University Policies, George Mason University

General Policies

University Policy Number 1117

Subject: Responding to Virginia Freedom of Information Act (FOIA) requests for records.

Responsible Parties: All Heads of Departments, Schools and Activities.

Procedures: See Below

Related University Policies: Rights and Responsibilities under FOIA

Notification of Rights under the Family Educational Rights and Privacy Act (FERPA) - http://registrar.gmu.edu/privacy/index.html

Records Management - http://www.gmu.edu/facstaff/policy/newpolicy/1102gen.html

I. SCOPE

This policy applies to all George Mason University faculty and staff, all departments, schools and activities, and student organizations supported wholly or principally by public funds. The Office of University Counsel must be contacted immediately when records are sought pursuant to a court order or subpoena.

II. POLICY STATEMENT

As an agency of the Commonwealth, George Mason University is subject to the requirements of the Virginia Freedom of Information Act (FOIA). All officers and employees of the University will fully comply with the law, recognizing that exclusions from disclosure under FOIA are to be narrowly construed.

The General Assembly has ensured ready access to public records and open government by enacting FOIA. In doing so, they have carried forth George Mason’s charge in the Declaration of Rights that the good people of Virginia be “effectually secured against the danger of maladministration.”

III. DEFINITIONS

Public Records means all writings and recordings that consist of letters, words or numbers, or their equivalent, set down by handwriting, typewriting, printing, photostatting, photography, magnetic impulse, optical or magneto-optical form, mechanical or electronic recording or other form of data compilation, however stored, and regardless of physical form or characteristics, prepared or owned by, or in the possession of a public body or its officers, employees or agents in the transaction of public business. Code of Virginia §2.2-3701.

Scholastic records means those records containing information directly related to a student and maintained by a public body that is an educational agency or institution or by a person acting for such agency or institution. Code of Virginia §2.2-3701.

Public body as used in the Code of Virginia under FOIA means George Mason University.

IV. PROCEDURES

1. Upon receipt of a FOIA request:

a) The department, school or activity receiving the request should note the date upon which it was received. Any person making a verbal request should be asked to put it in written form, either on paper or via email, to avoid confusion and assure a proper response. There is no specific format for a request.

b) One of the four initial responses must be made in writing to the requestor within five (5) work days of receipt of the request:

(1) The records will be provided or made available.

(2) The records are withheld in their entirety, citing the specific provisions of law that exempt the records from disclosure.

(3) The records are withheld in part, or redacted, citing the specific provisions of law that exempt the withheld or redacted portions of the record from disclosure.

(4) That it is practically impossible to provide the requested records within five days, specifying the conditions that make a response unachievable, and that an additional seven (7) work days are required to provide one of the responses above.

c) The requestor may either inspect the records during regular business hours or obtain copies of the records

2. Exclusions to FOIA requests:

a) Some records, or parts of records, must or may be excluded from disclosure. Unless disclosure is otherwise prohibited by law (to include the Family Rights and Privacy Act, 20 U.S.C. §1232g), claiming an exclusion is discretionary. The FOIA Compliance Officer must be consulted prior to claiming any exclusion. Among the exclusions most relevant to George Mason University are:

(1) Scholastic records containing information concerning identifiable individuals, except that access will not be denied to the person who is the subject thereof. Code of Virginia §2.2-3705.4 (1).

(2) Confidential letters and statements of recommendation respecting admissions, application for employment, or receipt of an honor or honorary recognition. Code of Virginia §2.2-3705.4 (2).

(3) Data, records or information of a propriety nature produced or collected by or for faculty or staff of George Mason University (other than the University’s financial or administrative records) in the conduct of or as a result of study or research on medical, scientific, technical or scholarly issues, where such data, records, or information has not been publicly released, published, copyrighted or patented. Code of Virginia §2.2-3705.4 (3).

(4) Personnel records containing information concerning identifiable individuals, except that access will not be denied to the person who is the subject thereof. Code of Virginia §2.2-3705.1 (1).

(5) Any test or examination evaluating (i) a student’s performance (ii) an applicant or employee’s qualification for employment, retention or promotion or (iii) qualification for a license or certificate. Code of Virginia §2.2-3705.1 (4).

(6) Vendor proprietary information software. Code of Virginia §2.2-3705.1 (6).

(7) Computer software developed for George Mason University. Code of Virginia §2.2-3705.1 (7).

(8) Records relating to the negotiation and award of a specific contract where competition or bargaining is involved and where the release would adversely affect the bargaining position or negotiating strategy of George Mason University. This exclusion is only applicable until decision to award the contract is made. Code of Virginia §2.2-3705.1 (12).

(9) Working papers and correspondence of the President of George Mason University. Code of Virginia §2.2-3705.7 (2).

b) Specific reference to a section of the Code of Virginia must be made in writing when excluding a record or part of a record.

3. Costs for producing FOIA request:

George Mason University will make reasonable charges for actual costs in accessing, duplicating, supplying or searching for the requested records. The general costs associated with creating or maintaining records, or general costs of transacting University business, cannot be charged to a requestor. An Expense and Receipt Form will assist in computing costs.

4. Qualifications to FOIA responses:

a) If a request is for an extraordinary volume of records, and a timely response will prevent the department or activity from meeting its operational responsibilities, then a reasonable effort may be made to reach an agreement with the requestor for a schedule concerning production of the records. If an agreement cannot be reached, then George Mason University may petition the appropriate court for additional time. The FOIA Compliance Officer must be contacted prior to entering into any negotiation with a requestor.

b) If the charges for actual costs are determined in advance to exceed $200, then George Mason University will require the requestor to pay the amount of the advance determina-tion. Periods for response are tolled for that time between notice to the requestor and receipt of payment.

c) George Mason University is not required to produce records from an electronic database not regularly used. However, reasonable effort will be made to provide records in any format upon agreed terms and conditions, to include payment of reasonable costs

d) George Mason University is only required to respond to citizens of the Commonwealth, or to representatives of newspapers or magazines having circulation within the Commonwealth, or to representatives of radio or television stations broadcasting in or into the Commonwealth. All other requests from outside Virginia should be declined.

V. RESPONSIBILITIES

FOIA Compliance Officer: University Counsel will serve as the FOIA compliance officer for George Mason University. The FOIA Compliance Officer will provide advice and assistance to University employees, and will additionally determine when the University will claim an exclusion to a FOIA request. All questions concerning this policy should be directed to the FOIA Compliance Officer.

Responsible Parties: All heads of departments, schools and activities in possession of or having access to requested records are responsible for responding to requests. If a request is received for records neither in possession nor accessible to the department, school or activity, then such request must immediately be forwarded to the FOIA Compliance Officer for response.

George Mason University employees, in their individual capacity, can be held civilly liable for knowing or willful violations of FOIA. First violations carry a civil penalty of not less than $250 nor more than $1,000. Second or subsequent violations carry a civil penalty of not less than $1,000 nor more than $2,500. Code of Virginia §2.2-3714.

V. EFFECTIVE DATE AND APPROVAL

This policy is effective September 1, 2006. This policy will be reviewed and revised in accord with any changes made by the General Assembly to the Freedom of Information Act.

Approved:

_______________________
Maurice W. Scherrens
Senior Vice President

________________________
Peter N. Stearns
Provost

Date approved: September 11, 2006