Managing Case Files Effectively New York State Archives NYALGRO Training School 2005 Lake Placid.
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Transcript of Managing Case Files Effectively New York State Archives NYALGRO Training School 2005 Lake Placid.
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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
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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
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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
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Case Files StructuresCase Files Structures
SimpleSimple
Segmented Segmented
Virtual Virtual
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Advantages of Case FilesAdvantages of Case Files
Quicker AccessQuicker Access
Single Series to MaintainSingle Series to Maintain
Diverse Materials Filed TogetherDiverse Materials Filed Together
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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
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Managing Case Files Managing Case Files through the Life Cyclethrough the Life Cycle
CreationCreation
Active UseActive Use
Inactive StorageInactive Storage
DispositionDisposition
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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
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Access and RetrievalAccess and RetrievalSolutionsSolutions
Conversion to better filing systemsConversion to better filing systems
File planFile plan
Database trackingDatabase tracking
BarcodingBarcoding
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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Case Study # 4Case Study # 4Retention and DispositionRetention and Disposition
Student Records Student Records
in School Districtsin School Districts
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Media FormatsMedia Formatsfor Case Filesfor Case Files
PaperPaper
MicrofilmMicrofilm
Imaged recordsImaged records
Electronic filesElectronic files
Hybrid systemsHybrid systems
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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
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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
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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
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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
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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
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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
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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