Special Collections Research Center
Special Collections Research Center
Records Management at the College of William and Mary
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 management identifies and describes an organization's records, usually at the series level, and provides instructions for the disposition and retention of records throughout their life cycle.
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).
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. Virginia's Public Records Act defines a record for our purposes. A Guide to the Virginia Public Records Act is available.
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 General 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 (deleted effective March 2009; replaced by GS 113: Information Technology Records)
GS 111: College and University Records
GS 113: Information Technology Records
The Library of Virginia has added a 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.
Electronic Records
Offices should consult with Information Technology and the University Archives in matters related to the retention, transfer to archives, and disposition of electronic records. The Library of Virginia provides general electronic records guidelines including guidelines for databases, web content, email management, and more on the agency's website.
All offices must complete the Certificate of Records Destruction (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 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 before destruction.
Guidelines and resources for the removal of data from electronic media is available from Information Technology.
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 requests 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 in the future. At the time of destruction, the originating office will be required to complete the Certificate of Records Destruction (RM-3 form) with assistance from the University Archives.
All offices and departments should contact the University Archives in advance of transferring records. The University Archives reviews all submissions and decides whether the records will be retained in the Archives permanently for historical, legal, administrative, or financial reasons or if they are to be destroyed at that time or in the future. Upon consulting with the University Archives, offices will need to provide an inventory of the material to be transferred to the University Archives and store material in appropriate boxes (standard office file boxes are described below). The transfer of electronic records are presently handled on a case by case basis.
All records transferred to the University Archives should be in standard one cubic foot boxes ( 10"H x 12"W x 15"D). A label must be attached below the box handle and should be approximately 3" x 5" in size. The University Archives does not furnish boxes or labels to offices. Each label should include the following information:
After consulting with the University Archives, offices and departments transferring permanent or temporary records will be asked to arrange the delivery of the material. Requests should be made to Facilities Management indicating that the movers must contact Steven Bookman (757-221-3096) to set a delivery time. If your office is transferring a small amount of records not requiring the assistance of campus movers, consult Steven Bookman.
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 William and Mary faculty and staff responsible for records management in offices and departments is available.
The most recent training sessions were offered in June-July 2009. No sessions are currently scheduled. Announcements of future scheduled trainings will be made to the records management listserv, WMDigest, university training calendar, and on this website.
The Library of Virginia has made available slides with narration for the Basic Records Management and Electronic Records Management workshops. Offices and departments are encouraged to watch these training sessions when training is not currently offered at the College of William and Mary or as a refresher for previous training.
Office Moves
All offices and departments with a move in their future are encouraged to contact the University Archives for assistance in move preparations as pertains to transferring permanent or temporary records to the University Archives and/or destroying records. The University Archives can provide 90 minute training sessions, visit unit meetings for briefer question and answer sessions, and/or provide one-on-one assistance to offices as staffing allows. Contact Amy Schindler or Steven Bookman to discuss your records in preparation for your upcoming move.
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).