Special Collections Research Center
Special Collections Research Center
Records Management at the College of William and Mary
Records managment is defined as "the systematic and administrative control of records throughout their life cycle to ensure efficiency and economy in their creation, use, handling, control, maintenance, and disposition" (Society of American Archivists, A Glossary of Archival and Records Terminology). The University Archives provides authorization and assistance for records management at the College of William and Mary. The university, like all state universities, is considered a state agency for the purpose of managing its records. This means that it is subject to the records retention schedules for state agencies. Records retention periods for William and Mary meet both federal and state requirements. Records retention schedules identify and describe an organization's records, usually at the series level, and provide instructions for the disposition and retention of records throughout their life cycle.
Introduction to Records Management focusing on Conventional (Paper) Records
Do you have filing cabinets and boxes full of documents? All offices and departments must follow Virginia’s records retention schedules-is yours? Attending a records management workshop will get you started conquering these and other records issues. Workshops will focus on conventional (paper) records and should be attended by personnel responsible for department and university records who have not attended a records workshop within the previous 18 months.
The College of William and Mary, like all state universities, is considered a state agency for the purpose of managing its records and is subject to the records retention schedules for state agencies. The provisions of Virginia's Public Records Act govern the majority of materials created in or received by university offices and the law mandates that no material that falls under the definition of public records may be destroyed without authorization. Attending this workshop will provide an overview of records management that every office and employee should have including terminology, laws and regulations, benefits, and procedures. It will cover identifying the records in your office, determining what records must be kept or can be destroyed, and transferring records to the University Archives. Amy Schindler, University Archivist, will lead the training sessions.
Sessions were recently held in May adn June 2008 and will be offered again in the future. Watch WMDigest for announcements of future training sessions.
Introduction to Electronic Records Management
This training session focusing on confronting electronic records, including email, is scheduled for July 2008. Individuals interested in attending this workshop should have attended one of the introduction to records management workshops scheduled for May and June 2008.
RSVP to Steven Bookman for one of the electronic records sessions:
July 15th from 9:00-10:00a.m., Ford Classroom on the ground floor of Swem Library
July 24th from 2:00-3:00p.m., Ford Classroom on the ground floor of Swem Library
Mason School of Business
Sessions for the Mason School of Business in prepartion for moving to Alan B. Miller Hall in 2009 were held on June 3 and 12, 2008. Contact Amy Schindler or Steven Bookman if you were unable to attend one of these sessions to discuss your records in preparation for the move to Alan B. Miller Hall in 2009.
A public record is recorded information that documents a transaction or activity by or with any public officer, agency (i.e. the College of William and Mary), or employee of an agency. Regardless of physical form or characteristic, the recorded information is a public record if it is produced, collected, received or retained in pursuance of law or in connection with the transaction of public business. The medium upon which such information is recorded has no bearing on the determination of whether the recording is a public record.
The provisions of Virginia’s Public Records Act govern the majority of materials created in or received by university offices other than exempted reference materials, and the law mandates further that no material that falls under the definition of public records may be destroyed without permission. There are legal penalties for destroying records without official authorization. Records retention schedules identify and describe an organization's records, usually at the series level, and provide instructions for the destruction or transfer of records throughout their life cycle. These schedules maintained by the Library of Virginia are known as General Schedules and are divided into broad categories including administrative records, college and university records, fiscal records, personnel records, and others. GS 111 is the General Schedule for college and university records. The following schedules may also apply to records created at the College of William and Mary:
GS 101: Administrative Records
GS 102: Fiscal Records
GS 103: Personnel Records
GS 104: Mailroom Records
GS 105: Motor Vehicle Records
GS 106: General Services Records
GS 107: Food Service Records
GS 108: Fire, Safety and Security Records
GS 109: Library and Museum Records
GS 110: Electronic Records
The Library of Virginia has added a keyword searchable database that will scan across the various General Schedules, minimizing (but not entirely eliminating) the need for individuals to open and close the individual PDF files in order to locate an appropriate records series. The Searchable Database link is just under the Introduction and the Glossary at http://www.lva.lib.va.us/whatwedo/records/sched_state/index.htm.
All offices must complete the RM-3 form and submit it to the University Archivist before records can be destroyed. It is critical that offices not destroy records before the University Archivist has approved the destruction of the records. An example of a completed RM-3 form is available. The General Records Retention and Disposition Schedules for Virginia should always be consulted before submitting any records for destruction. Contact University Archives Specialist Steven Bookman (757-221-3096) for assistance in preparing records and the proper form for before destruction.
Exceptions to Records Retention Schedules
Please note that if any records are still under audit, lawsuit, etc., at the time of the scheduled disposal date, those records cannot be destroyed until a specified amount of time after the resolution of all such pending or ongoing action. Contact the University Archives if you have questions about records disposal procedures or if your records require customized disposal.
If you have university records that are unique or do not fall within one of the above schedules, contact the University Archives for assistance.
If you hold university records that you believe should be retained for a period of time longer than what is mandated by the Library of Virginia, you must consult with and have the approval of the University Archivist. Contact the University Archivist to discuss local College practices. Policies that differ from the Library of Virginia General Schedules will be made available to William and Mary offices from this site.
Effective July 1, 2006, the Virginia Public Records Act was changed to include a provision for the timely destruction of records created after that date that include personally identifiable information. The Library of Virginia (the agency overseeing records management in the state) interprets “timely manner” to mean that records scheduled for destruction will be destroyed no later than the end of the year (calendar or fiscal) in which the retention period expires. Identifying information includes: social security number; driver's license number; bank account numbers; credit or debit card numbers; personal identification numbers; electronic identification codes; automated or electronic signatures; or passwords.
Offices and departments wishing to transfer records to the University Archives for permanent retention documenting the College's history or temporary storage until the retention period has been reached, should contact the University Archives. The University Archives reviews all submissions and will make the final determiniation as to the retention or destruction of records. Records determined to be permanent are generally retained in the University Archives for historical, legal, administrative, or financial reasons. Records determined to be temporary records will be put into temporary storage and scheduled for destruction.
All offices and departments should contact the University Archives to discuss transferring records to the University Archives. The University Archives reviews all submissions and decides whether the records will be retained in the Archives for historical, legal, administrative, or financial reasons or if they are to be destroyed.
All records transferred to the University Archives should be in standard one cubic foot boxes (do not use bankers boxes) and include one label below the handle. Each label should include the following information:
Department/Office name
Accession number (provided by the University Archives)
Records Series (where applicable)
Destruction Date (where applicable)
Box number
The Records Locator Inventory Form (RM-20) created by the Library of Virginia is available to assist your office as you inventory the records in your office and storage areas. Completion of this form is not required, but you may find it helpful if the records in your office have not been reviewed and maintained for several years.
A listserv for College faculty and staff responsible for records management in offices and departments is available.
If you have any questions about records in your office or any matter related to records management, please contact University Archivist Amy Schindler (757-221-3094) or University Archives Specialist Steven Bookman (757-221-3096).