Paper to Electronic Images: Tips for a Successful Credential File Conversion

1. Paper to Electronic Images: Tips for a Successful Credential File Conversion Reid Kallman Assistant University Registrar

2. Private research University founded in 1891 Our student body 6,689 undergraduates 8,201 graduate students Approx. # of student records Microfilm transcripts1891-1985: 480,287 images Paper credential files: 700,000 images, est. Stanford University

3. Student Records Systems at Stanford • PeopleSoft SA 9.0 • Including PS Portal • Recently Upgraded to PS 9.0 in August 2008 • OnBase Document Imaging 5.2 • UG Admissions began using system in 2005 • Registrar’s Office began system in 2006

4. The Old Way … Where we WERE! Old Student Credentials Files stored in two ways: • Paper documents in files • Microfilm rolls

5. Downsides! • Long-Term Paper Storage Practices • Lost or misplaced records • Massive storage problems • Destructibility • Staff time • Microfilm • Deterioration of image quality • Deterioration of records • Staff time • Mechanical issues … who knows how to fix this thing??!!

6. The NEW Way … Where we ARE! • Current Student Credentials files stored in two ways: • Electronic images accessed via computers • Paper forms in file folders for short term quick reference and eventual disposal

7. Electronic Imaging of Documents • Benefits of the New Way: • Quick and easy access to documents • Single document reference by staff at same time • Images last longer • Increased security • Improved audit and control • Prevents and protects against misplaced or lost records

8. Phase I:Establishing Document Retention & Disposal Policy • Stanford relied onAACRAO’s Guide for Retention and Disposal of Student Records • 5 standards for establishing a policy • Phase I: 1. Identify need 2. Inventory of records 3. Appraisal and categorization Phase II: 4. Creation and Implementation 5. Review and modification of program

9. Step 1: Identify Need • Institutional Needs • State, federal, or local laws governing retention practices? • Security and accessibility of student records? • Amount of physical storage space available? • Administration / Management / Staff Needs • How frequently do staff, management, administration access records? • On what media are students records currently maintained? • How long does your school currently retain documents? • What type of forms are in each record? • Different versions of same form? • Student Needs • What is the process for students to view their file? • Can this be accommodated or improved?

10. Step 2: Inventory of Records • Identify old storage methods • Stanford had two storage methods: • Paper credential records • Current students: folders pulled after degree conferral • Microfilmed records • Old student credentials & official transcripts • Identify inventory within each storage medium • What are the current filing/storage methods? • What are the names of forms that currently exist? • Are these records official records or copies? • Frequency of record reference and updates?

11. Step3: Appraisal and Categorization • Identify significance of each type of record • Administrative, Fiscal, Legal, Historical • Initial records appraisal steps taken by Stanford • Committee includes registrar, managers, legal, & staff • AACRAO’s records retention guide used as springboard • Categorization • Stanford sorted by academic appropriate category, form type, and retention period

12. Step 4: Creation and Implementation • Steps 1-3 led to the creation of a Master Document Retention Spreadsheet for staff reference • Stanford determined: • Forms will be stored for reasonable lengths of time: • quarter, year, 5 years, permanent • Scanned forms • 5 years, permanent • Eventual disposal • Paper forms filed & stored for reference • quarter, year

13. Stanford’s Master Retention Spreadsheet

14. Phase II:Document Imaging of Paper & Microfilmed Records • Decide on software & vendor • Software • User friendly • Compatibility with student information system • Technical features: security, back up, audit • Vendors: • Gather information – proximity, reputation, etc • Feedback from other schools’ experiences • Quotes from multiple vendors

15. OnBase: Hyland Worldwide Headquarters 28500 Clemens Road Westlake, OH 44145 Phone: 440-788-5000 http://www.onbase.com microMEDIA Imaging Systems, Inc. 1979 Marcus Avenue Lake Success, NY 11042 Phone: 516-355-0300 http://www.imagingservices.com Stanford Vendor and Software Choices

16. Step 4: Creation and Implementation • Develop project plan for document imaging implementation • Set goals and timelines • Small victories along the way • Begin with high priority documents • Microfilm transcripts • Paper documents of current student records • Then lower priority documents • Student file folders – alumni • microfilmed student credentials

17. Step 5: Review and Modification of the Program • Review and update your newly established policy • Have new forms been added? • Have old forms been phased out? • Records retention decisions • Did they prove more/less useful than originally thought? • Did staff reference paper forms more than expected? • Next step • Improved software that might benefit you even more • Stanford is looking at Nolij • PS integration, Higher Ed Based

18. What We Learned at Stanford • Learn from other schools and gather feedback before making any decisions! • Best practices • Costs incurred • Staff requirements • Tips / suggestions

19. Best Practices • Prioritize order of imaging! • First: Highly accessed docs & active student records • Microfilmed transcripts • Current forms related to current student records • Later: Less accessed documents • Microfilmed credentials • Stay on top of incoming forms • Hired Help vs. Staff scanning • Big picture • Registrar’s office can be guide for other offices on campus, workflow, retention practices, etc.

20. Costs • Factors • Employee costs • full time, temporary, and student workers • Licensing, software, and hardware • Other third party vendor services • Shipping costs and supplies • Converting microfilmed records to images • Converting paper records to images

21. Staff Requirements and Suggestions • Use student workers and temp help for: • Prepping folders • Taking inventory • Organizing documents • Scanning documents • Staff training • Train staff at appropriate time, early enough that they can understand system for go live, but not before actual implementation

22. Tips for a Successful Implementation • Approach project one step at a time • Volume can be overwhelming • Thorough testing of processes • Work through technical specs & kinks with vendor at beginning to prevent issues in later stages • Develop system for obtaining off site student records • Multiple contacts at institution and vendor • Significance of the project • Student records are important, highly sensitive information: • Be cautious, methodical, and accurate • Don’t rush the project

23. Are You Ready? • Do you have anoutdated paper or microfilm storage process? • Do you haveexecutive sponsorship(e.g., funding)? • Do you haveappropriate staffing to implement the project? • Do you havestaff to troubleshoot and provide support? • Do you have establisheddocument retention policy? • Do you have an outdated paper or microfilm storage process? • Do you have executive sponsorship (e.g., funding)? • Do you have appropriate staffing to implement the project? • Do you have staff to troubleshoot and provide support? • Do you have established document retention policy?

24. Questions and Answers Reid Kallman Assistant University Registrar, Stanford University reidk@stanford.edu