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Stanford University
Office of theUniversityRegistrar
Paper to Electronic Images: Tips for a Successful Credential File Conversion
Reid KallmanAssistant University Registrar
Stanford University • Office of the University Registrar
Stanford University
o Private research University founded in 1891
o Our student body
• 6,689 undergraduates
• 8,201 graduate students
o Approx. # of student records
• Microfilm transcripts1891-1985: 480,287 images
• Paper credential files: 700,000 images, est.
Stanford University • Office of the University Registrar
Student Records Systems at Stanford
o PeopleSoft SA 8.0• Including PS Portal• Upgrade to PS 9.0 in Summer 2008
o OnBase Document Imaging 5.2• UG Admissions began using system in 2005 • Registrar’s Office began system in 2006
Stanford University • Office of the University Registrar
Overview
o The Setting: Stanford Universityo The Old Way and The New Wayo Phase I: Establishing Document Retention and Disposal Policyo Phase II: Document Imaging of Paper and Microfilm Recordso What We Learned at Stanfordo Best Practiceso Costs Incurredo Staff Requirementso Tips for a Successful Document Imaging System
o Are You Ready?
Stanford University • Office of the University Registrar
The Old Way … Where we WERE!
Old Student Credentials Files stored in two ways:• Paper documents in files• Microfilm rolls
Stanford University • Office of the University Registrar
Downsides!
o Long-Term Paper Storage Practices• Lost or misplaced of records• Massive storage problems• Destructibility• Staff time
o Microfilm• Deterioration of image quality• Deterioration of records• Staff time• Mechanical issues … who knows how to fix this thing??!!
Stanford University • Office of the University Registrar
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
The NEW Way … Where we ARE!
Stanford University • Office of the University Registrar
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
Stanford University • Office of the University Registrar
Phase I:Establishing Document Retention & Disposal Policy
o Stanford relied on AACRAO’s Guide for Retention and Disposal of Student Records
o 5 standards for establishing a policyPhase I:1. Identify need2. Inventory of records3. Appraisal and categorizationPhase II:4. Creation and Implementation5. Review and modification of program
Stanford University • Office of the University Registrar
Step 1: Identify Needo Institutional Needs
• State, federal, or local laws governing retention practices?
• Security and accessibility of student records?
• Amount of physical storage space available?
o 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?
o Student Needs • What is the process for students to view their file?
• Can this be accommodated or improved?
Stanford University • Office of the University Registrar
Step 2: Inventory of Records
o 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
o 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?
Stanford University • Office of the University Registrar
Step 3: Appraisal and Categorization
o Identify significance of each type of record • Administrative, Fiscal, Legal, Historical
o Initial records appraisal steps taken by Stanford• Committee includes registrar, managers, legal, & staff• AACRAO’s records retention guide used as springboard
o Categorization• Stanford sorted by academic appropriate category, form
type, and retention period
Stanford University • Office of the University Registrar
Step 4: Creation and Implementation
o Steps 1-3 led to the creation of a Master Document Retention Spreadsheet for staff reference
o Stanford determined:o Forms will be stored for reasonable lengths of time:
• quarter, year, 5 years, permanento Scanned forms
• 5 years, permanento Eventual disposal
• Paper forms filed & stored for reference• quarter, year
Stanford University • Office of the University Registrar
Stanford’s Master Retention Spreadsheet
Stanford University • Office of the University Registrar
Phase II:Document Imaging of Paper & Microfilmed Records
o Decide on software & vendoro Software
• User friendly• Compatibility with student information system• Technical features: security, back up
o Vendors:• Gather information – proximity, reputation, etc• Feedback from other schools’ experiences• Quotes from multiple vendors
Stanford University • Office of the University Registrar
Stanford Vendor and Software Choices
o OnBaseHyland Worldwide Headquarters28500 Clemens RoadWestlake, OH 44145Phone: 440-788-5000http://www.onbase.com
o microMEDIA Imaging Systems, Inc.1979 Marcus AvenueLake Success, NY 11042Phone: 516-355-0300http://www.imagingservices.com
Stanford University • Office of the University Registrar
Step 4: Creation and Implementation
o Develop project plan for document imaging implementation• Communication
o Set goals and timelines• Small victories along the way
o Begin with high priority documents • Microfilm transcripts• Paper documents of current student records
o Then other microfilmed student credentials
Stanford University • Office of the University Registrar
Step 5: Review and Modification of the Program
o Review and update your newly established policy• Have new forms been added?• Have old forms been phased out?
o Records retention decisions• Did they prove more/less useful than originally thought
o Next step• Improved software that might benefit you even more
• Stanford is looking at Nolij• PS integration
Stanford University • Office of the University Registrar
What We Learned at Stanford
Learn from other schools and gather feedback before making any decisions!
o Best practiceso Costs incurredo Staff requirementso Tips / suggestions
Stanford University • Office of the University Registrar
Best Practices
o Prioritize order of imaging!o First: Highly accessed docs & active student records
• Microfilmed transcripts• Current forms related to current student records
o Later: Less accessed documents• Microfilmed credentials
o Big picture• Registrar’s office can be guide for other offices on
campus, workflow, retention practices, etc.
Stanford University • Office of the University Registrar
Costs
o Factorso Employee costs
• full time, temporary, and student workerso Licensing, software, and hardwareo Other third party vendor services
• Shipping costs and supplies• Converting microfilmed records to images• Converting paper records to images
Stanford University • Office of the University Registrar
Staff Requirements and Suggestions
o Use student workers and temp help for:• Prepping folders • Taking inventory• Organizing documents• Scanning documents
o Staff training• Train staff at appropriate time, early enough that they
can understand system for go live, but not months before actual implementation
Stanford University • Office of the University Registrar
Tips for a Successful Implementation
o Approach project one step at a time• Volume can be overwhelming
o Thorough testing of processes• Work through technical specs & kinks with vendor
at beginning to prevent issues in later stages
o Develop system for obtaining off site student records• Multiple contacts at institution and vendor
o Significance of the project• Student records are important, highly sensitive information:
• Be cautious, methodical, and accurate
• Don’t rush the project
Stanford University • Office of the University Registrar
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?
Are You Ready?
o Do you have an outdated paper or microfilm storage process?
o Do you have executive sponsorship (e.g., funding)?
o Do you have appropriate staffing to implement the project?
o Do you have staff to troubleshoot and provide support?
o Do you have established document retention policy?
Stanford University • Office of the University Registrar
Questions and Answers
Reid KallmanAssistant University Registrar, Stanford University