required to pay for public records they may reasonably require for the proper performance of their official duties.
      8. The legal custodian may provide copies of a record without charge or at a reduced charge where he/she determines that waiver or reduction of the fee is in the public interest.
  4. Records Retention
    1. District records shall be kept for the period of time specified in the records retention schedule adopted by the Board. Records not covered in the District’s records retention schedule shall be kept for a period of not less than seven years, unless a shorter period is fixed by the state public records board or otherwise provided.
      1. Student records shall be retained as outlined in District procedures relating to the maintenance and confidentiality of student records.
      2. Any taped recording of a meeting of a governmental body (i.e., School Board) may be destroyed no sooner than 90 days after the minutes have been approved and published if the purpose of the recording was to make minutes of the meeting.
    2. Records that no longer serve a useful, business, educational or historical purpose shall be destroyed subject to limitations of applicable laws and the record retention schedule adopted by the Board.  Prior to destruction of any records, the Kenosha County Historical Society/District Archives shall be notified at least 60 days in advance to determine if historical interest justifies preservation of such records.  The Kenosha County Historical Society/District Archives may, upon application, waive this notice.
    3. No record may be destroyed at any time after the receipt of a request for inspection or copying of the record until after the request is granted or until at least 60 days after the date that the request is denied.
    4. The District may provide for the keeping and preservation of public records through the use of microfilm or another reproductive device, optical imaging or electronic formatting.  Any photographic reproduction that meets applicable state law standards shall be deemed an original record for all purposes.