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Back to Records Management Main Page
Records Management
Program Definitions
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A
Access -
Permission and means to use a record (ARMA International).
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Active
Record
-
A record
needed to perform current operations. Subject to frequent use and
usually located near the user. Can be accessed manually or on-line via a
computer system. See also Current Record, Inactive Record,
and Semiactive Record (ARMA International).
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Administrative Record
-
A record
that is related to budget, personnel, supply, and similar administrative
or facilitative operations common to all organizations. It is
distinguished from an operational record, which relates to an
organization's specific functions. See also Operational Record (ARMA
International). back
Administrative Value
-
The
usefulness of a record to the originating group in the conduct of its
business. (Example: NMSBVI is the originating agency of the
Student/Family Handbook.) See also Fiscal Value, Historical
Value, Informational Value, Intrinsic Value, and
Legal Value (ARMA International). back
Appraisal
-
See
Records Appraisal (ARMA International). back
Archives
-
1. The
records created or received and accumulated by a person or organization
in the course of the conduct of affairs, and preserved because of their
historical or continuing value.
2. The building or part of a building where archival materials are
located.
3. The agency or program responsible for selecting, acquiring,
preserving, and making available archival materials (ARMA
International).
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Archivist -
A person
professionally educated, trained, experienced, and engaged in the
administration of archival materials, including the following
activities: appraisal and disposition, acquisition, preservation,
arrangement and description, reference service, and outreach (ARMA
International). back
ARMA
International -
The
principal educational records and information management organization in
the United States and Canada, and one of the organizations accredited by
the American National Standards Institute to develop records management
standards. Formerly, Association of Records Managers and Administrators
(ARMA International). back
Authentication
-
The
verification of the identity of a person or process (ARMA
International). back
C
Central
File
-
The
files of several organizational units physically and/or functionally
controlled and managed under a centralized service. See also
Decentralized File (ARMA International). back
Certificate of Destruction
-
A formal
assertion, in writing, that records have in fact been destroyed (ARMA
International). back
Charge-out
-
A
control procedure to establish the current location of a record when not
in the records center or archives (ARMA International).
back
Classified Record (Information)
- See
Confidential Record (ARMA International). back
Code of
Federal Regulations (CFR)
-
A
codification of the general and permanent rules published in the Federal
Register by the executive and other branches/agencies of the federal
government of the United States (ARMA International).
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Computer Back-up
-
is the process of creating a secondary copy
of data for the purpose of disaster recovery, i.e., being
able to recover or restore the data should an unplanned event make the
primary data inaccessible. Backups are a daily or weekly snapshot
of data as it existed at a specific point in time. Periodic
backup media are typically retained for a short period of time (e.g., 30
or 90 days) and then recycled into the back-up process and
overwritten.
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Confidential Record
-
A record
or document requiring protection against unauthorized disclosure,
modification, or destruction. See also Privileged Record and
Restricted Access (ARMA International). back
Convenience File -
An
unofficial file, containing copies of documents, that is maintained for
ease of access and reference, physically located near the point of
usage. Usually considered non-records (ARMA International).
back
Current
Record
-
The most
recent record or collection of records that is used on a regular basis.
See also Active Record, Inactive Record, and Semiactive Record (ARMA
International). back
Custody
-
The
guardianship of records, which, in a strict sense, includes both
physical possession (protective responsibility) and legal title (legal
responsibility). back
D
Data
-
Symbols
or representations of facts of ideas that can be communicated
interpreted or processed by manual or automated means. Often associated
with electronic data or with statistics or measurements. back
Data
base
-
A set of
data, consisting of at least one data file, that is sufficient for a
given purpose. back
Data
base management system -
A
software system used to access and retrieve data stored in a data base.
back
Decentralized File
-
Records
located and maintained in or near the unit immediately responsible for
the function in which they are used. See also Central File (ARMA
International). back
Description
-
On a
records retention schedule, a list of representative records in the
records series, or a clarification of the title. back
Destruction Notice
-
A
notification form of the scheduled destruction of records (ARMA
International). back
Destruction Suspension
-
A hold
placed on the scheduled destruction of records that may be relevant to
forseeable or pending litigation, governmental investigation, audit, or
special organizational requirements. See also Frozen Records
(ARMA International). back
Digitize
-
The
process of electronically converting an analog image or document to a
bit map image by electronic scanning. back
Disaster
Recovery (Plan)
-
A
disaster recovery plan describes how an organization is to deal with
potential disasters. Just as a disaster is an event that makes the
continuation of normal functions impossible, a disaster recovery plan
consists of precautions taken so that the effects of the disaster will
be minimized, and the organization will be able to either maintain or
quickly resume mission-critical functions. back
Disposition
-
The
actions taken with regard to records as determined through their
appraisal. Actions might include transfer to storage, destruction, or
preservation for archival purposes (ARMA International).
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Document
-
1.
Recorded information regardless of medium or characteristics. Frequently
used interchangeably with the word record.
2. A single record item (letter, memorandum, form, or report) consisting
of one or more pages (ARMA International).
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Draft
-
A rough
or preliminary form of a document (ARMA International).
back
E
E-mail
(NARA) -
A
document created or received on an electronic mail system, including
brief notes, more formal or substantive narrative documents, and any
attachments that may be transmitted with the message.
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Electronic Archiving
-
is the process of moving selected data to
separate storage for the express purpose of retaining it as a
record for a specified period of time based on legal, regulatory or
business requirements. Archived data is not allowed to be updated,
overwritten or erased for the specified retention period.
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Electronic Record/Document
-
A record
stored on electronic storage media that can be readily accessed or
changed (ARMA International). back
Electronic record I
-
Any
information that is recorded by or in a format that only a computer can
process and that satisfies the definition of a Federal records in 44
U.S.C. 3301. (REPORT TO THE ARCHIVIST OF THE UNITED STATES GLOSSARY OF
TERMS) back
Electronic record II -
Any
information that is recorded in a form that only a computer can process
and that satisfies the definition of a Federal record in 44 U.S.C. 3301.
(Source 36 CFR 1234.2) back
Electronic recordkeeping system -
An
electronic system in which records are collected, organized, and
categorized to facilitate their preservation, retrieval, use, and
disposition. (Source: 36 CFR 1234.2) back
Evidential Value
-
The
value of those records of an organization that is necessary to provide
legal, authentic, and adequate documentation of its structure and
functioning (ARMA International). back
F
Federal
Records Act of 1950
-
A law
enacted by the United States Congress that defined the term Records
Management for the first time in any federal statute. This law also
required all agencies of the federal government to establish a records
management program. back
File
-
In
electronic recordkeeping, an organized collection of related data
arranged into records that are stored together and stored as a unit.
back
Fiscal
Value
-
1.
Pertains to financial matters in general.
2. Value attributed to a record series that documents financial
transactions. Such records are usually required for audit purposes.
See also Administrative Value, Historical Value,
Informational Value, Intrinsic Value, and Legal Value
(ARMA International). back
Frozen
Records -
Records
whose destruction process has been suspended because of special
circumstances such as an audit, court order, or investigation. See also
Destruction Suspension (ARMA International).
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G
General
Records Series
-
Records series for which record copies exist in two or more departments
or offices. Example: Faculty Copies of Student Records. back
General
Retention Schedule -
A
records retention schedule for a general records series; that is, a
series with record copies in more than one department or office.
back
H
Hard
Copy
-
Printed
copy of a record that can be read without use of mechanical assistance
(ARMA International). back
Historical Value
-
Records
that are retained permanently for purposes of enduring value and not
necessarily for business purposes. See also Administrative Value,
Fiscal Value, Informational Value, Intrinsic Value,
and Legal Value (ARMA International). back
I
Important Record
-
records containing information that is essential to operate an organization and protect its assets, but which could be re-created or replaced if destroyed.
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Inactive
Record
-
A record
that does not have to be readily available, but which must be kept for
legal, fiscal, or historical purposes. See also Active Record,
Current Record, and Semiactive Record (ARMA International).
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Information Technology
-
Any
equipment or interconnected system or subsystem of equipment, that is
used in the automatic acquisition, storage, manipulation, management,
movement, control, display, switching, interchange, transmission, or
reception of data or information, including computers, ancillary
equipment, software, firmware and similar procedures, services
(including support services), and related resources. (Source:
Clinger-Cohen Act formerly ITMRA 5002(3)) back
Information Technology Record
-
A record
that concerns the planning, acquisition, management, maintenance, or use
of information technology, electronic information systems, or
application programs, or that is necessary for the effective use of
information technology. back
Information Technology System
-
People,
information technology, and methods organized to accomplish a set of
specific functions. back
Informational Value -
The
value of a record derived from the information it contains on persons,
places, etc., and not on the originating agency itself. See also
Administrative Value, Fiscal Value, Historical Value,
Intrinsic Value, and Legal Value (ARMA International).
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Intrinsic Value
-
The
inherent value of a record dependent upon unique factors such as age,
circumstances of creation, a signature, or an attached seal. See also
Administrative Value, Fiscal Value, Historical Value,
Informational Value, and Legal Value (ARMA International).
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Inventory
- See
Records Inventory (ARMA International). back
L
Legal
Compliance
-
The
process or procedure to ensure that the organization is following
relevant laws back
Legal
retention considerations
-
A term
that refers to a number of legal issues that may indicate how long an
organization should retain certain records so that it can successfully
defend itself against litigation actions, enforce its legal rights, or
meet it other legal obligations and needs. back
Legal
Value
-
1. Value
inherent in records that provide legal proof of business transactions.
2. The value of records in demonstrating compliance with legal,
statutory, and regulatory requirements.
See also Administrative Value, Fiscal Value, Historical
Value, Informational Value, and Intrinsic Value (ARMA
International). back
Liaison
- See
Records Coordinator (ARMA International).
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Life
cycle -
The life
span or time period from the creation or receipt of a record through its
useful life to its final disposition. The five stages in the life cycle
of a record include the creation stage, the distribution and use stage,
the storage or maintenance stage, the retention and disposition stage,
and the archival preservation stage. (See illustration)
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N
Non-record -
1. Items
that are not usually included within the scope of official records,
e.g., convenience file, day file, reference materials, drafts, etc.
2. Documents not required to be retained and therefore not appearing on
a records retention schedule (ARMA International).
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O
Obsolete Record -
A record that has met its retention period, is no longer useful to the organization, and may be destroyed. back
Office
of Record -
An
office designated to maintain the record or official copy of a
particular record in an organization. See also Record Copy and
Official Record (ARMA International). back
Official
Record
-
1.
Significant, vital, or important records of continuing value to be
protected, managed, and retained according to established retention
schedules. Often, but not necessarily, an original.
2. In law, an official record has the legally recognized and judicially
enforceable quality of establishing some fact. See also Record Copy and Office of Record (ARMA
International). back
Operational Record
-
1. A
record documenting those activities of an organization that are directed
towards the substantive purpose for which the organization was created.
2. A record that assists an organization in performing its primary
function.
See also Administrative Record (ARMA International).
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Originating Department
-
The
department or other organizational unit that originates a record (ARMA
International). back
Other Copy
-
Any copy
of a record in addition to the record copy, usually made for reference
purposes. Reference copies or "other copies" are to be retained and
disposed of according to the records retention schedule for that record.
back
P
Permanent Record
-
Information that has been designated for continuous preservation because
of reference, historical, or administrative significance to the
institution (ARMA International). back
Preservation
-
Appropriate housing, protection, care, and maintenance of archives,
records, and manuscripts. back
Privileged Record
-
A
document with restricted access. See also Confidential Record and
Restricted Access (ARMA International). back
Protective Measures
-
On a
records retention schedule, the plan in place to protect and preserve a
vital records series. back
Purge
-
To
remove information from a file that has no further value, usually
according to a records retention schedule. This process can be done to
both active and inactive records. See also Weeding (Files) (ARMA
International). back
R
Record
-
Recorded
information, regardless of medium or characteristics, made or received
by an organization that is evidence of its operations, and has value
requiring its retention for a specific period of time (ARMA
International). back
Record
Copy -
The
official copy of a record that is retained for legal, operational, or
historical purposes, sometimes the original. See also Office of
Record and Official Record (ARMA International).
back
Record
Copy Disposition
-
On a
records retention schedule, the method by which to dispose of a records
series. back
Record
Copy Holder
-
On a
records retention schedule, the department, office, or individual
responsible for the retention and disposition of the record copy of a
records series. back
Record
Copy Retention
-
On a
records retention schedule, the period for which to keep the record copy
of a record series. back
Recordkeeping requirements
-
Statements in statutes and regulations which require a regulated party
to maintain certain records for some period of time. back
Record
series -
A series
is the basic unit for organizing and controlling files. It is a group of
files or documents kept together (either physically or intellectually)
because they relate to a particular subject or function, result from the
same activity, document a specific type of transaction, take a
particular physical form, or have some other relationship arising out of
their creation, receipt, maintenance, or use (36 CFR 1220.14 ).
Each
record series must be scheduled for appropriate disposition. The series
concept is a flexible one, and programs should create series by
organizing documents in ways that facilitate management of the records
throughout their life cycle. For example, each record series in hard
copy should be physically separated from all other record series.
Electronic records should be managed in ways that link records to their
disposition authority, within the context of a recordkeeping system.
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Records
Appraisal
-
The
process of evaluating records based on their current operational,
regulatory, legal, fiscal, and historical significance, their
informational value, arrangement, and their relationship to other
records (ARMA International). back
Records
center
-
An area
in a building or a separate building for storing inactive records.
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Records
Coordinator
-
The
individual responsible for coordinating records management activities
within a department and acting as liaison between the department and the
records manager/administrator (ARMA International).
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Records
Destruction
-
1. The
disposal of records of no further value by incineration, maceration,
pulping, or shredding.
2. The definitive obliteration of a record beyond any possible
reconstitution (ARMA International).
back
Records
Disposition
-
After
records have reached the end of their retention period in active and/or
inactive storage, they may be disposed: transferred to archives for
retention or destroyed. See also Records Destruction and Archives (ARMA
International). back
Records
Inventory -
1. A
detailed listing that could include the types, locations, dates,
volumes, equipment, classification systems, and usage data of an
organization's records.
2. The dissecting of each record to capture all pertinent information
about the record to be used in its appraisal (ARMA International).
back
Records
Management
-
The
planning, controlling, directing, organizing, training, promoting, and
other managerial activities involved with respect to records creation,
records maintenance and use, and records disposition in order to achieve
adequate and proper documentation of the policies and transactions of
the Federal Government and effective and economical management of agency
operations. (36 CFR 1220.14) back
Records
Management Liaison
- See
Records Coordinator. back
Records
Manager -
The
individual within an organization who is responsible for systematically
managing the recorded information generated and received by the
organization (ARMA International). back
Records
Retention
-
The act
of maintaining or holding records for future use, often under the
policies and procedures of a formally established records retention
program. back
Records
Value -
The
usefulness of records for operational, legal, regulatory, fiscal, and
historical purposes (ARMA International). back
Reference -
On a
records retention schedule, the principal source for the records
retention periods. back
Reference Copy
- See
Other Copy.
back
Restricted Access
-
A
limitation on the use of records. Restrictions may be imposed by law,
the organization, or donors of the records to a collection. See also
Confidential Record and Privileged Record (ARMA
International). back
Retention Period -
The
period of time during which records must be retained in a certain
location or form because they are needed for operational, legal, fiscal,
historical, or other purposes. A retention period may be stated in terms
of months or years, and is sometimes expressed as contingent upon the
occurrence of an event. back
Retention Schedule -
A
document prepared as part of a records retention program that lists the
types of records maintained by each department of an organization, and
specifies a period of time after which destruction is authorized as a
matter of policy. The records retention also identifies the
organization's archival records and mandates their permanent retention,
and it may provide for the transfer of semi-active or inactive records
from prime office space to a records center or other facility for
continuing retention. Also called a records schedule or retention and disposition schedule.
back
S
Semiactive Record
-
A record
that is infrequently referred to but is still needed for reference. See
also Active Record, Current Record, and Inactive Record
(ARMA International). back
Sign-Out
- See
Charge-out (ARMA International). back
Society
of American Archivists (SAA)
-
A
professional organization that establishes standards and guidelines for
the identification, preservation, and use of records of historical value
(ARMA International). back
Status -
On a
records retention schedule, the indication of whether the records series
is vital or non-vital. back
Statute
of Limitations
-
A period
of time in which legal action can be taken. Federal, state, and
provincial statutes of limitation should be considered when developing
the retention period of records (ARMA International).
back
T
Temporary Records
-
Records
appraised as having temporary or limited value and approved for
destruction, either immediately or after a short specified retention
period. See also Transitory Record (ARMA International).
back
Title
-
On a
records retention schedule, the name of the records series.
back
Transfer
-
1. The
act of changing the physical custody of records with or without change
of legal title.
2. The relocating of records from one storage area to another (ARMA
International).
back
Transitory Record
-
Routine
correspondence, documents, or records with short-term value. The
retention period is limited to the interval required for completion of
the action covered by the communication. See also Temporary Records
(ARMA International). back
V
Vital
Records
-
Records
containing information required to re-establish or continue an
organization in the event of a disaster; records containing unique and
irreplaceable information necessary to recreate an organization's legal
and financial positioned preserve the rights of the organization and its
employees, customers, shareholders and other constituent groups. Vital
records include records whose informational value to the organization is
so great, and the consequences of loss are so severe, that special
protection is justified in order to reduce the risk of loss.
back
W
Weeding
(Files)
-
The
removal of individual documents or files lacking continuing value. Also
known as culling, purging, stripping, or screening. See also Purge
(ARMA International). back
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