General Policies

University Policy Number 1102

Subject: Records Management

Responsible Parties: Records Manager, University Libraries

Procedures: Detailed procedures on records management,
retention, and disposal are available from George Mason
University’s Agency Records Manager, Special Collections
and Archives, GMU Libraries, Fenwick Library. Additional
information can be found at the Records Management website,
as follows: http://www.gmu.edu/library/specialcollections/rm_net.html.

Related Policies:
Code of Virginia, Title 42.1, Chapter 7: Virginia Public Records Act:
http://www.lva.lib.va.us/whatwedo/records/manuals/00M-APPA.HTM

Virginia Records Retention and Disposition Schedule, General
Schedule No. 111: College and University Records
http://www.lva.lib.va.us/whatwedo/records/sched_state/GS-111.PDF

The Library of Virginia’s Virginia Public Records Management Manual:
http://www.lva.lib.va.us/whatwedo/records/manuals/00m-toc.htm

GMU Records Management Website http://www.gmu.edu/library/specialcollections/rm_net.html

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I. SCOPE

This policy applies to all records generated by all George Mason
University offices, departments, and academic units, and to the
management of all such records. This policy supersedes Administrative
Policy Number 23 of March 3, 1993.

II. POLICY STATEMENT

The Virginia Public Records Act (State Code of Virginia, Chapter 7,
§42.1-85.) stipulates that the “Librarian of Virginia shall administer a
records management program for the application of efficient and
economical management methods to the creation, utilization, mainte-
nance, retention, preservation, and disposal of public records…. It
shall be the duty of the Librarian of Virginia to establish procedures and techniques for the effective management of public records, to make
continuing surveys of paper work operations, and to recommend improvements in current records management practices, including the
use of space, equipment, and supplies employed in creating, maintaining
and servicing records."

“It shall be the duty of any agency with public records to cooperate with
the Librarian of Virginia in conducting surveys and to establish and
maintain an active, continuing program for the economical and efficient management of the records of such agency.”

As a state agency that complies with the Virginia Public Records Act,
George Mason University:

1. Cooperates with the Librarian of Virginia in conducting surveys of
public records;

2. Maintains an active, continuing Records Management Program for
the economical and efficient management of the records of the university;

3. Has a designated records officer who “serves as a liaison to the
Library of Virginia for the purposes of implementing and overseeing
a records management program, and coordinating legal disposition,
including destruction of obsolete records;” and

4. Operates a Records Center where temporary inactive university
records can be stored until disposal.

III. DEFINITIONS

Records management is the economical and efficient administrative
process for managing information throughout its life cycle: from creation
to its final designated disposition (destruction or preservation). It also
is a process of maintaining information in a format that allows for its
timely access.

University records are any document or group of documents related
to a specific subject or transaction created or accumulated during the
course of public or university business. Records may be in a variety of formats, including paper, email, databases, microfilm, other electronic
media, photographic, audio, motion picture, or video recordings.

Vital records are records absolutely needed to conduct business or to reconstitute an agency, organization, office, or unit (during or after an emergency), or to preserve the rights of the state or its citizens. Vital
records considerations are part of an agency's records disaster
prevention and recovery program. Although vital records are subject
to records management regulations, vital records are not eligible for
transfer to the George Mason University Records Center until they have become inactive.

Temporary inactive records are records that no longer are needed
for daily operations, but that must be retained for a defined period
of time in accordance with state records retention guidelines.

The George Mason University Records Center is the facility used for
low cost, temporary storage of inactive, non-permanent university
records during the required retention period until properly documented disposal.

A retention schedule is an approved timetable stating the retention and disposition of specific public records. A general schedule is a retention
and disposition schedule that applies to records that state agencies or
localities have in common. The Library of Virginia creates all General Schedules for Virginia State Agencies. General Schedule 111, which is available at http://www.lva.lib.va.us/whatwedo/records/sched_state/GS-111.PDF,
is the schedule for records of state universities and colleges in the Commonwealth of Virginia. George Mason University adheres to this schedule.

Additional definitions are available at the GMU Records Management
website at:
http://www.gmu.edu/library/specialcollections/glossary.html.


IV. RESPONSIBILITIES

A. University

In accordance with Commonwealth laws and regulations, George
Mason University supports and cooperates with state Records
Management guidelines developed by the Records Management
and Imaging Services Division of the Library of Virginia for statewide
use.

B. Records Management Office

The University Records Manager is the officially designated Records Management Officer for George Mason University. In accordance
with the Virginia Public Records Act of the Code of Virginia
(§42.1-76 et seq.), the Records Manager’s responsibilities include:

1. Implementing the University Records Management Program in
keeping with Records Management policies and procedures established
by the Records Management and Imaging Services Division of the
Library of Virginia.

2. Managing and operating the University Records Center.

3. Providing training in Records Management procedures, policies,
and use of appropriate forms, as necessary, and working with
departmental records coor-dinators in maintaining the University
Records Management Program.

4. Disseminating information regarding General Retention and
Disposition Schedules to members of the university community
and assisting in surveying records that are unique to George Mason
University in order to compile and implement accurate and current
records retention and disposition schedules.

5. Assisting in identifying records that can be destroyed in accordance
with retention guidelines, and approving the accurate and timely
destruction of records by completing or reviewing the Certificate
of Records Destruction (RM-3) forms, pursuant to Library of
Virginia policy and procedures for the destruction of records.

6. Identifying vital, inactive, and permanent records, and ensuring
that records are properly maintained, protected, and accessible for
the length of time cited in applicable records retention and disposition schedules.

7. Participating in decisions concerning the reformatting and storage
of records, and coordinating and approving the transfer of records
to archival or temporary storage at the Library of Virginia.

8. Assisting as necessary in the preparation for and protection of
university records in the event of a disaster.

C. Department, School, or Academic Unit

Individual department or offices:

1. As needed, appoint departmental records coordinators to
coordinate with the University Records Manager regarding
departmental records.

2. Are primarily responsible for the maintenance and retention of
their records during active use, during which time the records are
defined as vital records.

3. After departmental records become inactive, are responsible to
initiate transfer of temporary inactive University records under their
control to the University Records Center.

4. After departmental records stored at the GMU Records Center
are eligible for disposal, the Records Manager will contact the
departmental representative to obtain the signature of a departmental representative on the Certificate of Records Destruction (RM-3) form.
The departmental representative is responsible for verifying that there
is no audit, investigation, or legal action is pending on the records and
that the records have not otherwise been reactivated. If there is no
pending action that would prohibit records disposal, the departmental representative should sign the Certificate of Records Destruction
(RM-3) form in a timely fashion so that the Records Management
Office can proceed with the disposal of the departmental records.

V. OTHER INFORMATION

Commonwealth requirements stipulate that records with archival
value must be retained permanently. A listing of records considered
by the Commonwealth to be permanent is available at http://www.lva.lib.va.us/whatwedo/records/manuals/00m%2Dch12.htm. Permanent records can be transferred to the George Mason University Archives in the Special Collections & Archives Department in Fenwick Library.

VI. COMPLIANCE

Retaining university records longer than the retention schedule
authorizes causes unnecessary legal and fiscal liabilities and is strictly forbidden. Conversely, premature disposal of university records carries
with it similar liabilities and is also strictly forbidden. No records may be destroyed without proper completion of Commonwealth Certificate of Records Destruction (RM-3) forms.

According to the Conditions for Records Retention and Disposition
section of all Commonwealth General Schedules, custodians of records
must ensure that information in confidential or privacy-protected records
is protected from unauthorized disclosure through the ultimate destruction
of the information. Normally, destruction of confidential or privacy-
protected records will be done by shredding or pulping. "Deletion" of confidential or privacy-protected information in computer files or other electronic storage media is not acceptable. Electronic records must be "wiped" clean or the storage media physically destroyed. These methods
of destruction are specified so that records may not be viewed or used
by unauthorized persons after they are disposed.

VII. EFFECTIVE DATE AND APPROVAL

This policy is effective July 1, 2002. This policy shall be reviewed and
revised, if necessary, annually to become effective at the beginning of
the University's fiscal year, unless otherwise noted. All amendments
and additions to Administrative Policy Number 1102 are to be
reviewed and approved by the Agency Records Manager and the
Library of Virginia.

Approved:

_______________________
Maurice W. Scherrens
Senior Vice President

________________________
Peter N. Stearns
Provost

Date approved: September 20, 2002