Terms in the glossary are listed alphabetically. Words highlighted in bold are defined in the Glossary.

Transcription

1 Glossary 2010

2 The Records Management glossary is a list of standard records terms used throughout CINA s guidance and training. These terms and definitions will help you to understand and get the most out of learning to effectively manage your records. Terms in the glossary are listed alphabetically. Words highlighted in bold are defined in the Glossary. Sources of glossary terms 1. Australian and New Zealand Standard AS/NSS , Risk Management, Electronic Transactions Law (2003 Revision) 3. Ellis, Judith (ed). Keeping Archives, 2nd edition, Thorpe, Port Melbourne, 1993 (p. 461) 4. International Standard for Records Management (ISO ) 5. Recordkeeping Glossary National Archives of Australia Records and Information Surveys The National Archives (UK) Electronic Transactions Law (2003 Revision) Cayman Islands Government. 8. Work Process Analysis for Recordkeeping (2003) Australian and New Zealand Standard AS Webopedia 10.General International Standard Archival Description Section 0.1

3 Access Right, opportunity, or means of finding, using, or retrieving information. Accountability Accurately represented Action Officer Action tracking Active period Active record Activity Administrative change Administrative disposal schedule Administrative functions Principle that individuals, organizations, and the community are required to explain their actions to others. A document, record or information is accurately represented where it has remained complete and unaltered from the time it was first generated in its final form, whether as an electronic record or on any other medium, apart from the application of an Information security procedure, or apart from a) the addition of an endorsement; or b) an immaterial change, which arises in the normal course of communication, translation, Conversion, storage or display. Staff member designated to handle a particular matter or case. Formally known as Administrator. A process in which time limits for actions are monitored and imposed upon those conducting the business. The length of time a Record is required for use in the day-to-day Business activity of an agency. A Record required for the day-to-day functioning of an agency or person. Also called a Current record. See Business activity A process whereby departments and responsibilities are assigned to the Members and Ministers of the Cabinet. Agencies may be created, modified or abolished and responsibility for legislation and functions (and records) is transferred from one department or agency to another. Officially published in the Government Gazette. A Disposal schedule that covers the records of Administrative functions, common to most public agencies. Administrative disposal schedules are developed by the National Archive. Operations necessary for the internal of the agency. For example: Financial Management; Human Resources Management; Communications; Building & Equipment Management; Information Management; Strategic Management. 1 P age

4 Administrative records Application Appraisal Archival authority Archive Records that document the internal of the organisation. Such records result from Administrative functions that are common to most public agencies. Software programmes specific work functions, such as word processing or spreadsheets can be proprietary for a particular kind of task. The process of evaluating Business activities to determine which records need to be captured and how long the records need to be kept to meet Regulatory requirements, Business needs, and Community expectations. Agency or program responsible for selecting, acquiring, preserving and making available archives, also referred to as an archival agency, archival institution or archival program. The Final action for Records appraised as having archival value. Traditionally the term has been used to describe records no longer required for current use which have been selected for permanent preservation. Also referred to as permanent records. The place (building/room/storage area) where archival material is kept. Back-up Batch file Born Digital Browser Business activity Business analysis Business continuity An organisation (or part of an organisation) responsible for appraising, acquiring, preserving and making available archival material. Copy of data kept for security and asset protection purposes. This is different from archiving information, which is preserving information with a view to its long-term value. Contains documents which are all of the same type (e.g. a batch of invoices or a batch of application forms); Contains documents which all refer to different cases (e.g. invoices received from different suppliers could all be kept in one batch file). See also Case file. Refers to electronic records that are created on computers rather than rendered digital from hard copy. Software that allows navigation and searching of information on Internet servers. 1. A work process or procedure, undertaken as part of a Business function. An activity may relate to one or many business functions. 2. A group of related Transactions producing a group of related Records. Analysis of the operations, functions, activities, and procedures of a department or functional unit. Procedures to ensure an organisation s ability to continue operating outside of normal operating conditions. 2 P age

5 Business function Business need Business process Business system Capture 1. Major areas of operations and responsibilities that are managed by an agency to fulfil its goals. 2. A group of related Business activities. Internal requirement for Records that are necessary for the agency to carry out its Business functions. See also Accountability, Regulatory requirement & Community expectation A specific event in a chain of structured business activities. The event typically changes the state of data and/or a product and generates some type of output. An organised collection of hardware, software, supplies, policies, procedures, and people, which stroes, processes, and provides access to, an organisation s business information. See also Record-keeping system; System Recognition of a record resulting in its inclusion in an agency's records system. See also Registration. Case file CINA Classification Classification scheme Community expectation Compliant Conversion Contains documents which all refer to the same case (e.g. a person, organization, place, subject, job, issue or project). Contains documents of different types (e.g. an application form, a contract, some letters and reports could all be kept on one case file); See also Batch file. See National Archive Systematic identification and arrangement of Business activities and/or Records into logical categories, according to rules. See File Plan. External requirement for Records that is expressed by specific client groups or other parties with an interest in the organisation s business. See also Business need and Regulatory Requirement The principle that records must comply with record-keeping requirements arising from regulatory and accountability environment in which the organisation operates. Process of changing records from one medium to another or from one format to another. 3 P age

6 Container Paper folder/file containing records or its electronic equivalent. Core business functions Current record Custody Data Database Description Destruction Disposal Disposal schedule Disposal trigger Document Documentation ECMS EDMS Electronic document Operations for which the agency has primary responsibility, and which are unlikely to be carried out by any other organisation. Core business functions produce Operational records. See also Administrative functions. See Active record. The responsibility for the care of documents or records based on their physical possession or intellectual control. Custody does not always include legal ownership or the right to control access to records. Information that is coded or structured for subsequent processing by a computer system A collection of inter-related data files. Information about the format, content, context, date of records and archives in a standardized form. The process of eliminating or deleting Records, beyond any possible reconstruction. See also Disposal. Implementing decisions for records Retention, Destruction or Transfer, as documented. Any action that changes the circumstances of a Record or removes a record from its usual setting. Includes: destruction, alteration or transfer of records. An official policy for the Disposal of Public records. Sets out mandatory instructions for dealing with records that are no longer needed for current business. The point from which the Active period, Semi-active period, and Final action are calculated. This can be a date on which action is completed or a date on which an event occurs. Structured units of recorded information, logical or physical, not fixed as records. Written facts about a record keeping system, including its component parts and a manual of instruction detailing rules for use and maintenance of the system. See Enterprise Content Management System See Electronic document system Implementing tools and strategies to support collaborative work, version control and access to electronically created documents. 4 P age

7 Electronic document system (EDMS) Electronic record Electronic records Electronic records system (ERMS) Enterprise content system (ECMS) ERMS Evidence Evidential value File File plan Final action An automated system used to support the creation, revision and use of electronically created documents for the purposes of improving an organisation s workflow. A Record that is Processed and maintained by Electronic means, constituted of both content and Metadata. (See also Physical record) Note: An electronic record may include any combination of text, data, graphics, sound, moving pictures or any other forms of information. A single electronic record may consist of one or several components. The application of Records processes and controls to Electronic records and their Metadata. An automated system used to manage the creation, use, maintenance and disposal of electronically created Records for the purposes of providing evidence of business activities. ERMS maintain appropriate contextual information (Metadata) and links between records to support their value as evidence. Bundled software modules that provide a range of information functionality, such as: document ; records ; imaging; web content ; digital asset support; workflow; collaboration. Modules may be integrated or stand alone. See Electronic records system Information contributing to proving a fact and/or a process. NOTE Not limited to the legal sense of the term. The quality of records that provides information about the origins, function, and activities (context) of their creator. Physical folder containing paper related records or its electronic equivalent maintained in a predetermined physical arrangement and given a single identifier. A hierarchical classification tool which can help staff capture, title, retrieve, maintain and dispose of records and other information. A file plan is the official Classification scheme used to bring together Records that document the same business Transactions within an organisation. Enables files that are registered in the file plan can be controlled and managed consistently across the organisation. The action noted in a Disposal schedule indicating the ultimate fate of a Record usually Destruction or Transfer to the National Archive. 5 P age

8 Finding aids Reference material such as catalogues, lists and indexes providing information about the records, and made available in the repository. Government Records Centre Hard copy Holdings Imaging Inactive record Indexing Information Information Management Informational Value International standard for records ISO Off-site storage for Semi-current records provided by the National Archive. Records stored in the Government Records Centre remain the responsibility of the public agency that created them. Documents and records in a physical format, e.g. on paper. All archival material in a repository. The process of creating a digital representation or electronic photograph of a Physical record, usually by scanning. Can facilitate automated search, retrieval and workflow. May also be expensive, time consuming and image quality can vary widely. Generally, original physical record must also be maintained. A record that is no longer required for Business needs and which may therefore be transferred to archival custody, or be destroyed subject to applicable laws. Also called a Non-current record. Process of establishing access points to facilitate retrieval of records and/or information. Includes data, text, images, sounds, codes, computer programmes, software and databases. A broader professional grouping for all the activities and functions concerned with managing information, regardless of its nature or medium. Records Managers, Information Scientists, Archivists and Librarians fit into this category. The value of records for reference or research, deriving from the information about specific events, dates, persons and actions the records contain. This is also referred to as secondary value. The standard setting out principles and practices for records, formally endorsed by the International Standards Organisation in Formal title is Information and documentation Records. Consists of two parts: Part 1 General Part 2 - Guidelines See International Standard for Records Management 6 P age

9 Metadata Migration Multimedia Document Structured information that describes and/or allows users to find, manage, control, understand or preserve other information over time. For example: date created; location; title; author; security category. Recordkeeping metadata can be used to identify, authenticate and contextualise Records; and the people, processes and systems that create, manage, maintain and use them. The process of moving Records from one technological platform to another, while maintaining their authenticity, integrity, reliability and usability. Includes: the transfer of digital material from one hardware or software configuration to another, or from one generation of technology to another to refresh software or media formats; scanning or microfilming of paper records and photographic images; copying of analogue audiovisual materials to new media formats. A compound electronic document which might include a mixture of text, graphics, sound videos etc. National Archive Non-current record OCR (Optical Character Recognition) Operational disposal schedule Operational records Originating organisation Physical record (or physical folder) 1. The Cayman Islands National Archive (CINA). Public agency responsible for acquiring, preserving and making available archival material. 2. The building where archival records are kept. Records transferred to the National Archive become the responsibility of CINA. See Inactive record. Scanning and conversion software that processes text input to the computer as an image, and then converts it to a format that enables searching, editing, and retrieval. A Disposal schedule that covers the unique records resulting from the Core business functions of that agency. Records which are unique to the agency, resulting from the agency s Core business functions. Operational records document primary responsibilities and key services to external customers. Corporate body or organisational unit in which records are created or received and accumulated in the conduct of its business. A Record that is processed and maintained by non-electronic means. For example: paper files; microforms; photographs; film. (See also Electronic record) 7 P age

10 Preservation Protective marking Provenance Public record Record Record-keeping system Records disposal schedule Records inventory Records Records programme Records software The processes and operations involved in ensuring the technical and intellectual survival of authentic Records through time. Encompasses environmental control, security, creation, storage, handling, and disaster planning for records in all formats. The process of determining security restriction on records. May also be known as security classification. Office of origin of Records. The agency, office or person that created, received or accumulated and used the records in the conduct of business. Information that establishes the chain of ownership and custody of particular records. Any Record that is: created by a public agency created for an agency by a third party received by a public agency in the course of carrying out official business. 1. Information that is inscribed, stored or otherwise maintained on a tangible medium or that is stored in an electronic or any other medium and is accessible in a perceivable form. 2. Information created, received, and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transaction of business. See also Electronic record; Physical record; Public record. Information system which captures, maintains, and provides access to records over time. See Disposal schedule See Records survey The field of responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposal of Records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records. The program conducted on an organization-wide basis for the of records, record-keeping activities, and record-keeping systems. Database systems used to manage the Metadata for Physical records. E.g. the Records Management System (RMS) 8 P age

11 Records Management System (RMS) Records series Records survey Registration Regulatory requirement Retention Retention requirement Retention Schedule Retrieval RMS is the automated records control system for the Cayman Islands Government. It manages Metadata about Public records, such as location, records series title and disposal. See Series A comprehensive gathering of information about records created or processed by an organisation. 1.The process of records creation and its recording in an appropriate finding aid, such as a register, index, computer database, etc. 2.The act of giving a Record a unique identifier on its entry into a system. An obligation imposed on an agency by laws, regulations, whole-ofgovernment policy, standards or similar instruments. Maintaining Records to ensure they are available to satisfy Regulatory requirements, Business needs and Community expectations. During retention, a record goes through an Active period, a Semi-active period, and finally becomes Inactive. Rule or condition that affects: the length of time records need to be kept the way in which records should eventually be disposed. Reasons for maintaining, transferring or destroying Public records. See Disposal Schedule Process of recalling specific records from storage. RMS See Records Management System Scheduling Semi-active period Semi-active record Semi-current record Sentencing The process of matching a Record to a Disposal schedule to determine the Retention period and Final action. The period of time that a Record is no longer required for use in the dayto-day Business activity of an agency, but during which other Retention requirements still apply. A Record required so infrequently in the conduct of daily Business activity that it can be transferred from offices to intermediate storage areas. Also called a Semi-current record. See Semi-active record. See Scheduling 9 P age

12 Series Storage Storage medium A group of related Records, that: are in the same numerical, alphabetical, chronological, or other sequence; or result from the same accumulation, filing process or Business activity; or are of similar function, format or informational content; or have some other relationship arising out of their creation, receipt, or use. Measures for keeping records under defined conditions and permitting their retrieval. Physical base on which information may be recorded. Sustainability System Taxonomy Tracking Transaction The processes and operations involved in ensuring the technical and intellectual survival of authentic Records through time. Usually refers to actions that ensure Electronic records remain usable in the medium-term (e.g. strategies for interoperability and migration) as distinct from long-term or archival Preservation. A perceived whole whose elements hang together because they continually affect each other over time and operate toward a common purpose. Systems consist of sub-systems or functions, processes, activities, and tasks. See Business system; Record-keeping system The science of classification; laws and principles covering the classifying of objects. In records this usually refers to classifying records into a structured file plan. Capturing and maintaining information about the movement and use of records. 1. An action, communication or exchange of information, that results in the creation of a Record. 2. The smallest unit of Business activity. 10 P age

13 Transfer Trigger Unregistered record Vital records Workflow System 1. Change of custody, ownership and/or responsibility for Records. 2. Moving records from one location to another. A transfer could be: from one public agency to another (following administrative change) from an agency to the Government Records Centre (semi-active records) from an agency to the National Archive (inactive records of archival value). A mechanism in a paper based or electronic record-keeping system to set timing for a specific disposal action. A Record that has not been captured into the agency's records system. See also Registration. Records identified as essential for the continuing conduct of an organization s business, including the re-creation of its legal status and determining the rights and obligations of its stakeholders. Application which automates the flow of business around the organisation, routing information relevant to a particular business process to participants in that process and tracking status of that process across participants. 11 P age

14 Cayman Islands National Archive P.O. Box Grand Cayman KY CAYMAN ISLANDS Tel: Fax: CINA@gov.ky Crown Copyright 2010