Managing Case Files Managing Case Files EffectivelyEffectively

New York State ArchivesNew York State Archiveswww.archives.nysed.govwww.archives.nysed.gov

NYALGRO Training School2005

Lake Placid

Types of Case FilesTypes of Case Files

Files on IndividualsFiles on Individuals

– Personnel FilesPersonnel Files

– Social Services CasesSocial Services Cases

– Student FilesStudent Files

– Inmate FilesInmate Files

– Medical FilesMedical Files

Project FilesProject Files

– Capital Project FilesCapital Project Files

– Building Permit FilesBuilding Permit Files

– Investigation FilesInvestigation Files

– Legal Case FilesLegal Case Files

– Planning Case FilesPlanning Case Files

Characteristics of Case Characteristics of Case FilesFiles

Information about one “case”Information about one “case”

Contain various types of informationContain various types of information

Records from many sources Records from many sources

Usually filed togetherUsually filed together

Case Files StructuresCase Files Structures

SimpleSimple

Segmented Segmented

Virtual Virtual

Advantages of Case FilesAdvantages of Case Files

Quicker AccessQuicker Access

Single Series to MaintainSingle Series to Maintain

Diverse Materials Filed TogetherDiverse Materials Filed Together

Issues with Case FilesIssues with Case Files

Managing through Life CycleManaging through Life Cycle

Access and RetrievalAccess and Retrieval

ConfidentialityConfidentiality

Physical ManagementPhysical Management

Retention and DispositionRetention and Disposition

AppraisalAppraisal

Managing Case Files Managing Case Files through the Life Cyclethrough the Life Cycle

CreationCreation

Active UseActive Use

Inactive StorageInactive Storage

DispositionDisposition

Access and RetrievalAccess and RetrievalProblemsProblems

Imperfect filing systemsImperfect filing systems

MisfilesMisfiles

Files that are not returnedFiles that are not returned

Weak system of refilingWeak system of refiling

Access and RetrievalAccess and RetrievalSolutionsSolutions

Conversion to better filing systemsConversion to better filing systems

File planFile plan

Database trackingDatabase tracking

BarcodingBarcoding

Converting Case FilesConverting Case Files

To other mediaTo other media

To other physical filing systemsTo other physical filing systems

To other intellectual filing systemsTo other intellectual filing systems

Reasons forReasons forDeveloping File ManualsDeveloping File Manuals

Systematically control recordsSystematically control records Improve accessImprove access Reduce misfilesReduce misfiles Reduce bulkReduce bulk Define responsibilitiesDefine responsibilities Train personnelTrain personnel Testify in courtTestify in court

What to IncludeWhat to Includein File Manuals (part 1)in File Manuals (part 1)

ResponsibilitiesResponsibilities

Steps in establishing a fileSteps in establishing a file

What records included in fileWhat records included in file

File order of recordsFile order of records

Updating filesUpdating files

What to IncludeWhat to Includein File Manuals (part 2)in File Manuals (part 2)

Retention periods for various recordsRetention periods for various records

Purging rulesPurging rules

Access restrictionsAccess restrictions

Records storageRecords storage

DispositionDisposition

Database TrackingDatabase Tracking

Greater control of files Greater control of files

Multiple access pointsMultiple access points

Track filing changes for inactive filesTrack filing changes for inactive files

Possible Data Fields Possible Data Fields for Case Files Databasefor Case Files Database

Case title (person’s name, project title)Case title (person’s name, project title) Case numberCase number Dates case opened/closedDates case opened/closed Case managerCase manager Location Location Date of dispositionDate of disposition File statusFile status

BarcodingBarcoding

Simple way to track filesSimple way to track files

Used in large systemsUsed in large systems

Use when have many usersUse when have many users

Especially useful for active filesEspecially useful for active files

ConfidentialityConfidentialityProblemsProblems

Only portions of file are publicOnly portions of file are public

Must know specific privacy lawsMust know specific privacy laws

Must protect individuals’ privacyMust protect individuals’ privacy

ConfidentialityConfidentialitySolutionsSolutions

Analyze confidentiality ahead of timeAnalyze confidentiality ahead of time

Maintain list of confidential recordsMaintain list of confidential records

Maintain procedures for confidentialityMaintain procedures for confidentiality

Physical ManagementPhysical ManagementProblemsProblems

Files take up enormous spaceFiles take up enormous space

Difficult to add files to middleDifficult to add files to middle

Difficult to keep up with filingDifficult to keep up with filing

Physical ManagementPhysical ManagementSolutionsSolutions

Change storage systemChange storage system

Weed files on scheduleWeed files on schedule

Discard duplicate recordsDiscard duplicate records

Change storage mediaChange storage media

Use numeric filing systemUse numeric filing system

Retire inactive files on a regular basisRetire inactive files on a regular basis

Retention and DispositionRetention and DispositionProblemsProblems

Multiple retention periods within filesMultiple retention periods within files

Requires multiple dispositionsRequires multiple dispositions

Files become inactive at various timesFiles become inactive at various times

Retention and DispositionRetention and DispositionSolutionsSolutions

Segment files by retentionSegment files by retention

Weed records from filesWeed records from files

Pull files as they become inactivePull files as they become inactive

Box inactive records by retentionBox inactive records by retention

Case Study # 4Case Study # 4Retention and DispositionRetention and Disposition

Student Records Student Records

in School Districtsin School Districts

Media FormatsMedia Formatsfor Case Filesfor Case Files

PaperPaper

MicrofilmMicrofilm

Imaged recordsImaged records

Electronic filesElectronic files

Hybrid systemsHybrid systems

Media Formats:Media Formats:PaperPaper

Most common Most common

Familiar to peopleFamiliar to people

Takes up most spaceTakes up most space

Used during any part of life cycleUsed during any part of life cycle

Requires strict physical securityRequires strict physical security

Preservation is usually simplerPreservation is usually simpler

Media Formats:Media Formats:MicrofilmMicrofilm

Usually used for inactive filesUsually used for inactive files

Can combine various sizes of recordsCan combine various sizes of records

Access improved with database (CAR)Access improved with database (CAR)

Provides file integrity and securityProvides file integrity and security

Easy to preserveEasy to preserve

Media Formats:Media Formats:Imaging and Its Imaging and Its

AdvantagesAdvantages

For frequent and rapid retrievalFor frequent and rapid retrieval

For complex retrievalsFor complex retrievals

For access by multiple usersFor access by multiple users

For remote accessFor remote access

Allows for segmented filesAllows for segmented files

Media Formats:Media Formats:Imaging and Its Imaging and Its

DrawbacksDrawbacks

Not for records storage problemsNot for records storage problems

Not a preservation mediumNot a preservation medium

Must plan for migrationMust plan for migration

Requires strict controlsRequires strict controls

Not a panaceaNot a panacea

Media Formats:Media Formats:Electronic FilesElectronic Files

Under-utilized solutionUnder-utilized solution

Information in complex databaseInformation in complex database

Avoids extra step of imagingAvoids extra step of imaging

Easy conversion to non-proprietary formatEasy conversion to non-proprietary format

But not a solution for every situationBut not a solution for every situation

Media Formats:Media Formats:Hybrid SystemsHybrid Systems

Different media for different purposesDifferent media for different purposes

Different media to avoid conversionsDifferent media to avoid conversions

Built-in redundancyBuilt-in redundancy

ConclusionsConclusions

Evaluate your case file problemsEvaluate your case file problems

Consider your possible solutionsConsider your possible solutions

Develop solution to a specific situationDevelop solution to a specific situation

Go to State Archives for helpGo to State Archives for help