Farmingdale State College Records Management Training Spring 2017 Farmingdale State College Records Management Training Presented by Justina Geremia Internal Control Officer and Records Management Officer Title Screen

Learning Outcomes Better understand your role as a Records Coordinator Identify when and what to dispose Recognize resources to help you with managing your department’s records Learn about email retention and electronic records

Your Role as a Records Coordinator Serve as a liaison between department and Records Management Officer (RMO) RMO – Justina Geremia 631-794-6365, Justina.Geremia@farmingdale.edu Know how to use the SUNY and NYS General Retention and Disposition Schedules Manage records and keep an inventory to track the state of inactive records through their destruction Complete and submit certificates of destruction Participate in trainings and familiarize yourself with information regarding College policies and procedures on records management FSC Records Retention policy is located on the Retention and Disposition of Records webpage, under Internal Control, at: http://www.farmingdale.edu/records

SUNY Records Retention and Disposition Policy - 6609 Retention and disposition of official records are governed by the NYS Arts and Cultural Affairs Law Records cannot be destroyed unless in conformity with: SUNY Records Retention and Disposition Schedule - http://www.suny.edu/sunypp/documents.cfm?doc_id=650 NYS General Retention and Disposition Schedule http://www.archives.nysed.gov/common/archives/files/mr_pub_genschedule.pdf

7 Year Misconception Why Records Management is Critical to Compliance Each record has a different Retention and Disposition Schedule About 20% responded that records are disposed of after a specific timeframe Everything should be disposed of after 7 years is a common misconception and can lead to negative legal implications Why Records Management is Critical to Compliance Data Breaches - If information is retained longer than required and it contains private data, it raises the probability for a privacy breach Information Requests – If information is retained past its retention period, we are required to provide it and this causes an administrative burden Storage and IT Costs – Non-Compliance causes an undue burden on the college to maintain electronic servers and physical storage space

Examples of Non Records What is a Record? Examples of Records Residency Occupation Records Incident Data Summary Record Health & Wellness Student Medical Records Athletic Training Records Student Academic Records Student Advising Records List of Employees who handle toxic substances Documentary material transmitted or stored by a campus AND, has legal, operational, or historical value. - Including, but not limited to, reports, statements, examinations, memoranda, opinions, folders, files, books, manuals, pamphlets, forms, papers, designs, drawings, maps, photos, letters, microfilms, computer tapes or discs, rules, regulations or codes This includes any records created while conducting College business using personal email accounts or personal electronic devices (i.e. laptops, smart phones etc.) Examples of Non Records Draft Policies Draft Reports Duplicate Records Official v. Convenience Copy

Record Status and Storage Active Inactive Enrolled student files Files of students who have graduated Current FSC employee records Past employee records Open Legal Claim Closed Legal Claim Current fiscal year’s financial documents Past year’s financial documents Upcoming event files Past event files Record Storage Active and Inactive records should be stored separately Records should be stored by likeness Inactive records should be stored by date of intended destruction Physical Plant can assist with storage if necessary

New Campus Procedure Storing Records If you need assistance from Physical Plants with storing records: Submit Certificate of Destruction to Records Management Officer (RMO) RMO will submit workorder for storage Complete file box label Physical Plant will coordinate pick up of records Shredding Records If you need assistance from Physical Plants with destroying records: RMO will submit workorder for shredding To request shredding for documents that are not records or for recycling purposes, departments should continue to complete work order.

New Certificate of Destruction Where This form can be found on the Records Retention web page, farmingdale.edu/records Who This form should be completed by the Records Coordinator or other department designee and submitted to the RMO. When This form should be submitted when records are destroyed, digitized, or given to Physical Plant for storage.

Certificate of Destruction Exercise Using the Record Disposition Schedules Record Examples: 1. Disciplinary Record – Alcohol Violation on March 20, 2010 2. Annual DOB certification – March 15, 2017 3. Faculty Grade Files– Grade Information from May 2015 4. Invoice – UOF Paid Invoice from December 1, 2011 SUNY Records Retention and Disposition Schedule NYS General Retention and Disposition Schedule

Creation Date of Records Being Destroyed Index Number (RDA)   Records Title Content September 2009 – May 2010 22315 Discipline Records Major Code of Conduct Violations Record is an original copy that was converted to a digital record Yes ☐ No X All record conversions must be pre-approved by the Records Management Officer and IT Digitization System Used: NA Method of Destruction Will you:   ☐ Shred paper records yourself, in your department/unit OR X Require assistance with paper shredding from Physical Plant ☐ Dispose of electronic records only Paper: Number of files: 100 Number of boxes: 2 Electronic: Quantity of KB, MB, GB: Date of Destruction: May 2017 Name of Department: Dean of Students Signatures of Approving Officials: _____________________________________________________________________________________________________________________________ Department Records Coordinator Supervisor/Director/Department Head For Office Use Only: Date of Receipt by Records Management Officer:

Certificate of Destruction Exercise Using the Record Disposition Schedules Record Examples: 1. Disciplinary Record – Alcohol Violation on March 20, 2010 2. Annual DOB certification – March 15, 2017 3. Faculty Grade Files– Grade Information from May 2015 4. Invoice – UOF Paid Invoice from December 1, 2011 SUNY Records Retention and Disposition Schedule NYS General Retention and Disposition Schedule

Creation Date of Records Being Destroyed Index Number (RDA)   Records Title Content March 15, 2017 90104 Nonroutine Financial Reports and Studies Internal Control Summary and Certification Form Record is an original copy that was converted to a digital record Yes ☐ No X All record conversions must be pre-approved by the Records Management Officer and IT Digitization System Used: NA Method of Destruction Will you:   X Shred paper records yourself, in your department/unit OR ☐ Require assistance with paper shredding from Physical Plant ☐ Dispose of electronic records only Paper: Number of files: 1 Number of boxes: Electronic: Quantity of KB, MB, GB: Date of Destruction: June 30, 2020 Name of Department: Internal Control Office Signatures of Approving Officials: _____________________________________________________________________________________________________________________________ Department Records Coordinator Supervisor/Director/Department Head For Office Use Only: Date of Receipt by Records Management Officer:

Certificate of Destruction Exercise Using the Record Disposition Schedules Record Examples: 1. Disciplinary Record – Alcohol Violation on March 20, 2010 2. Annual DOB certification – March 15, 2017 3. Faculty Grade Files– Grade Information from May 2015 4. Invoice – UOF Paid Invoice from December 1, 2011 SUNY Records Retention and Disposition Schedule NYS General Retention and Disposition Schedule

Creation Date of Records Being Destroyed Index Number (RDA)   Records Title Content May 2015 22193 Instructor’s Grade Records Faculty Grade Files Record is an original copy that was converted to a digital record Yes ☐ No X All record conversions must be pre-approved by the Records Management Officer and IT Digitization System Used: NA Method of Destruction Will you:   X Shred paper records yourself, in your department/unit OR ☐ Require assistance with paper shredding from Physical Plant ☐ Dispose of electronic records only Paper: Number of files: 400 Number of boxes: 4 Electronic: Quantity of KB, MB, GB: Date of Destruction: May, 2017 Name of Department: Biology Signatures of Approving Officials: _____________________________________________________________________________________________________________________________ Department Records Coordinator Supervisor/Director/Department Head For Office Use Only: Date of Receipt by Records Management Officer:

Certificate of Destruction Exercise Using the Record Disposition Schedules Record Examples: 1. Disciplinary Record – Alcohol Violation on March 20, 2010 2. Annual DOB certification – March 15, 2017 3. Faculty Grade Files– Grade Information from May 2015 4. Invoice – UOF Paid Invoice from December 1, 2011 SUNY Records Retention and Disposition Schedule NYS General Retention and Disposition Schedule

Creation Date of Records Being Destroyed Index Number (RDA)   Records Title Content July 2011-June 2012 90393 Accounts Receivable Records Paid Invoices from UOF Officer Record is an original copy that was converted to a digital record Yes ☐ No X All record conversions must be pre-approved by the Records Management Officer and IT Digitization System Used: NA Method of Destruction Will you:   ☐ Shred paper records yourself, in your department/unit OR X Require assistance with paper shredding from Physical Plant ☐ Dispose of electronic records only Paper: Number of files: 100 Number of boxes: 2 Electronic: Quantity of KB, MB, GB: Date of Destruction: June 30, 2018 Name of Department: Dean of Students Signatures of Approving Officials: _____________________________________________________________________________________________________________________________ Department Records Coordinator Supervisor/Director/Department Head For Office Use Only: Date of Receipt by Records Management Officer:

Are Emails Records? Emails are records if…they are documents that are transmitted or stored by the campus AND has legal, operation, or historical value. Since we are assigned our emails and best understand the work that we do, we know best if our communications are records. Therefore much of determining if an email (or paper, PDF etc.) is a record is up to you. Most emails are NOT records. Most emails are simply ESI (Electronically Stored Information) without a lasting legal, operational, or historic value. Only emails that serve a legal, operational, or historical value are records, and the rest should be deleted accordingly. Example If the email represents part of an individual student’s conduct record—a charge notice for instance—it should be kept in accordance with the SUNY schedule item on student conduct records and retention of such records. If an email is an invitation to a meeting, it probably has no value after it has been read (or maybe after the meeting has taken place) and should be deleted. Email Retention Resources: SUNY Email Guidance document included in SUNY’s Record Retention and Disposition Policy NYS Archives Email Essentials Webinar http://www.archives.nysed.gov/workshops/recordings

Digitization of Records Digitization is the process of converting paper records into digital copies. All requests to digitize your records must be submitted to the Records Management Officer and approved by Information Technology. Before submitting a request to digitize your records, please review the SUNY Records Retention Policy regarding digitization. Most SUNY records can be digitized but If a record cannot be digitized, it is specifically noted on the SUNY retention schedules. Digital records should be treated as any other record. Retention schedules and campus procedures still apply… A Certificate of Destruction must be completed once the original paper document is destroyed. Digital copies should be destroyed based on the retention schedule A Certificate of Destruction must be completed once the digital copy is destroyed

shred your outdated records!   FSC Shred DAY July 11, 2017 Help our college better manage records and recycle at the same time! WHat You Need to Do: 1. Contact the RMO by june 16th with the amount of boxes you will need. 2. Box up your outdated records. 3. Thank Physical Plant for securely destroying your unneeded records.

Farmingdale.edu/records Questions? Farmingdale.edu/records Records Management Training Farmingdale State College April 5th & 6th Presented by Justina Geremia, Records Management Officer