3. Managing Case Files Effectively New York State Archives www.archives.nysed.gov NYALGRO Training School 2005 Lake Placid

4. Types of Case Files n Files on Individuals –Personnel Files –Social Services Cases –Student Files –Inmate Files –Medical Files n Project Files –Capital Project Files –Building Permit Files –Investigation Files –Legal Case Files –Planning Case Files

5. Characteristics of Case Files n Information about one “case” n Contain various types of information n Records from many sources n Usually filed together

6. Case Files Structures n Simple n Segmented n Virtual

7. Advantages of Case Files n Quicker Access n Single Series to Maintain n Diverse Materials Filed Together

8. Issues with Case Files n Managing through Life Cycle n Access and Retrieval n Confidentiality n Physical Management n Retention and Disposition n Appraisal

9. Managing Case Files through the Life Cycle n Creation n Active Use n Inactive Storage n Disposition

10. Access and Retrieval Problems n Imperfect filing systems n Misfiles n Files that are not returned n Weak system of refiling

11. Access and Retrieval Solutions n Conversion to better filing systems n File plan n Database tracking n Barcoding

12. Converting Case Files n To other media n To other physical filing systems n To other intellectual filing systems

13. Case Study # 1 Intellectual System Conversion Designand Construction Files

19. Case Study # 2 Media Conversion Building Building Permit Files Permit Files in Municipalities

22. Case Study # 3 Physical System Conversion Social Services Social Services Client Case Files

24. Reasons for Developing File Manuals n Systematically control records n Improve access n Reduce misfiles n Reduce bulk n Define responsibilities n Train personnel n Testify in court

25. What to Include in File Manuals (part 1) n Responsibilities n Steps in establishing a file n What records included in file n File order of records n Updating files

27. What to Include in File Manuals (part 2) n Retention periods for various records n Purging rules n Access restrictions n Records storage n Disposition

28. Database Tracking n Greater control of files n Multiple access points n Track filing changes for inactive files

29. Possible Data Fields for Case Files Database n Case title (person’s name, project title) n Case number n Dates case opened/closed n Case manager n Location n Date of disposition n File status

30. Barcoding n Simple way to track files n Used in large systems n Use when have many users n Especially useful for active files

31. Confidentiality Problems n Only portions of file are public n Must know specific privacy laws n Must protect individuals’ privacy

32. Confidentiality Solutions n Analyze confidentiality ahead of time n Maintain list of confidential records n Maintain procedures for confidentiality

33. Physical Management Problems n Files take up enormous space n Difficult to add files to middle n Difficult to keep up with filing

34. Physical Management Solutions n Change storage system n Weed files on schedule n Discard duplicate records n Change storage media n Use numeric filing system n Retire inactive files on a regular basis

35. Retention and Disposition Problems n Multiple retention periods within files n Requires multiple dispositions n Files become inactive at various times

36. Retention and Disposition Solutions n Segment files by retention n Weed records from files n Pull files as they become inactive n Box inactive records by retention

37. Case Study # 4 Retention and Disposition Student Records in School Districts

41. Appraisal for Archival Value Problems n Too voluminous to save all files n Large files, so hard to use effectively n Expensive to keep all files n Need to save a useful set of records

42. Appraisal for Archival Value Solutions n Culling from each file n Careful appraisal n Sampling n State Archives’ help

43. Sampling Methods n Fat-file n Set criteria to i.d. files n Choose portions of the file n Random

44. Case Study # 5 Appraisal Legal Case and Investigation Files in the Department of Law

46. Department of Law’s Criteria for Identifying Archival Case Files n Files pertain to such cases: –Landmark decisions –Notorious figures or organizations –Prominent individuals –Define a shift in policy

47. Department of Law’s Schedule for Appraising Case Files n Records to records center for 6 yrs n Attorneys i.d. possible permanent files n Chosen files saved for another 10 years n At end of 10 years, final determination

48. Media Formats for Case Files n Paper n Microfilm n Imaged records n Electronic files n Hybrid systems

49. Media Formats: Paper n Most common n Familiar to people n Takes up most space n Used during any part of life cycle n Requires strict physical security n Preservation is usually simpler

50. Media Formats: Microfilm n Usually used for inactive files n Can combine various sizes of records n Access improved with database (CAR) n Provides file integrity and security n Easy to preserve

51. Media Formats: Imaging and Its Advantages n For frequent and rapid retrieval n For complex retrievals n For access by multiple users n For remote access n Allows for segmented files

52. Media Formats: Imaging and Its Drawbacks n Not for records storage problems n Not a preservation medium n Must plan for migration n Requires strict controls n Not a panacea

53. Media Formats: Electronic Files n Under-utilized solution n Information in complex database n Avoids extra step of imaging n Easy conversion to non-proprietary format n But not a solution for every situation

54. Media Formats: Hybrid Systems n Different media for different purposes n Different media to avoid conversions n Built-in redundancy

55. Conclusions n Evaluate your case file problems n Consider your possible solutions n Develop solution to a specific situation n Go to State Archives for help