1. 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

2. 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 retention and electronic records

3. Your Role as a Records Coordinator
Serve as a liaison between department and Records Management Officer (RMO)
RMO – Justina Geremia ,
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:

4. 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 -
NYS General Retention and Disposition Schedule

5. 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

6. 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 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

8. 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

9. 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.

10. 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.

11. 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

12. 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:

13. 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

14. 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:

15. 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

16. 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:

17. 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

18. 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:

19. Are s Records?
s 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 s and best understand the work that we do, we know best if our communications are records. Therefore much of determining if an (or paper, PDF etc.) is a record is up to you.
Most s are NOT records. Most s are simply ESI (Electronically Stored Information) without a lasting legal, operational, or historic value. Only s that serve a legal, operational, or historical value are records, and the rest should be deleted accordingly.
Example
If the 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 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.
Retention Resources:
SUNY Guidance document included in SUNY’s Record Retention and Disposition Policy
NYS Archives Essentials Webinar

20. 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

21. 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.

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