11-3 Managing Electronic Records
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1 11-3 Managing Electronic Records Outcomes 11-3a Create and access electronic records. 11-3b Apply procedures for managing electronic records. 11-3c Manage records in a database. Electronic Records An electronic record is information on electronic storage media that can be readily accessed or changed. Electronic records are created and accessed using a personal computer or other devices such as a digital camera or phone. A computer can also be used to keep records inventories and store records retention and destruction data. Key Terms database p. 399 magnetic media p. 400 flash drive p. 400 memory card p. 400 optical disk p. 400 jukebox p. 401 metadata p. 402 file path p. 403 backup copy p. 405 password p. 406 Types of Electronic Records Electronic records may be contained in individual files created by office employees. For example, letters, reports, and contracts may be stored as word processing files. Budgets and balance sheets may be stored as spreadsheet files. Technical drawings and photos may be stored as graphic files. Electronic records may also be part of an electronic database, which may or may not be part of an automated system. A database is a collection of records about one topic or related topics. For example, customer names, addresses, and telephone numbers may be recorded in a database table. database a collection of records about a topic Individual Records Creation and receipt of electronic records is a routine process for most office workers. For example, you will key letters and reports and receive many messages. Not all electronic information that you create or receive should be treated as a record. Only those items that have continuing value should be considered records. An that you receive from a coworker reminding you about a meeting later that day would not have continuing value and would not be considered a record. Database Records Electronic records may be created automatically by a system, such as an order system. For example, when a customer enters an order online, a record of the order is created and stored in a file. The customer s contact and payment information are added to a customer database. (When the customer orders from the company again, that information can be accessed so that the customer does not have to enter it again.) Database records can also be created by employees using a program such as Microsoft Access. What kinds of information might be stored in individual electronic records? 11-3: Managing Electronic Records 399
2 Media for Electronic Records Electronic records can be stored on the hard drive of a computer. They can also be stored on a variety of external storage media. This is called secondary storage. This section discusses magnetic media, flash drives, and optical disks. magnetic media materials or devices that store computer files by using a disk or tape coated with a magnetic material flash drive a device that stores computer files on a printed circuit board and connects via a USB port memory card a device that stores computer files on a printed circuit board and connects via a card reader Magnetic Media Magnetic media are materials or devices that store computer files by using a disk or tape coated with a magnetic material. Computer hard drives and tape drives are examples of magnetic media. Computer hard drives can be housed inside the computer case or they can be separate pieces that connect to a computer using a USB port. A tape drive stores computer files on magnetic tape. Tape drives are typically used to make copies of hard drives. Records can be retrieved from the tape if the hard drive is damaged or files have been deleted. Flash Drives and Memory Cards Flash drives and memory cards are external devices that store computer files. Although the two devices have different shapes, they both store data on a printed circuit board. The records remain on the device when it is not connected to a power source. A large volume of records can be stored on flash drives and memory cards, and these records can be retrieved quickly. Flash drives connect to a computer using a USB port. They are also called pen drives or memory sticks. Memory cards use a card slot in a card reader, computer, camera, phone, or other device to connect to a computer or other devices. Flash drives and memory cards are external storage devices. Dim154/Shutterstock optical disk a device coated with plastic on which digital data can be stored using a laser Optical Disks An optical disk is a device coated with plastic on which digital data can be stored using a laser. CDs (compact disks) and DVDs (digital video disks) are optical storage media. Data are stored and read on an optical disk using a special drive in a computer. These disks can hold large amounts of information. 400 CHAPTER 11 Records Management
3 CDs and DVDs should be handled carefully. Keep disks in protective jackets or cases to prevent them from being scratched or getting dirty. Scratches or dirt on the surface and warping, which can be caused by extreme heat, may make a disk unreadable. Disks in plastic cases or pockets are often stored in boxes, cases, or trays. Optical disks are an important part of a records management system. Optical disks offer large storage capacity and can be stored in a retrieval system called a jukebox. A jukebox contains many disks and allows records to be retrieved quickly. Jukeboxes can be linked together, which further increases storage capacity. jukebox a device that stores many optical disks and allows records to be retrieved quickly WORKPLACE CONNECTIONS Kassa is a customer service supervisor at a savings and loan company. All questions from customers about their mortgage accounts are directed to her. The company stores all its customer accounts on optical disks in a jukebox. Kassa is describing the features of the system to Montel, a new employee. Kassa: Our electronic records system lets me retrieve documents quickly. When a customer calls with questions about a mortgage payment, I just key the customer s account number at my computer. The system quickly locates the account and displays it on my screen. I can even get a printout if I want. Montel: That s certainly efficient. Kassa: Right! Before, locating document files took so long that I had to tell customers that I d call them later after I d pulled the folder. How does having optical disks stored in a jukebox speed access to records? What are two types of magnetic media used to store electronic records? Advantages and Disadvantages Electronic records are widely used in organizations. Some records are kept in both paper and electronic form. Other are kept only in electronic form. Using electronic records has both advantages and disadvantages. The advantages to storing records in electronic form are: Records can be retrieved quickly and easily. The storage space required for housing records is much less than that required for physical records. Records stay in the same order even after being retrieved several times. Records can be organized and updated easily on hard drives, flash drives, and memory cards. 11-3: Managing Electronic Records 401
4 The disadvantages to storing records in electronic form are: An output device, such as a monitor or printer, is needed to read the records. Electrical power surges and failures can erase or change the data recorded on magnetic media. Storage media require protection from extreme heat and cold and should be kept away from magnetic fields. Records stored on standard CDs and DVDs cannot be updated. (Rewritable CDs and DVDs do allow records to be changed.) Records on tape must be accessed in the order they were recorded, which slows access time. What are some disadvantages to storing records in electronic form? Procedures for Electronic Records Electronic records should be managed through the five steps of the record life cycle: creation or receipt, distribution, use, maintenance, and disposition. Special attention is required to keep electronic records secure. Backup copies and security procedures help accomplish this goal. Creation or Receipt During the creation or receipt phase, electronic files must be assigned to a folder or directory and given a name so they can be identified and accessed when needed. You should understand the system of drives and folders on your computer or network so you can store and retrieve files efficiently. You should also name files in a logical and consistent way that indicates the information they contain. Doing so will make finding information easy when it is needed. metadata identifying details about a record or document File Names Using consistent procedures to name and organize the records is very important. Files can be named and stored using an alphabetic or numeric arrangement. You may wish to organize records into folders on your computer that are the same or similar to the way folders are organized in the company s physical records system. As with physical records, think about how the record will be requested when selecting a name for the file. In addition to using a consistent naming procedure, many programs allow you to enter metadata for records you create. Metadata are identifying details about a record or document. For example, for a Word document, you can enter details such as a title, author name, subject, and keywords that identify the document s topic or contents. These properties can be used to search for the document in the event that you cannot locate it by name. Document properties for a Word letter are shown in Figure CHAPTER 11 Records Management
5 Figure Document Properties Some operating systems limit the length of a filename to eight characters. Other systems allow longer, more descriptive names to be used. Some systems allow you to add an extension (such as docx for document) to further identify your file. Many programs add the extension for you. Filenames should reflect the type of data stored in the file. For example, the name assigned to a mailing list file could be Maillist or Austin TX Mailing List. Guidelines for storing electronic files are shown in Figure Figure Storing Electronic Files Guidelines for Storing Electronic Files Create folders to group related files. When a large number of files accumulate in the folder, move files into two or more new folders. Give each file a unique name even if it is stored in a different folder than a file with a similar name. Use abbreviations that are commonly recognized; for example, Dept for department or Proj for project. If your system allows the use of long file names, use as many characters as needed to make identifying the file easy. Use numbers or dates to label versions of a file. For example, your fourth letter to the Accounting Department might be labeled AcctDpt4 or Acct Dept Letter Use the default file extension or allow the program to assign the extension. Cengage Learning 2013 File Paths The filename alone may not be enough information to retrieve a file quickly. You need to know the drive and folder name where the file is stored. This information is called the file path. Figure on page 404 shows a list of files and folders in the Abbott Project folder on the C: drive (hard drive) of a computer. The Abbott Project folder contains several subfolders. Individual file path the complete location (drive, folders, and name) for a file 11-3: Managing Electronic Records 403
6 files are shown for a schedule, a project summary, and a press release. File extensions are shown in this figure. You may or may not see file extensions on your system depending on the options set in the software. The complete path for the Excel file that contains the project schedule is: C:\Abbott Project\Abbott Proj Schedule.xlsx. Figure The drive and folder name are needed to locate a file. What information does a file path include? Distribution and Use Distribution of electronic records may be done in several ways. For example, the record could be sent as an attachment. It could be saved on a network where it is accessible to those who need it. The record could be posted on a website, shared in a web meeting, or saved on a CD and mailed or given to the recipients. Use of electronic records is as varied as use of physical records. The record may be used to answer questions, make decisions, or complete other activities. Because a copy of the record is sent, the file can be deleted after its use. The original file remains in storage. Why do office workers typically not need to return electronic records requested from the files? Maintenance Maintenance for electronic records involves accessing records, making backup copies, and keeping files secure. As with paper records, locating electronic records should be easy if the proper procedures were followed for storing the records. Accessing Records Accessing individual electronic records involves entering the file path to indicate the record location. Files typically are retrieved using the program with which they were created. Some files can be accessed by more than one 404 CHAPTER 11 Records Management
7 program. For example, graphics files that contain photos or clipart can be accessed by several photo editing and drawing programs. Once you have opened an electronic file, you can read it on the screen or print it. You can also send an electronic or hard copy of the file to authorized persons who need the information. Making Backup Copies Data files can be expensive to create again or replace if they become damaged and are no longer usable. For this reason, backup copies are made. A backup copy is a duplicate of data that can be used if the original data is lost or destroyed. A backup copy should be made if loss of the data would have serious consequences. Backing up a hard drive or disk means making a copy of all the data onto another storage medium. Backing up a file means making a copy of an individual file onto a different disk or drive. Most computer operating systems provide easy-to-follow procedures for making backup copies. Figure shows a dialog box with options for making a copy of a disk using the Windows operating system. You should research and practice the backup or copy commands for your particular system if you are not familiar with them. Backup disks should be labeled in the same manner as their original, perhaps with the word Backup added to the label. Backup copies should be stored in a separate, safe location. backup copy a duplicate of data that can be used if the original data is lost or destroyed Figure Select appropriate options when creating backup disks. In many companies, computers are linked together in a local area network. They may also be linked to a wide area network of computers. In some cases, files may be backed up automatically to a network location. In other cases, each employee is responsible for backing up files regularly. Some companies store backup copies of records on a cloud file server. A cloud file server is a computer at a distant location that is accessed via the Internet. Egnyte Cloud File Server is one company that provides this online service. Using a cloud file server has several advantages: You can have access to your files from any computer with an Internet connection. Files stored online can serve as backup in case your computer is damaged or files are deleted by mistake. 11-3: Managing Electronic Records 405
8 You can control who has access to the stored files. For example, you could give access to your files to a coworker. A company can use only the services needed and pay for only those services. password a series of characters used to gain access to a system, program, or file Controlling File Security The security of electronic files should be a concern to all office workers. You would not want a competitor to have access to a customer mailing list or a sales report that you keyed. Some companies use security measures such as access logs and passwords. A password is a series of characters used to gain access to a system, program, or file. These measures allow only authorized employees to access certain files. In some companies, employees are required to change passwords frequently. Choose passwords carefully so others cannot easily guess your password. For example, do not use variations of family members names or birthdates or a favorite sport or hobby as a password. Choose a series of meaningless letters and numbers instead. Do not leave your password in a location where others can access it easily, such as taped to your monitor or under your keyboard. Store your password in a safe place. Take steps to safeguard files when in use. For example, clear a document from the computer screen when you take a break or leave your computer for other reasons. Log off the computer network before leaving your computer so others cannot use your computer to access files. Do not send files containing confidential information as attachments. Store disks in a concealed location rather than on top of your desk. Store disks with highly confidential information in a locked cabinet or drawer. What are two tips for creating an effective password? Transfer electronic records to a DVD for inactive storage. Disposition You may not be involved in disposing of records you use that are created by an automated system. However, someone in the company will be responsible for moving the records to offline storage at the correct time. The records will eventually be destroyed or placed in permanent storage. Follow your company s records retention schedule to determine how long to keep individual electronic records you create or receive. The schedule may indicate times for active and inactive storage of files. Active files would be stored on your computer hard drive or readily accessible storage devices. Inactive storage would be on secondary devices, such as flash drives or optical disks. These devices may be stored in a location for files that are not used often. Jaimie Duplass/Shutterstock 406 CHAPTER 11 Records Management
9 As with paper records, it is important to store electronic records promptly and not let them pile up. For example, when you read an , determine whether it has continuing value. If it does, it is a record and should be filed in the proper folder and using an appropriate name. If it does not, it is not a record and should be moved to the Delete folder. For some systems, messages remain in the Delete folder until you indicate that they should be permanently deleted. Remove messages from the Delete folder regularly. Handle other electronic documents, such as those you receive as attachments, in a similar manner. Determine whether they should be kept. If yes, file then in the appropriate folder. If not, delete them. How should you determine how long to keep electronic records you create? Using Database Records A database is any collection of related records. An electronic database is a collection of records stored and retrieved by computer. These databases are useful because thousands of records can be searched in only a few seconds. Searching the same number of records stored on paper would take a long time. In many companies, workers can get data from a database by using a computer network. This prevents the need to have the same data stored in each department or work group. Database Management Systems A database management system (DBMS) organizes large numbers of records in a database. A major advantage of a DBMS is that data can be compared and shared among the tables in the database. For example, an employee at the Internal Revenue Service might use a DBMS to compare data on a person s current income tax return with data on past tax returns. Another advantage of a DBMS is data security. Access to parts of the database can be limited to authorized employees who have been issued passwords. WORKPLACE CONNECTIONS Lao Ji works for The Supply Closet, which sells office supplies. The company s DBMS contains a master record for each customer. When Lao Ji inputs data for a customer order, he simply enters the customer name in the customer order form screen. Other data, such as the customer number and address, are displayed by the system. This data is stored in the customer master record. Lao Ji can create the customer order quickly and accurately because he does not need to key the customer number, name, and address. What other information about the customer might display when the account is accessed? 11-3: Managing Electronic Records 407
10 A DBMS helps users keep database records up to date. Suppose you work in a company that uses a DBMS to manage its personnel and payroll records. If an employee s last name changes, you need to make the change only in the personnel record. The system will automatically update the payroll record. What is a major advantage of a database management system? Figure Use a different field for each unit of data in a database table. Individual Databases Not all information in databases needs to be available to many users via a network. A database can also be stored on a single computer for use by a few employees or one person. Microsoft Access is an example of a popular database program used by many office employees. Creating a Database When creating a database, group data into tables of related information. For example, suppose you work in a car dealership. You might place customer contact information (name, address, address, and telephone number) in one database table. The brand, model, year, and date of purchase of vehicles bought by each customer might be placed in another table. The tables can be related using a common field in each table, such as a customer number. You can create reports that show data from several related tables at once. When deciding which fields to use in a database table, consider the smallest unit of information you might to use separately from the other information. For example, when creating personalized letters using mail merge, you might want to include a person s last name in the salutation of a letter. This field will not be available if you created only one field in the database for the customer name. If you created separate fields for the customer title, customer first name, and customer last name, you can easily create personalized salutations that include the customer s title and last name. Figure shows the fields in the Clients database table. Indexes for Physical Records A database is often used to create an index or an accession log for a physical records system. If you want records in the database and the physical system to be sorted in the same way, experiment or read the program help information to see how text and numbers are sorted in the program. You might need to make adjustments to the way you enter data or file records so that both systems work in the same way. For example, some programs require the use of leading zeros to make all numbers to be sorted the same length. How can tables in a database be related? 408 CHAPTER 11 Records Management
11 REVIEW st Century Skills Interacting with Others You and two of your coworkers, Neema and Paula, are working late one evening. All the other employees have gone for the day. During a brief break, Paula says to you: I hear the company is about to close some pretty big real estate deals. You know the access code for the financial database. Let s look and see what s going on. Neema agrees, saying, Sure! No one else is here. What difference will it make? We won t tell anyone you let us see the information. 1. How would you react in this situation? What would you say to your coworkers? 2. What might be the consequences of accessing and sharing this confidential information with coworkers? Making Academic Connections Reinforcing Math Skills 1. Your company estimates that it takes you 20 minutes less each day to complete your filing tasks using folders with color-coded file labels than using folders without them. a. How many hours will the use of color-coded file labels save you each week (5 working days)? b. How many hours will the use of color-coded file labels save you each month (4 weeks)? c. How many hours will the use of color-coded file labels save you each year (50 weeks)? 2. Eight file folders have captions with Randolph as the first indexing unit, six folders have Reynolds as the first unit, and two folders have Rogers as the first unit. One hundred and thirty folders are filed under the letter R. a. Of the total R folders, what percentage are Randolph folders? b. What percentage are Reynolds folders? c. What percentage are Rogers folders? Round your answers to the nearest whole percentages Activity 1 Organizing Electronic Files (Outcomes 11-3a and 11-3b) You have recently begun a new job working with three executives in the accounting firm Carson Associates. Several files that were created by the person who previously had this job are stored on your computer. However, no clear organization or consistent file names have been used. 1. You have quickly scanned the contents of the files on your computer and made notes about what each file contains. Open and print the file 11-3 Records from the data files. This file contains the information you noted about the files. 2. Review the guidelines for naming electronic files found in this chapter. Then create a plan that includes folders and subfolders that will let you 11-3: Managing Electronic Records 409
12 quickly find files about a particular topic for any of the three executives. Outline your plan showing the structure and names of main folders and subfolders so that it would be easy for someone else to understand. 3. Create a plan for naming files that will be consistent and simple. For each file (as listed on the printout), key the current file name. Then key the file path (main folder and any subfolders in which the file will be stored and the new name you will give the file). Assume that the computer is set to show file extensions. Example: Star bid 1.docx C:\Stone\Bids\Stardust Bid 6-23.docx 4. Show the structure of your new file system. Arrange the folder names and new file names in groups to show each main folder, each subfolder within each main folder, and each new file name within a main folder or subfolder Activity 2 Accession Log and Alphabetic Index (Outcome 11-3c) You work for Philips Associates, a company in Miami, Florida. To help keep the records confidential, a numeric filing system is used. You have been asked to use a database file to create an accession log and an alphabetic index for physical records. Work with a classmate to complete this activity. 1. Open the Access file 11-3 Files Index from the data files. This file contains information for the numeric file. 2. Open the Names List table. The personal and company names, along with addresses and telephone numbers, have already been entered in the table. In the Indexed Name field, key the name as it would be indexed for filing on a paper record. Review the alphabetic indexing rules, if needed, until you and your classmate agree on how the name should be indexed. 3. Create a query using the Names List table. Include the Number and Indexed Name fields. Sort the data by the Number field in descending order. In the Criteria row for the Number field, key Not G. Save the query using the name Accession Log and print the query results table. 4. Create a report named Alphabetic Index using the Names List table. Include the Indexed Name and Number fields. Sort the data in ascending order by the Indexed Name field. Adjust the format as needed for an attractive report and print the report. 410 CHAPTER 11 Records Management
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