Electronic procedures and case files.
How a paperless case file is built, signed and kept.
For generations, the case file was a folder: sheets bound in order, numbered by hand, with intake and outgoing stamps, passed from office to office. That folder had virtues that are sometimes forgotten when it is digitized. It was complete and orderly, it could not be rearranged without someone noticing, and it told its own story. A good electronic case file must preserve all of those virtues and add some that paper could never offer.
What an electronic case file is
It is not a shared folder full of loose files. It is an ordered set of electronic documents belonging to the same procedure, with an index that fixes their content and order, and with metadata stating what each item is, who produced it and when. Spain's 2015 Administrative Procedure Act, for example, defines it this way and requires the index to be signed, so that no one can add, remove or reorder documents without leaving a trace.
| Virtue of paper | How it is achieved electronically |
|---|---|
| Numbered pages | A signed index that fixes the order and the cryptographic hash of each document. |
| Intake record | Electronic registration with a timestamp and an intake number. |
| Signature at the bottom | Each act signed by its author, or bearing the agency's organization seal for automated acts. |
| Handoff between offices | Recorded movements, with sender, recipient and time. |
| Storage in an archive | Preservation formats, long term signatures and retention periods. |
What paper could not do
- Be in several places at once. Two departments can review the same case file in parallel, without photocopies.
- Know where it is and since when. Every movement is recorded, and deadlines can be measured and monitored.
- Detect any alteration. The signatures and the index reveal whether anything has changed.
- Reach the interested party. The citizen or business can check the status of their procedure and receive electronic notifications with proof of delivery.
The life cycle of a procedure
- Initiation. The application arrives through an electronic channel, is registered, assigned a number and timestamped.
- Processing. Reports, opinions and documents are added, each signed by whoever produced it.
- Decision. The competent official signs the act that decides the matter.
- Notification. The interested party receives the act through a channel that records proof of delivery.
- Closure and archiving. The final index is signed and the case file moves into preservation.
Common mistakes
- A signed, verifiable index.
- Each act signed by its author, with a timestamp.
- A record of movements and deadlines.
- Notifications with proof of delivery.
- Full export in standard formats, along with its evidence.
An electronic case file is an ordered set of signed documents, with an index that fixes its content and a record of every movement. It must preserve the virtues of the paper folder, namely completeness, order and history, and add those of the digital medium: parallel work, measurable deadlines, detection of alterations, and access for the interested party.