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  • Electronic Records Management (ERM)

    Handout G Glossary Accession The act of transferring physical custody of documentary material to an archival institution. (DoD 5015.02-STD, 2007) Access Controls Security controls that manage a users access to an object, such as a file or an application, based on the users identity. Access control includes authentication, authorization, and audit. Aggregation A class, file, sub-file or volume. (MoReq2)

    Archival System An organized collection of hardware, software, policies, procedures and people, which maintains, stores, manages and makes available records over time. (ISO/TS 23081-2:2007) Archive 1. v. To remove documents from a system or application for storage elsewhere, such as in an archiving system. 2. n. The place where such documents are stored. Archives can store and produce individual documents. See also Back Up and Storage. Audit Trail A chronological record of system activities that is sufficient to enable the reconstruction, reviewing and examination of the sequence of environments and activities surrounding or leading to an operation, a procedure, or an event in a transaction from its inception to final results. (CAN/CSGB-72.34-2005) Autocategorisation An approach to classification that relies on technology to determine which category an item belongs to. Some autocategorisation tools also create the categories automatically. Sometimes also referred to as autoclassification. Back Up, Backup 1. The process of making a copy of data for the purpose of disaster recovery and business continuity. 2. The data that has been copied for such a purpose. See also Archive and Storage. Bulk Import The automatic transfer of numerous electronic documents and/or records, and potentially their metadata, from a network file system, legacy system, or other system into the ERM system. Business Classification Scheme A conceptual model of what an organisation does and how it does it. It involves the identification and documentation of each business function, activity and transaction and the documentation of the flow of business processes, and the transactions which comprise them. It can be used to support a number of records management processes. (New South Wales Glossary of RecordKeeping Terms)

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    Electronic Records Management (ERM) Capture A deliberate action which results in the registration of a record into a recordkeeping system. For certain business activities, this action may be designed into electronic systems so that the capture of records is concurrent with the creation of records. (AS 4390-1996) Class The description of a set of objects that share the same attributes, operations, methods, relationships, and semantics. (ISO/IEC 19501-1:2001) Classification 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 15489-1:2001) Classification Scheme Descriptive information for an arrangement or division of objects into groups based on characteristics, which the objects have in common. (ISO 11179-1:2004) Controlled Vocabulary A set of terms used to limit or validate metadata entered by users. Conversion The process of changing records from one medium to another or from one format to another (ISO 15489-1:2001) Cut Off To cut off records in a file means to break, or end, the record at regular intervals to permit disposal or transfer in complete blocks and, for correspondence files, to permit the establishment of new files. (DoD 5015.02-STD, 2007) Declare (as record) The process of defining that a documents contents (and some of its metadata attributes) are frozen as it formally passes into corporate control as a record. Decryption The process of rendering an encrypted document or record to its original readable state. Destruction The process of eliminating or deleting records, beyond any possible reconstruction. (ISO 15489-1:2001) Digital Preservation The goal of digital preservation is to maintain the ability to display, retrieve, and use digital collections in the face of rapidly changing technological and organisational infrastructures and elements. (Cornell University) Digital Rights Management A group of technical methods used to control or restrict the use of digital content.

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    Electronic Records Management (ERM) Digital Signature A mechanism for ensuring nonrepudiation of a document or record. Digital signatures generally use PKI; the signer signs the document using the private key and readers decrypt it using the public key. Disclosure The act of making information available because of a legal requirement. Discovery The phase in a legal dispute when the opposing parties gather evidence and share it before the trial goes to court. Not applicable in all jurisdictions; sometimes referred to as disclosure. Disposition The range of processes associated with implementing records retention, destruction or transfer decisions which are documented in disposition authorities or other instruments. (ISO 15489-1:2001) Document Recorded information or object which can be treated as a unit. (ISO 15489-1:2001) DRM See Digital Rights Management. Email 1. A system for transmitting electronic messages over a computer network. 2. Those messages that are transmitted over the network and formatted for reading by humans. Also referred to as e-mail; individual messages are referred to as emails or email messages. Emulation The imitation of the behaviour of a computer system with the help of another type of computer or system. See also Migration. Encryption The rendering of electronic data or documents unintelligible to unauthorised users. (ARMA Glossary, 3rd Edition) File Plan A classification scheme describing different types of files, how they are identified, where they should be stored, and how they should be indexed for retrieval (SAA Glossary) Folksonomy A practice of collaborative categorization using freely chosen keywords. More colloquially, this refers to a group of people cooperating spontaneously to organize information into categories. In contrast to formal classification methods, this phenomenon typically only arises in non-hierarchical communities, such as public websites. Format Obsolescence The inability to continue to use a file format because one or more of the many software components involved in the processing chain between the information stored in that format and the rendered information has changed, is no longer available, or is no longer supported by the supplier.

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    Electronic Records Management (ERM) Freeze The suspension or extension of the disposition of temporary records that cannot be destroyed on schedule because of special circumstances, such as a court order or an investigation. A freeze requires a temporary extension of the approved retention period. Also known as a legal hold or litigation hold. (DoD 5015.02-STD, 2007) Governance The act or manner of governing. (Compact Oxford Dictionary) Hierarchical An approach to classification that consists of identifying parent-child relationships between terms. Parent terms may have more than one child; child terms have only one parent term. Index A list comprising terms, the documents they can be found in, and the location within the document where they can be found. Indexing The process of establishing access points to facilitate retrieval of records and/or information. (ISO 15489-1:2001) Information Governance The accountability for the management of an organisations information assets (especially its records), in order to achieve its business purposes and compliance with any relevant legislation or regulations. Inheritance Principle by which an object can take on a metadata attribute of its parent entity, by either: 1. Inheritance on creation, where the subordinate (or child) object takes the value of that attribute when it is created, or 2. 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). Instruments Instruments define and document the information governance framework. Inventory A detailed listing that includes the types, locations, dates, volumes, equipment, classification systems, and usage data of an organizations records in order to evaluate, appraise, and organize the information. (ARMA Glossary, 3rd Edition) Life Cycle 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 5015.02-STD, 2007) Media Degradation The inability to continue to use a storage medium because it has reached the end of its physical lifetime, and hence may become unreliable.

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    Electronic Records Management (ERM) Media Obsolescence The inability to continue to use a storage medium because the supplier is no longer prepared to support and maintain the devices needed to read media (for example CD-ROMs or tape cartridges), even though these devices may still be in good working order. Metadata Data describing context, content and structure of records and their management through time. (ISO 15489-1:2001) Migration The act of moving records from one system to another, while maintaining the records' authenticity, integrity, reliability and useability. (ISO 15489-1:2001) Model Office A formal test lab, designed to develop and test processes and technology in a very controlled environment. Ontology A controlled vocabulary that describes objects and the relations between them in a formal way, and has a grammar for using the vocabulary terms to express something meaningful within a specified domain of interest. The vocabulary is used to make queries and assertions. PDF See Portable Document Format. PDF/A See Portable Document Format/Archival. Pilot Trial of the proposed environment, using real data, in real working environment. PKI See Public-Key Infrastructure. Policy An overarching plan (direction) for achieving an organisations goals. (American Society for Quality) Portable Document Format File format used primarily for exchanging page-based information. The technical details of the file format can be found in ISO 32000-1:2008. Portable Document Format/Archival File format based on a subset of the Adobe PDF format that is optimised for the long-term archiving of electronic documents. The technical details of the file format can be found in ISO 19005-1:2005. Preservation The processes and operations involved in ensuring the technical and intellectual survival of authentic records through time. See also Digital Preservation. (ISO 15489-1:2001)

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    Electronic Records Management (ERM) Public-Key Infrastructure An encryption framework that uses two keys, a public key and a private key, to encrypt and decrypt information. Also referred to as public key cryptography or asymmetric cryptography. 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 15489-1:2001) Records Inventory Sometimes also referred to as information inventory. See Inventory. Records Management The 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 15489-1:2001) Records Retention Schedule A formal instrument that defines the retention periods and consequent disposition actions authorised for records described in the schedule. (MoReq2) Records Series A group of related records filed/used together as a unit and evaluated as a unit for retention purposes. (ANSI/ARMA 12-2005) Records System Information system which captures, manages and provides access to records through time. (ISO 15489-1:2001) Redaction The separation of disclosable from non-disclosable information by removing or permanently blocking out individual words, sentences or paragraphs, or the removal of whole pages prior to the release of the document. (DoD 5015.02-STD, 2007) Rendition A manifestation of a record or document using one or more file formats. Each different file format is considered a unique rendition and may or may not be a record. (Adapted from MoReq2) Requirement 1. Statement which captures the needs of business stakeholders in a manner which enables successful programme outcomes. 2. Statement which identifies a capability, feature or qualitative attribute which has business value for the user. Role The aggregation of functional permissions granted to a predefined subset of users. (MoReq2) Storage The act of retaining, or storing, something for ongoing use or the possibility of future use. See also Archive and Back Up.

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    Electronic Records Management (ERM) Stub The subset of the metadata for an item that is retained after the item has been disposed of, to act as evidence that the item used to be held and has been properly disposed of. Also referred to as metadata stub. (MoReq2) Synonym Ring A list of connected terms which are all treated as equivalent for searching. Synonym rings can be used to link acronyms, variant spellings (for example programme and program) or scientific and popular terms to a classification scheme or thesaurus. Tag A term or keyword that is applied to a document or record as a form of metadata. Tags are created and applied informally by users; generally, users can apply more than one tag to a particular document or record. Tagged Image File Format A tag-based file format for storing and interchanging raster images. It is most commonly used as the file format for scanned images. (TIFF6 Specification) Taxonomy A collection of controlled vocabulary terms organized into a hierarchical structure. Each term in a taxonomy is in one or more parent/child (broader/narrower) relationships to other terms in the taxonomy. (ANSI/NISO Z39.19-2005( Thesaurus A controlled list of terms linked together by semantic, hierarchical (i.e. parent-child), associative (i.e., related) or equivalence (i.e. synonymous) relationships. Such a tool acts as a guide to allocating classification terms to individual records. (ISO/TR 15489-2:2001) TIFF See Tagged Image File Format. Transfer movement Moving records from one location to another. (ISO 15489-1:2001)

    Vital record A record that is essential for the functioning and/or survival of an organization during and/or after an emergency. (MoReq2)


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