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Managing Case Files Effectively

Managing Case Files Effectively. New York State Archives www.archives.nysed.gov. NYALGRO Training School 2005 Lake Placid. Files on Individuals Personnel Files Social Services Cases Student Files Inmate Files Medical Files. Project Files Capital Project Files Building Permit Files

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Managing Case Files Effectively

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

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

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

  4. Case Files Structures • Simple • Segmented • Virtual

  5. Advantages of Case Files • Quicker Access • Single Series to Maintain • Diverse Materials Filed Together

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

  7. Managing Case Files through the Life Cycle • Creation • Active Use • Inactive Storage • Disposition

  8. Access and RetrievalProblems • Imperfect filing systems • Misfiles • Files that are not returned • Weak system of refiling

  9. Access and RetrievalSolutions • Conversion to better filing systems • File plan • Database tracking • Barcoding

  10. Converting Case Files • To other media • To other physical filing systems • To other intellectual filing systems

  11. Reasons forDeveloping File Manuals • Systematically control records • Improve access • Reduce misfiles • Reduce bulk • Define responsibilities • Train personnel • Testify in court

  12. What to Includein File Manuals (part 1) • Responsibilities • Steps in establishing a file • What records included in file • File order of records • Updating files

  13. What to Includein File Manuals (part 2) • Retention periods for various records • Purging rules • Access restrictions • Records storage • Disposition

  14. Database Tracking • Greater control of files • Multiple access points • Track filing changes for inactive files

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

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

  17. ConfidentialityProblems • Only portions of file are public • Must know specific privacy laws • Must protect individuals’ privacy

  18. ConfidentialitySolutions • Analyze confidentiality ahead of time • Maintain list of confidential records • Maintain procedures for confidentiality

  19. Physical ManagementProblems • Files take up enormous space • Difficult to add files to middle • Difficult to keep up with filing

  20. Physical ManagementSolutions • Change storage system • Weed files on schedule • Discard duplicate records • Change storage media • Use numeric filing system • Retire inactive files on a regular basis

  21. Retention and DispositionProblems • Multiple retention periods within files • Requires multiple dispositions • Files become inactive at various times

  22. Retention and DispositionSolutions • Segment files by retention • Weed records from files • Pull files as they become inactive • Box inactive records by retention

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

  24. Media Formatsfor Case Files • Paper • Microfilm • Imaged records • Electronic files • Hybrid systems

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

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

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

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

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

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

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

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