IBM e-Records Management Glossary



e-Records Management Glossary

August 2007

Compiled by

Bruce Schinkelwitz, CRM

Summary

This Glossary presents a selection of definitions to core electronic records terms. These terms are found in the most common records standards, in the professional records management, archival and information management literature, and in selected technical documentation.

Attribution to source, where applicable, is indicated at the end of each definition (e.g., ISO refers to ISO 15489-1:2001(E)). A list of sources is located in the Appendix.

INTERPARES

Record: A document made or received in the course of a practical activity as

an instrument or a by-product of such activity, and set aside for action or

reference.

Document: An indivisible unit of information constituted by a message

affixed to a medium (recorded) in a stable syntactic manner. A document has

fixed form and stable content.

Electronic record: An analogue or digital record that is carried by an

electrical conductor and requires the use of electronic equipment to be

intelligible by a person.

Digital record: A digital document managed as a record.

Manifested digital record: A stored digital record that is visualized in a

form suitable for presentation either to a person (i.e., in human readable

form) or to a computer system (i.e., in machine language).

Stored digital record: A digital object, placed in a storage system on

digital media, that is managed as a record, and which includes information

about the properties of the object and may also include methods of

performing operations on or with the object.

Digital document: A digital object that is managed as a document and is

affixed to a digital medium.

Digital object: An aggregation of data composed of one or more digital

components, and which includes information about the properties of the

object and may also include methods of performing operations on the object.

Digital component: An aggregation of digitally encoded data composed of one

or more bitstreams, including any metadata necessary to order, structure or

manifest its content and form, requiring a given preservation action.

Bitstream: A sequence of digital binary data (binary bits) transmitted,

stored, or received as a unit without regard for internal organization or

grouping.

Digital data: Binary bits that are digitally encoded and electromagnetically

affixed to digital media.

Digital encoding: The use of discrete numeric values (such as the binary

values 0 and 1) rather than a continuous spectrum of values (such as those

generated by an analogue system).

Machine language: A set of instructions for a specific central processing

unit, designed to be usable by a computer without being translated. Also

called machine code.---

A

access.

• The right, opportunity, means of finding, using, or retrieving information. ISO 15489

• The ability or opportunity to gain knowledge of stored information. DoD-STD 5015.2

accession.

• [v] To transfer physical and legal custody of documentary materials to an archival institution. DoD 5015.2

• [n] Involves the permanent transfer of a record and its meta data to another authority that assumes responsibility and ownership of the record. IBM

accountability. The principle that individuals, organizations, and the community are responsible for their actions and may be required to explain them to others. ISO 15489

action tracking. The process in which time limits for actions are monitored and imposed upon those conducting the business. ISO 15489

active record. A record required for the day-to-day functioning of an agency or person. Also called a current record. NAA

administrator.

• A role responsible for the day to day operation of the corporate records management policy within the organization. This represents a simplification. Especially in large organizations, the tasks attributed in this specification to Administrators may be divided between several roles, with titles such as Records Manager, Records Officer, Archivist, etc. MoReq 1 1

• The role responsible for the administration of a computer system or software application.

aggregation. Generic concept of record assemblies existing at all file plan levels (in the paper environment the most familiar level of aggregation being the file folder. The elements and sub-elements applicable to entities at different levels of aggregation differ in a records management metadata scheme. TNA 2

API. Application Programming Interface.

application programming interface. A software interface that enables applications to communicate with each other. An API is the set of programming language constructs or statements that can be coded in an application program to obtain the specific functions and services provided by the underlying licensed program.

appraisal. 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 business needs, the requirements of organizational accountability and community expectations. NAA

archival authority. The

• archival agency

• archival institution

• archival program

• agency or program responsible for selecting, acquiring and preserving archives, making them available, and approving destruction of other records. ISO 15489

archive. Persistent storage used for long-term information retention, typically very inexpensive for each stored unit and slow to access, and often in a different geographic location to protect against equipment failures and natural disasters.

archives.

• the records created or received and accumulated by an individual or organization in the course of the conduct of affairs, and preserved because of their continuing or historical value.

• The building or part of a building where archival materials are located.

• See archival authority.

archiving. [v]

• For electronic records, it is the procedure of transferring information from an active file to an inactive file, storage medium, or facility.

• Act of creating a backup copy of computer files. ARMA

attachment. A record, object, or document associated with another document or record and filed in the RMA or transmitted as part of the other document or record. DoD 5015.2

attribute. A unit of data that describes a certain characteristic or property of an object.

audit trail. Data which allows the reconstruction of a previous activity, or which enables attributes of a change (such as date/time, operator) to be stored, so that a sequence of events can be reconstructed in their correct chronological sequence. Note: an audit trail generally consists of one or more lists, or a database which can be viewed in that form. TNA 2

authentic. An authentic record is one that can be proven to be what it purports to be (i.e. the content is what it appears to be, it was created by the person who appears to have created it and it was created at the time it appears to have been created). VERS

authenticity.

• A condition that proves that a record is genuine based on its mode (i.e., method by which a record is communicated over space or time), form (i.e., format or media that a record has upon receipt), state of transmission (i.e., the primitiveness, completeness, and effectiveness of a record when it is initially set aside after being made or received), and manner of preservation and custody. DoD 5015.2

• The quality of being genuine.

o Note: in the context of a record, this quality implies that a record is what it purports to be; it does not address the trustworthiness of the record’s content as a statement of fact. Authenticity is conferred on a record by its mode, form, and/or state of transmission, and/or manner of preservation and custody. MoReq 1 1

author. The author of a document is the person, office or designated position responsible for its creation or issuance. The author or originator is usually indicated on the letterhead or by signature. For RMA purposes, the author or originator may be designated as a person, official title, office symbol, or code. DoD 5015.2

B

bar code. A code used for identification purposes.

binary large object. A sequence of bytes with a size ranging from 0 bytes to 2 gigabytes. This string does not have an associated code page and character set. Image, audio, and video objects are stored in BLOBs.

C

capture.

• [n] The registration, classification, addition of metadata and storage of a record in a system that manages records. MoReq 1

• [v] A deliberate action that results in the registration of a record into a recordkeeping system. For certain business activities this functionality may be built into computer systems so that the capture of records is concurrent with the creation of records. NAA

certificate authority (CA).

• An organization that creates and signs public key certificates. VERS

• As part of a public key infrastructure, an authority in a network that issues and manages security credentials and public keys for message encryption and decryption. NARA

certificate chain. To check the signature on a public key certificate, you need the public key of the certificate authority that created and signed the certificate. This is obtained from a second public key certificate, the signature of which must be verified in turn. The resulting chain of public key certificates is called a certificate chain. VERS

character large object (CLOB). A sequence of characters (single-byte, multibyte, or both) up to 2 gigabytes. A CLOB can store large text objects. Also called a character large object string. Compare to binary large object (BLOB).

charge-out. Checking out a component from the file plan. A charged-out, component is locked.

class. [n]

• A class is a subdivision of the overall classification scheme by which the electronic ‘fileplan’ is organised. A class may be sub-divided into one or more lower level classes; and this relationship may be repeated down the hierarchy. A class does not itself contain records; it is an attribute against which a folder is classified. TNA 2

• The portion of a hierarchy represented by a line running from any point in the classification scheme hierarchy to all the files below it. MoReq 1

classification. [n]

• The systematic identification and arrangement of business activities and/or records into categories according to logically structured conventions, methods, and procedural rules represented in a classification system. ISO 15489

• See security category

• A scheme which categorizes records into assemblies designed to preserve the context of the records relative to each other [based upon their part in a business process]. The full set of classes, at all levels, which together constitute the classification scheme. No assumptions are made about the principles of division, which might be based on functions – activities, subjects, or themes – sub-themes. TNA 2

classification system. See classification.

classify. [v] A method of assigning retention and disposition rules to records. Depending on the particular implementation, it can be manual or process-driven. You can present users with a list of allowable file codes from a drop-down list (manual classification). Ideally, the desktop process or application can automate classification by triggering a file code selection from a property or characteristic of the process or application. IBM

Similar to the declare function, this can be a completely manual process or process-driven, depending on the particular implementation. As a minimum, the user can be presented with a list of allowable file codes from a drop-down list (manual classification). Ideally, the desktop process/application can automate classification by triggering a file code selection from a property or characteristic of the process/application.

clearance. See security clearance.

client application. An application written with the Content Manager APIs to customize a user interface. IBM

CLOB. See character large object.

close [v.] The process of changing the attributes of an electronic file volume so that it is no longer able to accept the addition of records. MoReq 1

closed. Describes an electronic file volume which has been closed and so cannot accept the addition of records. MoReq 1. Also applies to paper files.

common query. A set of frequently used queries that you can easily execute from Query-Common. The queries you can execute in Query-Common are Audit, Reservation, Charge Out, User/Group, and Life Cycle Code. IBM

component. The smallest aggregation of data managed by an operating system, also referred to (in computer terminology) as a file (to avoid confusion, the term file has not been used). The full set of physical components from which a logical Record is constituted; for example, the multimedia components of a web page (perhaps an HTML stream plus several GIF and JPEG images);. An end user will not interact directly with the component level, but it is necessary to record (automatically) information about components in order to be able to manage them through time, for example, for migration purposes. TNA 2

component definition. See file plan component definition.

Component FPC. A file plan component in Records Manager that refers to a physical or structural element, such as a shelf or space, in the file plan as opposed to a record element. See file plan component. See Record FPC.

content. The actual information in a record (as distinct from its context). VERS

context. The organizational, functional, and operational circumstances in which

documents are created and/or received and used. SAA

continuum. See records continuum.

controlled vocabulary. A simple list of valid terms or values. VERS

conversion.

• The process of changing records from one medium to another or from one format to another. ISO 15489

• Conversion involves a change of the format of the record but ensures that the record retains the identical primary information (content). Examples include microfilming and digital imaging of paper records. NAA

• See migration.

copy.

• [v] In electronic records, the action or result of reading data from a source (RMA’s repository), leaving the source data unchanged, and writing the same data elsewhere on a medium that may differ from the source (user workspace or other device). DoD 5015.2

• [n] A duplicate made from an original. See original.

custodian. A person having responsibility for a particular set of records at a particular time, typically a case officer. TNA 2

cut off. [v] to cut off records in a file means to break, or end, them at regular intervals to permit their disposal or transfer in complete blocks and, for correspondence files, to permit the establishment of new files. DoD 5105.2

cut-off. [n] A fixed period, or recurring date, which defines the point in time at which an electronic part of a folder is closed, and a new part is opened. Note: for example, an annual cut-off date at the end of each financial year. TNA 2

CRM. Certified Records Manager.

D

DAO. Data Access Objects. They are object created with Visual Basic. IBM

data types. A definition of a set of data.

declaration. The process of defining that a document’s contents (and some of its metadata attributes) are frozen as it formally passes into corporate control and is thereby declared as a record. TNA 2

declare. [v] To designate that a particular document is a corporate record. Once declared as a corporate record, edit and delete control of the document is passed from the user to the record keeping process, as administered by the corporate records management professionals. As a record, a document can only be modified or deleted by the records management process, not by the end user. Users must be aware of those documents that are records (declared), versus those that are not yet declared. Declaration can be manual whereby the user decides when to declare, and then sets a property or selects a menu option to declare the document. Alternatively, it can be and automated process whereby specifying a certain property triggers the automatic declaration of the record. IBM

Once declared as a corporate record, edit and delete control of the document is passed from the user to the recordkeeping process, as administered by the corporate records management professionals. Once declared as a record, a document can only be modified or deleted by the records management process, not by the end user. At all times, users should be aware of which documents are records (have been declared) versus those that are not (not declared). Declaration may be completely manual, e.g. the user decides when to declare, then sets a property or selects a menu option to declare the document. Alternatively, it can be automated, e.g. when a certain property is set, the declaration process is automatically triggered. IBM

descriptor. See security descriptor.

destruction. The process of eliminating or deleting records, beyond any possible reconstruction. ISO 15489

digital signature. A security mechanism that demonstrates that a particular piece of data (e.g. a record) has not been altered since creation. See certificate, certificate authority, private key, public key, and public/private key pair. VERS

DIRKS. Acronym for ‘Designing and Implementing Record Keeping Systems’, a methodology for managing records and other business information that is outlined in the Australian Standard for Records Management (Standards Australia AS ISO 15489, Part 1, Section 8.4) and elaborated in the 2001 NAA publication, DIRKS: A Strategic Approach to Managing Business Information. NAA

disposal. The process of deciding whether to retain records. Within the Victorian public sector, records are appraised to determine their significance (business, legal or historical) and then judged to be either of temporary or permanent value to the state. Disposal is one aspect of disposition. VERS

disposal authority.

• A code or rule for approving the disposal of certain records. IBM

• A formal instrument that defines the retention periods and consequent disposal actions authorised for classes of records described in the authority. Previously referred to as disposal schedules. NAA See retention schedule.

disposal schedule.

• A set of instructions allocated to a folder to determine the length of time for which the folder should be retained by the organization for business purposes, and the eventual fate of the folder on completion of this period of time. TNA 2

• See retention schedule.

disposition.

• range of processes associated with implementing records retention, destruction or transfer decisions which are documented in disposition authorities or other instruments. ISO 15489

• [v] those actions taken regarding records after they are no longer required to conduct current business. DoD 5015.2

• the last stage in the record life cycle. Disposing a file plan component (either accession or destruction) also disposes its descendants. IBM

document. [n]

• Recorded information or object which can be treated as a unit. ISO 15489

• Information set down in any physical form or characteristic. A document may or may not meet the definition of a record. DoD 5015.2

• Recorded information, stored on a physical medium, which can be interpreted in an application context and treated as a unit. TNA 2

• A document managed by the host application (any form or format), an email message or attachment, a document created within a desktop application such as Microsoft Word, regardless of the format. There are two types of document: electronic and non-electronic. An electronic document is stored in electronic format and it can be read. If declared as a record, an electronic document becomes a managed record. A non-electronic physical object can take on many forms (such as maps, paper, VHS video tapes, and CDs). You cannot record the physical object using the same method as electronic documents; however, you can store its descriptive metadata, and then track this information.

documentation.

• In archival usage, the creation or acquisition of documents to provide evidence of the creator, an event, or an activity.

• In electronic records, an organized series of descriptive documents explaining the operating system and software necessary to use and maintain a file and the arrangement, content, and coding of the data which it contains. SAA

document security control. Access control to documents (non-declared records) within the host application. Note: Document security control is different from Records Security Control. With IBM RM, access control is a two-level process. The host application controls access to non-declared documents via its internal security administration. The host application controls access to declared documents by consulting with IBM RM for access permission, before allowing a user to see the document. IBM

Document Type Definition (DTD). A template that defines a valid XML document, consisting of a set of mark-up tags and their interpretation. VERS

DoD 5015.2. Design Criteria Standard for Electronic Records Management Software Applications, DoD 5015.2-STD.

DOMEA. Acronym in German for “Dokumentenmanagement und Archivierung im elektronisch gestützten Geschäftsgang.” This is the German Government Standard for “electronic document management and archiving in the paperless office.”

E

ECM. Enterprise Content Management. Not a synonym for Records Management. Umbrella term for technologies, tools, and methods used to capture, manage, store, preserve, and deliver electronic object content across the enterprise. It is often used as a broad term to include activities such as document management, knowledge management, and published content (such as website content). Kahn

EDMS. Electronic Document Management System.

electronic document. A document which is in electronic form. TNA 2

electronic folder. A set of related electronic records. Note: this term is often used loosely to mean part. TNA 2

electronic record. An electronic document which has been declared as a corporate record. TNA 2

electronic signature. A technologically neutral term indicating various methods of

signing an electronic message that (a) identify and authenticate a particular person as

source of the electronic message; and (b) indicate such person’s approval of the

information contained in the electronic message (definition from GPEA, P.L. 105-277).

Examples of electronic signature technologies include PINs, user identifications and

passwords, digital signatures, digitized signatures, and hardware and biometric tokens.

element. A metadata attribute applied to an object. A few of the attributes set out in this document operate at the same level as in resource discovery metadata schemes and can be applied directly to records management entities (e.g. 3. Title, 4. Subject). However, in a records management scheme most of the elements are actually applied as attributes to objects at the sub-element level (e.g. the sub-elements of 18. Access control, 19. Disposal). TNA 2

encoding scheme. Possible or permissible values forming a controlled vocabulary / set of authority terms for an element or sub-element. As most records management metadata is system derived, the encoding scheme should be defined in system configuration. TNA 2

encryption. Any procedure used in cryptography in order to prevent any but the intended recipient from reading that data. VERS

ERMS

• Electronic Record Management System. Note: ERMS differ from EDMS in several important respects. See section 10.3 for more details. export (noun) The process of producing a copy of complete electronic files for another system. Note: the files remain on the ERMS after export, unlike transfer. MoReq 1

• A recordkeeping system that manages electronic records. VERS

exclusive relationship. A relationship that is exclusive within its view. An exclusive relationship can only exist where there are several relationships that have the same source. This kind of relationship determines the types of components to allow in a relationship with respect to its existing members. For example, a file component can have any number of files (as children), however, if one of those files contains folders, that file is the end of a branch and it can contain only folders. IBM

export. The process of passing copies of a record or group of records with their metadata to from one system to another system, either within the organization or elsewhere. Export (rather than transfer) does not necessarily mean removing them from the first system. TNA 2

evidentiary integrity. An intangible property of an electronic record that determines the value of the record as evidence. VERS

extract / redaction

• An extract is a copy of a record, from which some material has been removed or permanently masked. An extract is made when the full record cannot be released to a requester, for example under freedom of information, but part of the record can. An extract of a whole folder is made by creating extracts from some or all of the records which the folder contains.

• Note: in the paper environment, an extract referred to material removed from a Record in the process of making a “redaction”. This is a concept of little meaning in the electronic environment where there is no need for the physical storage of an extract as a secure redacted version can be made without producing one. In the electronic environment the terms extract and redaction are thus treated as synonymous. . TNA 2

F

file.

• [n] An organized unit of documents accumulated during current use and kept together because they deal with the same subject, activity or transaction.

• [v] The action of placing documents in a predetermined location according to a scheme of control. NAA

fileplan. The full set of classes, and the folders which are allocated to them, together make up a fileplan. The fileplan is a full representation of the business of the organization, within a structure which is best suited to support the conduct of that business and meet records management needs. TNA 2. Use file plan.

file plan. An organization will have a common classification scheme for the entire organization, called a file plan. The file plan is typically a hierarchical set of subjects or business activities. Each node or subject file is annotated with a unique code called a file code. A given file code refers to a specific subject file within the file plan. Each subject file has an official retention rule (when, why, and how to delete) assigned to it. Each record must be assigned a file code that matches the appropriate subject file with in the file plan. IBM

file plan administration. The design and administration of a corporate file plan. The records manager can design file plan components (classes of file plan objects such as files, records, and folders), and then define the attributes of these classes and their relationships (for example, files can contain files, records, and folders). Various views of the file plan may be defined. For instance, a warehouse view might present a view of the physical folders in the organization, whereas a numeric view might present the sorted numeric structure for maintenance purposes. The records manager can create pick lists enforcing consistency within the file plan, component profiles that define the characteristics of the file plan, and default values to simplify daily file creation tasks. Policies, permissions, and suspensions can be assigned to file plan objects. IBM

file plan component (FPC). The classification of file plan objects, such as files, records, and folders. IBM

file plan component definition. A declaration that the specific type of file plan component will exist within the file plan. After you define a file plan component definition, an unlimited number of actual file plan components of that declared type can exist within the file plan. A file plan component definition is a meta-object, used to declare the type (either record or component) of the actual components. IBM

file plan management. The process of designing, building, and maintaining a file plan. IBM

file plan relationship definition. The relationship of components within the file plan. For example, a folder can contain files, records, and other folders. The folder has a parent-to-child relationship with these subordinate file plan components. IBM

file plan view. A collection of relationships between components that comprise the file plan. In the same way that a view in a relational database is a collection of joined tables that comprise a schema. File plan views give each component in the file plan a context. No file plan components can exist outside a view. Every file plan component must be in at least one view (Hierarchical, Link, and Set). IBM

file format. The organization of the information in a computer file. The same type of object (e.g. an image) can be encoded in many different formats (e.g. an image can be represented as a TIFF or a JPEG). Formats are defined in several ways. File formats may be defined by the application that reads them (e.g. Word files are defined by the Word program), by a company and published (e.g. PDF by Adobe), or by a committee or consortium (e.g. XML by the W3C). In VERS, each different file format is represented by an encoding. VERS

finding aid. Any guide such as an index, list, inventory, or catalogue that is descriptive or analytical with respect to a body of records, and having the purpose of clarifying the subject content and organization of the records in order to facilitate their use. VERS

folder. An electronic folder is a (virtual) container for records (which may be segmented by part). Folders are allocated to a class. A folder is the primary unit of management, and is constituted of metadata. Some of this metadata may be inherited from the class to which the folder belongs; and some may be inherited by the records which the folder itself contains. Where this term is used in isolation, it refers to both electronic folders and paper folders (as the latter are represented in the system). Otherwise, it is used only when qualified, e.g., electronic folder, physical folder to refer to that specific type of folder. TNA 2

FPC. File plan component.

freeze. [v] The act and process of suspending or extending the disposition of temporary records that cannot be destroyed on schedule because of special circumstances, such as a court order or an investigation. DoD 5015.2

G

General Records Schedule (GRS). A records schedule governing specified series of records common to several or all agencies or administrative units of a corporate body. NARA

H

hierarchical view. A hierarchical view represents a tree-like structure in a parent and child relationship in a file plan. Hierarchical views can also represent containment (for example, a box can contain a folder). You can have as many hierarchical views in a file plan as you require, but you must have at least one hierarchical view in a file plan. IBM

hold. See freeze.

hybrid folder. A set of related electronic and non-electronic records, some stored in an electronic folder within the system and some in a non-electronic folder (typically, a physical folder) outside the system. A hybrid folder may have several hybrid parts. Both electronic and non-electronic elements of the hybrid folder must be managed as one. TNA 2

hybrid part. A set of related electronic and non-electronic records, some stored in an electronic part within the system and some in a non-electronic part (typically, a physical part) outside the system. Both electronic and non-electronic elements of the hybrid parts must be managed as one. TNA 2

I

import. [v] Part of the process of transferring folders (and their associated records) into the custody of a recordkeeping system with the implication that they have been exported from another recordkeeping system. VERS

inactive record. A record that is not required to be readily available for the business purposes of a department or agency and which may therefore be transferred to intermediate storage, archival custody, or be destroyed subject to applicable laws. Also called a non-current record. NAA

indexing. The process of establishing access points to facilitate retrieval of records and/or information. ISO 15489

inheritance.

• principle by which an object can take on a metadata attribute of its ‘parent’ entity, either by inheritance on creation where the subordinate (or ‘child’) object takes the value of that attribute when it is created; or by retrospective inheritance where either the attribute of the parent object is changed or the parent object is altered (e.g. by moving a folder in the fileplan so that it has a new parent object). TNA 2

• the passing of class resources or attributes from a parent class to a child class. IBM

integrity. Integrity refers to the record being complete and with no unauthorized alterations. Note that records can be altered and retain their integrity provided the alterations are allowed by policy, are authorized, and are documented. VERS

IRM. IBM DB2® Records Manager.

ISO 15489. International Standards Organization, ISO 15489:2001(E), International Standard for Information and documentation – Records management.

item. A discrete unit in a recordkeeping system or, in the archival context, within a series, such as a document or file, that is treated as a unit for control and retrieval. NAA

J

JDBC. Java Database Connectivity.

Java Virtual Machine. Interprets compiled Java binary code for a computer’s processor so that it can perform a Java program’s instructions. IBM

K

keyword.

• A common data element name in a retrieval interface where the user enters text as a single word or a phrase. NAA

• A term located in a metadata field of a record and used in a query of a recordkeeping system.

L

life cycle.

• The records and information life cycle is the life span of a record from its creation or receipt to its final disposition. It is usually described in three stages: creation, maintenance and use, and final disposition. DoD 5015.2

• A collection of phases through which any file plan component managed as a record must transit before it is disposed. A life cycle can consist of one or more phases; each phase lasting specific duration and denoting records management activity that must be performed at the beginning, or at the end of the phase. These phases comprise the life cycle duration. IBM

life cycle code. A life cycle rule applied to a file plan component. IBM

life cycle event.

life cycle management. The records life cycle is the life span of a record from its creation, or to its final disposition. Typically, it is described in three stages: creation, maintenance and use, and final disposition. With e-records, the records manager can create and maintain the official rules that determine when to destroy (or permanently keep) electronic records, as well as record and enforce any conditions that apply to destruction (for example, to destroy two years following contract completion). Finally, the records manager can carry out the physical destruction of electronic records, maintaining a legal audit file. IBM

life cycle phase. A life cycle consists of one or more phases; each phase lasting specific duration and specifying records management activity to perform at the beginning, or at the end of the phase. These phases comprise the duration of a life cycle. IBM

life cycle operations. The process of executing the rules that govern the life cycles of components (the transitioning of file plan components through their life cycles). After file plan components transition through all phases, they are ready for disposition. IBM

life cycle rule. A rule that determine the following items: Time - How much time a component spends in any one phase of its life cycle. Security - Whether a component’s security changes as it transitions from one phase to another in its life cycle. Disposal - How a component is disposed of when it completes the last phase of its life cycle. Cut off - Whether a component is cut-off when it enters a phase in its life cycle. Close - Whether a component is closed when it enters a phase in its life cycle. Interim transfer - Whether a component undergoes an interim transfer when it enters a phase in its life cycle. Begin Life Cycle When Superseded - Sets a file plan component to begin its life cycle when it is replaced by a new version. Event-Based Disposition - Sets disposition to be event based instead of time based. IBM

life cycle suspensions. The suspension of a file plan component. If a file plan component does not qualify for transitioning, it will remain in its current life cycle phase until the removal of the suspension. IBM. See freeze.

life cycle trigger. The point from which the disposal action is calculated. This can be a date on which action is completed or a date on which an event occurs. NAA

link. Any connection between or within records or files. These connections may be textual (e.g. a ‘see also’ reference) or by means of electronic pointers (e.g. a URL). VERS

link view. A collection of unidirectional peer-to -peer type relationships. You can use a link view to establish a one-way relationship between two file plan component types. For example, a cross-reference link between two documents where two file plan components are cross-referenced to each other. There is no hierarchy between these documents. Users are aware of the existence of one document because it is cross-referenced to another. IBM

logic extension class. Classes let you apply business rules to file plan components. You apply the business rules by associating logic extension classes with file plan component definition types and, then executing them. IBM

long term preservation format. Computer file format selected by an archival authority to be likely to survive for a very long period of time. VERS

M

marker. Metadata which describes attributes of a record which is stored externally to the system (for example, large paper documents such as building plans, a database held outside the ERMS, a record on a CD-Rom). TNA 2

media. Physical storage media. A means of storing data. A piece of media allows data to be copied on to it which can then be read back by a computer. Some types of media allow data to be recopied (destroying the original data in the process) while other types of media will only allow data to be copied to the media once. Common types of media are CD-Rom, magnetic tape, floppy disk. VERS

media migration. See media refresh.

media refresh. The copying of the contents of a piece of media to fresh media (possibly using a different storage technology or density). VERS

metadata.

• data describing context, content and structure of records and their management through time. ISO 15489

• Information describing the context, content and structure of records, folders and classes. TNA 2

• (In the context of records management) Structured or semi-structured information which enables the creation, management and use of records through time and within and across domains in which they are created.

• Note: the distinction between data and its metadata can be unclear. For example, it is usually clear that the essential indexing data for a record (title, date etc.) is part of that record’s metadata. However, the audit trail for a record, or the retention schedule for a record, can validly be considered to be either data or metadata, depending on the context. Different types of metadata can be defined, for example, for indexing, for preservation, for rendering etc. MoReq 1

metadata element. A specific piece of information contained in a VERS Encapsulated Object. VERS

metadata schema. The organization and structure of the metadata. VERS

migration.

• The act of moving records from one system to another, while maintaining the records' authenticity, integrity, reliability and usability. ISO 15489

• The process of moving records from one technological platform to another, to refresh software or media formats, while maintaining their authenticity, integrity, reliability and usability. TNA 2

• The process by which you move a file plan component from one physical location to another. (refers to RM). IBM

• See also conversion.

MoReq 1.

• Model Requirements for the Management of Electronic Records.

N

Ndoc. A non electronic or physical document of any form (maps, paper, VHS video tapes, etc.). Body is not recorded in electronic form, but descriptive metadata is stored and tracked within IBM RM (profile). If declared as a record, an Ndoc becomes a managed record (i.e. an Ndoc may or may not be a (declared) record).

O

Open.

• [v] The process of creating a new electronic file volume.

• Describes an electronic file volume which has not yet been closed, and so is able to accept the addition of records. MoReq 1

Optical Character Recognition (OCR). The recognition of printed or written text character by a computer. This involves photo scanning of the text character-by-character, analysis of the scanned-in image, and then translation of the character image into character codes, such as ASCII, commonly used in data processing. DoD 5015.2

ORB. Object Request Broker. ORB acts as a “broker” between the client request for a service from a component, and the completion of the request. IBM

original. An original is the first complete and effective document, from which copies are made.

P

paging block size. A value that restricts the number of query results that display on a page. IBM

paper file.

• A device for holding physical documents. MoReq 1

• See Folder.

part.

• A part is a segment of a folder; it has no existence independent of the folder. A folder will always contain at least one part - the first part – which, until and unless a second part is created, is co-extensive with the whole folder. The concept of parts allows the contents of folders which would otherwise be closed to be disposed of in a regular and orderly manner.

• Note: Strictly speaking, records are contained within a part, although a particular system may present an interface which depicts records as contained directly within a folder. TNA 2

partition. A set of access rules that restrict user actions, at the system or component level. IBM

permanent preservation.

• The process by which records are preserved in perpetuity in the national archive, in an accessible and reliable form and maintaining them as authentic records, reflecting their business context and use. TNA 2.

• See preservation.

permissions. Permissions define what an individual user or group can do to a specific file plan component, such as a filing or a record. Permissions relate who can do what, and where in the file plan. Internally, the relationship between the who, the what, and the where, is called an access control policy.

phase. See life cycle phase.

physical folder. A physical folder is an entry within the fileplan for a legacy physical, usually paper, folder. The folder is not itself held within the system, but is located elsewhere. There are two types of case in which a physical folder is represented:

• where the physical folder stands on it own, and has no relationship with an electronic folder, other than being allocated the same classification

• where the physical folder is the physical equivalent of an electronic folder, and has the same title; the physical and electronic folder together constitute a hybrid folder. TNA 2

pick list. Pick lists let you define values a user can select from a pre-defined list of choices. The IBM DB2 Records Manager pick list feature lets you create, edit, and delete pick lists and assign them to both file plan components and non-file plan components, such as users and groups. IBM

PKI. Public Key Infrastructure. An IT infrastructure that enables users of a basically

unsecure public network such as the Internet to securely and privately exchange data

through the use of a public and a private cryptographic key pair that is obtained and

shared through a trusted authority. NARA

pointer. Method of controlling instances of electronic records classified against more than one folder, without physical duplication of the document. More than one pointer can be created within the fileplan to reference a single database object, but each must be logically managed as though separate records for disposal. TNA 2

presentation. Process of publishing records, folders and their metadata from the ERMS for ‘presentation’ outside the ERMS environment (e.g. for publication on a website) by methods within ERMS control. TNA 2

preservation.

• The processes and operations involved in ensuring the technical and intellectual survival of authentic records through time. ISO 15489

• Conservation is a narrower term within preservation that denotes the more intensive treatment applied to individual items to stabilize or strengthen them in their original form. Broader preservation strategies include the modification of record form (migration) in order to preserve the record content rather than its form.

primary view. A primary view provides a path for a file plan component to inherit properties that are not specifically set for that file plan component, a unique way to navigate to the file plan component, and a security context for the file plan component. It is a mechanism by which a file plan component inherits its inheritable properties (hierarchical view). Every file plan component gains its context within the file plan by belonging to at least one view. IBM

PRM. Physical Records Management. The activities, processes, polices that together affect the management of non-electronic records.

profile. A data entry form containing attributes that users must specify for a component. Profiles restrict user access to certain fields on the form, as well as limiting the actions on these fields. IBM

protective marking.

• Designations applied to a record to show the degree of security that it should be afforded. One of several words and/or phrases taken from controlled lists, which indicate the access controls applicable to a record.

• Note: see the separate descriptions of protective markings in the Security model for further definition. TNA 2

provenance. The archival term meaning ‘Office of origin’ of records, ie the agency, office or person that created, received or accumulated and used the records in the conduct of business. NAA

Public Key Infrastructure. See PKI.

put away. The action of returning one or more charged out file plan components. IBM

Q

query. A request for information from the database based on specific conditions. IBM

R

record.

• ‘Information created, received and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business’. In these requirements, a record is a document which has been declared as a formal record, constituted of both content and metadata. TNA 2

• Any form of recorded information that is under records management control. Records are either physical or electronic. Records can be any of the following types: Document - A document that was declared as a record. Once declared as a record, the document is under records management control. Folder - A physical folder containing documents. You can declare individual documents within the folder as records (declared as non-electronic documents). Box - A box containing paper documents. Usually contains folders, which are individually managed as records, but may alternatively contain records other than folders, such as loose documents about a specific subject. Non-electronic - A declared physical document of any form (such as maps, paper, VHS video tapes, and CDs).

recordkeeping. The making and maintaining of complete, accurate and reliable evidence of business transactions in the form of recorded information.

Recordkeeping includes: the creation of records in the course of business activity and the means to ensure the creation of adequate records; the design, establishment and operation of recordkeeping systems; and the management of records used in business (traditionally regarded as the domain of records management) and as archives (traditionally regarded as the domain of archives administration). NAA

recordkeeping metadata.

• Structured or semi-structured information that enables the creation, management and use of records through time and across domains. Recordkeeping metadata can be used to identify, authenticate and contextualise records; and the people, processes and systems that create, manage and maintain and use them. NAA

• Recordkeeping metadata can differ from record metadata where the former has been purposefully created, captured and preserved in order to manage records, and the latter is the metadata naturally created with the record.

recordkeeping system. The complete system which captures, manages, exports and provides access to records. A recordkeeping system normally contains hardware, software, people, policies, and procedures. A key aspect of the system is normally a recordkeeping application. VERS

records. information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business. ISO 15489

records continuum. The whole extent of a record’s existence. Refers to a consistent and coherent regime of management processes from the time of the creation of records (and before creation, in the design of recordkeeping systems) through to the preservation and use of records as archives. NAA

records management.

• field of management responsible for 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 and transactions in the form of records. ISO 15489

• The administrative infrastructure represents the tasks that the records manager performs on the entire organization’s collection of declared records. End users never see this process; it conducted within the Records Manager Administration Client (a browser-based web application). Records management consists of the following broad activities; file plan administration, records security control, life cycle management, and reporting. IBM

records management application. A software application designed to manage electronic records and their metadata. Also manages the metadata of non-electronic records.

record series. A group of records created and maintained by an agency or person that are in the same numerical, alphabetical, chronological, or other identifiable sequence, or result from the same accumulation or filing process and are of similar function, format or informational content. NAA

records system. information system which captures, manages and provides access to records through time. ISO 15489

record type. A definition of a record object which specifies particular metadata attributes and particular forms of behavior. A default record type is the norm, specific record types are deviations from the norm. Specifically, this concept is used for the purposes of complying with the fair processing provisions of the Data Protection Act 1998 to enable different disposal behaviour of records created as instances of a limited number of pre-defined record types. TNA 2

redaction. See extract / redaction

registration.

• Act of giving a record a unique identifier on its entry into a system. ISO 15489

• The act of giving a record or file a unique identity in a recordkeeping system to provide evidence that it was created or captured. Registration involves recording brief descriptive information about the context of the record and its relation to other records. NAA

relationship definition. See file plan relationship definition.

reliability. A reliable record is one whose contents can be trusted as a full and accurate

representation of the transactions, activities, or facts to which they attest and can be

depended upon in the course of subsequent transactions or activities. NARA

render. The process of producing a rendition. MoReq 1

rendition. Instance of a record rendered into another software format by a process entirely within the control of the ERMS, without loss of content. The content and most of the metadata (i.e. all except the relational linking back to the native format record and details of the software format) are identical. Renditions may be required for preservation or access / viewing purposes. TNA 2

repository.

• (for electronic records) A direct access device on which the electronic records and associated metadata are stored. DoD 5015.2

• A central place in which an aggregation of data is kept and maintained in an organized way, usually in computer storage.

• A physical storage area for documents and electronic records. Refers to the Host Application’s repository. IBM

reservation. A request by a user to borrow a file plan component on a future date. A file plan component could be a document, box, folder, or any other item you can deliver. IBM

resource discovery. Generic description of the activity of information retrieval, usually in the electronic environment. TNA 2

retention schedule.

• A set of instructions allocated to a class or file to determine the length of time for which its records should be retained by the organisation for business purposes, and the eventual fate of the records on completion of this period of time. MoReq 1

• The set of rules which specify how long to keep (retention) records, and what to do with them at the end of their life cycle (disposition). IBM

• Also called “Records Retention and Disposition Schedule.”

RMA. See records management application.

review.

• The examination of the disposal status of a folder, or a part of a folder, to determine whether its disposal can now be determined where this has not previously been possible (i.e. that it should be destroyed, sent to an archive, or retained for a further review at a later date in circumstances).

• Note: a different meaning attaches to this term in the document management environment, where it describes a stage within the document production cycle. TNA 2

rôle/role

• The aggregation of functional permissions granted to a predefined subset of system users.

• Note: an example of a rôle is records manager. The records manager rôle has permissions to access many, but not all, administration functions and most record creation and access functions; the rôle is associated with all users who have records manager tasks. TNA 2

root view. The root is the top of any hierarchical file plan view. The root file plan component definition is a system object that you cannot edit or delete. You use the root file plan component definition in hierarchical relationships (relationship types that belong to hierarchical views) as the default. Every hierarchical view must have the root file plan definition as its root. IBM

S

security category. One or several terms associated with a record that define rules governing access to it. Note: security categories are usually assigned at an organizational or national level. MoReq 1

security clearance. One or several terms associated with a user which define the security categories to which the user is granted access. MoReq 1

security descriptor. A series of words (from a common collection of words) allocated to file plan components and users, or to file pan components and groups. Security descriptors provide you with enhanced access control. IBM

series. See record series.

set view. A type of relationship that contains an ordered number of components that are independent of each other. Unlike the hierarchy and link views, a set does do not have a direction. Because an ordinal value describes the order of the records, sets provide you with version management capabilities for your records. IBM

simple query. A query that generates a report for one or more fields in a custom file plan component. A simple query has three parts: scope, query details, and report output options. IBM

SQL. Structure Query Language, SQL is an American National Standards Institute. standard computer language for accessing and manipulating database systems. SQL statements are used to retrieve and update data in a database. IBM

structure. The physical and logical format of a record and the relationships between

the data elements. NARA

suspend. A suspended file plan component no longer qualifies for transition in the current phase of its life cycle. When you suspended a file plan component, it remains in its current life cycle phase until the removal of the suspension. IBM See freeze.

T

taxonomy. A term used in the sciences, notably the natural, library and information sciences, to describe the listing of a division of subject or topic headings, or a hierarchy of terms. It is not a synonym of (records) classification which is an activity- or function-based arrangement system based upon filing and retrieval requirements. Use classification.

temporary record. A record created and managed only during the course of the business activity which it serves. A temporary record will have a short retention period after the business activity has concluded. Synonyms include transitory record, ephemeral record.

thesaurus. A specialized [controlled] vocabulary of words and phrases, indicating a preferred term among synonyms and showing relationships between terms, and commonly used for indexing or classification. SAA Glossary

TNA 2.

• U.K. National Archives Standard Requirements for Electronic Records Management Systems, 2002

tracking. Creating, capturing and maintaining information about the movement and use of records. ISO 15489

transfer. [n] The change of custody, ownership and/or responsibility for records. ISO 15489

transfer. [v]

• The movement or moving records from one location to another. ISO 15489

• The process of exporting (usually groups of) complete electronic folders and subsequently destroying them within the exporting system, effectively transferring custody of the records. Records may be transferred for the purpose of permanent preservation in the Public Record Office, or some other place of deposit; or following structural changes to the machinery of government which create, dissolve or merge organizations. TNA 2

transition [v]. In relation to File Plan Components, it is the act of moving them from one phase in their life cycles to the next phase, or if they have exhausted all the phases in their life cycle, disposing them. When a file plan component transitions from one phase in its life cycle to the next, all of its descendants also transition. Using IBM DB2 Records Manager, it is possible to transition a single folder and affect the transition of many records. IBM

trigger. See life cycle trigger.

U

usability. A useable record is one which can be located, retrieved, presented and interpreted. NARA

V

validation. The process by which a message/record is confirmed to have originated from an authenticated network user, that is, one who has appropriately established his/her identity on the network. NARA

VEO.

• See VERS Encapsulated Object.

VERS.

• Victorian Electronic Records Strategy. Issued by the State of Victoria, Australia.

VERS Encapsulated Object.

• A record which has been encapsulated using XML as outlined in PROS 99/007 Specification 3 and which conforms to the VERS metadata scheme as outlined in PROS 99/007 Specification 2 and which contains documents expressed in a long term preservation format. VERS

view. See file plan view, hierarchical view, primary view, set view, and link view.

vital records.

• Essential Agency records needed to meet operational responsibilities under national security emergencies or other emergency or disaster conditions (emergency operating records) or to protect the legal and financial rights of the Government and those affected by Government activities (legal and financial rights records). They are subject to periodic review and update. DoD 5015.2

• These are records without which an organisation could not continue to operate, that is, those containing information needed to re-establish the organisation in the event of a disaster. Vital records are those which protect the assets and interests of the organisation as well as those of its clients and shareholders. NAA

volume.

• A subdivision of an electronic file or paper file. MoReq 1

• The measurement of the physical volume of records, expressed in the U.S. in square feet (ft2), and elsewhere as cubic centimeters (cm2), or cubic meters (m2).

W

Workflow. The tasks, procedural steps, organizations or people, required input and output information, and tools needed for each step in a business process. DoD 5015.2

WSDL. Web Services Description Language. It is an XML based language used to describe the services you offer. WSDL is derived from SOAP and from the IBM Network Accessible Service Specification Language. IBM

X

XML.

• eXtensible Markup Language. A language standard that defines the structure of a set of documents using a Document Type Definition. VERS

Appendix

Sources

ARMA

Association of Records Managers and Administrators (ARMA) International, Glossary of Records and Information Management Terms. 2 ed., 2000.

DoD 5015.2

U.S. DoD 5015.2-STD, Design Criteria Standard for Electronic Records Management Software Applications, 2002.

EPA

U.S. Environmental Protection Agency, Glossary of Common Records Management Terms, . Accessed September 17, 2004.

IBM

International Business Machines, IBM DB2 Records Manager Concepts Guide, Version 4 Release 1 Revision 1, October 2004.

ISO 15489

International Standards Organization, ISO 15489, Information and documentation – Records management: Part 1: General, 2001.

Kahn

Randolph A. Kahn and Barclay T. Blair, “Information Nation: Seven keys to information management compliance.” AIIM Publications, 2004.

MoReq 1 1

European Commission, Model Requirements for the Management of Electronic Records, Version 5.2.4, Oct. 2002.

NAA

National Archives of Australia, Recordkeeping Glossary.

NARA

National Archives and Records Administration, Records Management Guidance for Agencies Implementing Electronic Signature Technologies, Appendix A, October 18, 2000.

SAA Glossary

Pierce-Moses, Richard, A Glossary of Archival and Records Terminology, Society of American Archivists, .

TNA 2

The National Archives (U.K.), Requirements for Electronic Records Management Systems, (2002).

VERS

Public Records Office, Victoria (Australia), Management of Electronic Records PROS 99/007, Version 2, 2003. (VERS refers to the Strategy built upon this Standard).

WIKI

Wikipedia, Free Online Encyclopedia.

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