Glossary of useful Records Management terms

A B C D E F G H I J K L M N O P Q R S T U V W X Y Z

A

Access

The right, opportunity and means of finding, using or retrieving information.

Appraisal

The process of evaluating the University's activities, as evidenced by its records, to determine which records should be kept, and for how long, to meet the needs of the University, the requirements of accountability and the expectations of researchers and other users of the records.

Appraisal criteria

Appraisals are based on the primary (administrative, fiscal, and legal) and secondary (evidential, informational, historical) value of records and the criteria help the process of distinguishing records of continuing value (whether primary or secondary) from those of no value so that the latter may be eliminated.

Archive

A body of records, designated by the appraisal process for indefinite or permanent retention. These records normally have continuing secondary value to the University. They are mostly the 'corporate memory' of the University but also a place where inactive records of continuing value are kept and preserved for legal, historical and research purposes.

Authenticity of record

An authentic record is one that can be proven:

• to be what it says it is;
• to have been created or sent by the person supposed to have created or sent it;
• to have been created or sent at the time purported.

To ensure the authenticity of records, organisations should implement and document policies and procedures which control the creation, receipt, transmission, maintenance and disposition of records to ensure that record creators are authorised and identifiable and that records are protected against unauthorised addition, deletion, alteration, use and concealment.

B

BS ISO 15489

The Records Management Standard that provides guidance on managing our records. It provides recommendations to ensure that adequate records are created, captured and managed.

C

Classification

The systematic identification and arrangement of business activities and the records created by these processes into categories according to logically structured conventions, methods and procedural rules represented in a classification system (our records should be classified into the University file plan).

Conversion

The process of changing records from one medium to another, or from one format to another. For example the scanning of paper records converts the information into electronic format.

Current records

Records regularly used for (or which contain information of immediate relevance to) the conduct of current business that are maintained in their place of origin. (Also known as Active Records).

Consignment

A batch of records transferred by a School or Department to the Records Management Unit or Offsite Storage provider.

D

Data controller

(Under the terms of the Data Protection Act): a person who, either alone or jointly in common with other persons, determines the purposes for which and the manner in which any personal data are, or are to be, processed. University of Northampton is the registered Data Controller, however, members of staff may also act as Data Controllers (individually or jointly with other staff).

Data subject

(Under the terms of the Data Protection Act) : The living individual to whom the data relates who is therefore the subject of personal data.

Data Protection Act (DPA)

An Act which provides legal rights to individuals with regard to the personal information held about them by others.

Destruction

The process of destroying, eliminating or deleting records beyond any possible reconstruction.

Disposal

This is more than the destruction of the records which have ceased to have any operational or historical value to the University. It is the implementation of appraisal and review decisions, therefore it is a range of processes associated with implementing appraisal decisions including review for archive; delete or destroy records; transmission or migration of records between systems; transfer of custody/ownership of records.

Disposal schedule

Comprehensive list of official record series of the University for which predetermined actions have been agreed (see also RETENTION SCHEDULE).

Disposition

A range of processes associated with implementing records retention, destruction or transfer decisions.

Document

Recorded information or object which can be treated as a unit. The smallest unit of filing, generally a single letter, form, report or other item housed in a filing system. For the purposes of TUNDRA a document relates to information that is not yet a record in that the content is still able to be altered.

E

Electronic records

These are held in digital form on magnetic or optical storage media such as disks, CD-ROMs, DVDs, hard-drives, and servers. Examples include databases, e-mails, scanned images, records created using Microsoft Office products web pages, audio clip. The information is recorded in a form that is designed to be retrieved, processed and communicated by computer.

Electronic document and Records management system 

A system that manages electronic records and documents throughout their lifecycle, from creation and capture through to their disposal or permanent retention, and which retains their integrity and authenticity while ensuring that they remain accessible. The University's system is called TUNDRA.

F

Finding aids

An Index or other list, either manual or automated, that is designed to make it easier to locate relevant files or other information.

File 

An organised unit of documents grouped together either for current use by the creator or in the process of archival arrangement, because they relate to the same subject, activity or transaction. A file should normally be the basic unit within a records series.

Format (medium)

The format on which a record is held, for example: paper, electronic, film negative, video, microfiche, microfilm, optical disc, magnetic tape etc.

Freedom of Information Act (FoI)

Provides a general statutory right of access to information of any age and in any format held by the University, subject to a number of limited exemptions.

H

Hardcopy

All information that is not held in an electronic format and can be read without additional equipment. For example, paper files, maps and plans, and bound volumes.

I

Indexing

The process of establishing access points to facilitate retrieval of records and/or information.

Information commissioner 

The Information Commissioner enforces and oversees the Data Protection Act, the Freedom of Information Act and the Environmental Information Regulations (EIRs).

Information survey/Records audit 

A comprehensive gathering of information, usually via a questionnaire or set of interviews, about records created or processed by an organisation. It helps an organisation to promote control over its records, and provides valuable data for developing records appraisal and disposal procedures. It also helps to identify where and when records are generated and stored within the University and how they are ultimately archived and/or disposed of. It provides detailed information on the current situation in respect of records storage and retention, and highlights any recommendations on the way forward that need to be made to improve the way the University manages its information resources.

Integrity of records

The integrity of a record refers to its being complete and unaltered. It is necessary that a record be protected against unauthorised alteration. Records management policies and procedures should specify how new versions of a record should be made after it is originally created, under what circumstances version changes may be authorised and who is authorised to make them. Any unauthorised annotation, addition or deletion to a record should be explicitly identifiable and traceable.

M

Metadata

Contextual information about a record. Data describing context, content and structure of records and their management through time, metadata is structured information that enables the description, location, control and management of other information.

With electronic records metadata are attached to, or form part of, each record. Examples of metadata: information about the author, copyright, title and subject of a web page (encoded in HTML metadata tags).

Microform 

Records in the form of microfilm or microfiche, including aperture cards.

Migration 

The act of moving records from one system to another, while maintaining the records' authenticity, integrity, reliability and usability (see also conversion).

Minutes (master copies)

Master copies are the copies held by the secretariat of the meeting, i.e. the person or department who actually takes, writes and issues the minutes.

Minutes (reference copies)

Copies of minutes held by individual attendees at a given meeting (which can be disposed of as soon as that individual no longer has a need for them).

N

Non-current records

Records no longer needed for reference by their creators, which are very rarely required for operational use but which need to be retained by the University for legal reasons (e.g. financial statements; recruitment records) or for potential archiving as historical records (for example, annual reports; board minutes). (Also known as Inactive Records). Paper records: Records in the form of files, volumes, folders, bundles, maps, plans, charts, etc. (see also hard copy).

P

Permanent retention

Records which will always be in current use can be legally retained. Additionally, under separate legislation, records may need to be retained for longer than 30 years, for example Occupational Health Records relating to the COSSH (Control of Substances Hazardous to Health) Regulations. It is also possible that the University will permanently retain records in its archive, of historical or statistical research value.

Personal data

Information about a living individual who can be identified from that information and other information which is in, or likely to come into, the data controller's possession. (See Data Protection Act).

Preservation 

Processes and operations involved in ensuring the technical and intellectual survival of authentic records through time.

Publication scheme 

A public authority is required to have a publication scheme under the terms of the Freedom of Information Act. It details information which is available to the public now or will be in the future, where it can be obtained from and the format it is or will be available in. Schemes must be approved by the Information Commissioner and reviewed periodically.

R

Record

A record is any piece of information created or received and maintained by the University as evidence of our business dealings or conduct of affairs and kept to meet legal our obligations or to facilitate the transaction of business. Records can be held in the form of letters, memos, faxes, reports, databases, e-mails, plans, videos, photographs, slides, audio recordings, CDs, CD-ROMs, microfilm and any other medium.

Records have three main purposes:

1. evidence of a transaction and its terms in the event of a dispute;
2. as reference material for the facts, background, prior actions and ideas to be used in the decision-making process (the 'corporate memory');
3. to comply with legislative or professional/sectoral requirements for the retention of records.

Record centre

A store where semi-current and non-current records would be held and managed to improve School and Departmental efficiency.

Records lifecycle

A concept for describing the various stages through which information passes in recorded form. Records are current from their creation and for as long as their administrative value remains at its highest. They become semi-current when their administrative value declines and reference to them becomes irregular and less frequent. When a record has ceased to have any administrative value at all it is non-current (although it still may have archival value).

Records management

The discipline and professional function of managing records to meet organisational needs, business efficiency and legal and financial accountability. Good Records Management leads to the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including processes for capturing and maintaining evidence of and information about business activities in the form of records.

Records management programme 

A planned and co-ordinated programme of appropriate standards, policies and procedures for the effective control of the University's records from their creation until selection for destruction or permanent preservation. The ultimate aim is to create a situation where there are fewer, more accurate, more efficient and effective records.

Record series (class)

A series is the main grouping of records with a common function, theme or subject (also known as CLASS). Documents arranged in accordance with a filing system or maintained as a unit because they result from the same activity or document a specific kind of transaction, the same accumulation, because they have a particular form, or because of some other relationship arising out of their creation, receipt or use.

A series comprises the record of all the activities that are instances of a single process. A series may be large or small: it is distinguished not by its size, but by the fact that it provides evidence of a particular process. If an activity takes place that is unique, rather than an instance of a process, its records form a series in their own right, i.e. a series may vary in size from a single document such as the Strategic Plan to many thousands in the case of invoices.

Records survey

A systematic exercise to locate and identify all the records held by a particular business area.

Record system/record-keeping system 

An information system which allows for the capture, management and access to records through time. Records created by the organisation should be arranged in a record-keeping system that will enable the organisation to obtain the maximum benefit from the quick and easy retrieval of information. Record-keeping systems include descriptive and technical documentation to enable the system and the records to be understood and to be operated efficiently. It provides an administrative context for effective management of the records, including a documented set of rules for such as; referencing, titling, indexing, protective marking of records, etc. The system should provide an environment where it is easy to maintain security and confidentiality.

Redaction

The process of removing, withholding or hiding parts of a record due to either the application of a Freedom of Information Act or Data Protection Act exemption.

Retention

The continued storage and maintenance of records for as long as they are required by the University until their eventual disposal, according to their administrative, legal, financial and historical evaluation.

Retention period

The length of time for which a record should be kept before disposal or review. This should be recorded on the retention schedule (or disposal schedule).

Retention schedule

A list of our records series with directions for how the records are to be disposed of after their creation and initial use. A schedule is a written statement of how long each series, or group of series, is to be kept (e.g. a period of years, until an action has been completed, or indefinitely) and include instructions on when records are to be transferred to archives or destroyed to meet operational, legal or best practice requirements.

Retention scheduling

The process which details how long each phase of the lifecycle should be for individual files, and which allows records management staff to dispose of or transfer records to a records store or archive at the correct time.

Review

The examination of records to determine whether they should be destroyed, retained for a further period, transferred to the archive, etc.

S

Semi-current records 

Those records whose business value has declined, but which may still be referred to on an irregular basis e.g. a previous year's records kept for reference while current work is done, or records where there is a legal requirement to retain for a defined period of years.

T

Tracking

Capturing and maintaining information about the movement, use and transaction of records.

Transfer list

A list of the records transferred to the Records Management Unit or Offsite storage for managing. A separate transfer list should accompany each consignment of records.

Transfer (custody)

Change of custody, ownership and/or responsibility for records.

Transfer (movement)

Moving records from one location to another.

V

Validity

Records that demonstrate evidence of their authenticity as a University record. This could be through the signature of a University officer on a set of minutes, the recording of the information on University notepaper, or the presence of a file in a context linking it to other University filing systems.

Version control

A procedure which seeks to identify and manage records which are subject to redrafting, thereby enabling differences in authorship and content to be logged and controlled.

Vital records 

Those records crucial to the conduct of the University's business and without which the University could not continue to operate should they be destroyed by fire, flood or any other catastrophe. Records that would be needed to re-establish the University and that protect its assets and interests (and those of its students and employees).

W

Weeding 

The process of removing time expired non-current records from record series.