glossary of records management...
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F - Z Glossary of Records Management Terms
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Many words, acronyms, and phrases are used in discussions of records management, filing systems, human resources, and government agency and law enforcement recordkeeping. Some are unique to this realm, while others are more commonly used terms that have a unique meaning when used in a records management context. To help clarify these terms and concepts, TAB, the leading supplier of unified records management software solutions designed to help organize and simplify the lifecycle management of records in any form, has compiled this set of definitions.
Glossary SectionsFederal Recordkeeping - Information Lifecycle Management
Law Enforcement Management - Police Records Software
Property and Evidence - Records Destruction
Records Information Management - Retention Software
RMS Project - Workflow
TAB can help you organize, manage and access your organization’s information through our integrated records management solutions. TAB provides premium custom-coded filing systems, high-density mobile shelving systems, records management consulting and file room outsourcing services.
By working with TAB, you will reduce the amount of space your paper files occupy, effectively manage both paper and electronic information and be compliant with the legislation and regulations that affect the way you keep your records.
For more information or to find out how TAB can help you with all your RM needs, contact us at 1-888-466-8228.
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Federal Recordkeeping - Information Lifecycle Management
Federal Recordkeeping
The management, storage, access, archiving and ultimate disposition of documents, files and other content produced by agencies of the national government. Although federal records management practices are governed by controlling legislation, many agencies still manage important information in less than ideal fashion. As one example, according to Federal Computer Week, “Under the Federal Records Act, NARA approves agencies’ recordkeeping schedules and maintains data once it is submitted for archiving, but each agency decides whether to keep a document. In the case of e-mail messages, individual users typically make the decision. But lacking a statutory prescription for maintaining electronic records, most agencies print and file them as they would paper documents, according to a recent investigation by the Government Accountability Office. GAO’s report states that top agency officials are not properly maintaining their electronic communications.” To reduce storage space requirements and improve efficiency, the GAO has recommended that federal agencies manage electronic communications and documents in their original digital format, while retaining important original paper documents in both their original format and scanned digital format, as can be accommodated by records management systems.
File Management
Typically used to describe the functions of computer software that performs basic operations on digital content such as storing, copying, viewing, printing and deleting. More broadly, file management software refers to applications that help categorize, store, access and archive (or eventually destroy) any type of file, whether electronic or paper. A records management system is the most flexible type of file manager software, with the capability to manage the complete lifecycle of any type of record: paper, digital, or physical items. Also referred to as a file management system or file management tools.
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Filing Systems
Physical storage structures for paper documents and records, incor-porating hardware (e.g. cabinets), software (for bar code and/or color-coded labeling to facilitate retrieval and tracking) and paper (e.g. labels and file folders) components. Filing systems may be as simple as a group of hanging file drawers or as complex as high density filing systems incorporating large, rotating carousel filing cabinets.
Financial Recordkeeping
The maintenance and management of files and documents related to income, expenditures and investments. Proper financial recordkeeping, including compliance with IRS, state and local taxing authority requirements, is a crucial activity for businesses, government agencies and individuals. For business and government organizations, financial recordkeeping is a complex process, with varying records retention requirements for different types of records subject to federal regulation (e.g. IRS, Sarbanes-Oxley, Department of Labor, OSHA, INS, ICE), state and local statutes, and organizational policies. Accounting software applications help manage financial processes like accounts receivable, accounts payable and financial statement reconciliation, but a separate records management application is generally required to manage the lifecycle of associated paper and electronic records and documents. A records management system helps with creation of and ensures adherence to a record retention schedule that defines how long each paper and digital record must be retained and when it can safely be (or must securely be) destroyed. See also Payroll Record Retention.
Forensic Chain of Custody
The collection, storage, transfer, analysis, admission and ultimate disposition of forensic evidence (such as blood, hair, fibers, soil, DNA, weapon or fingerprints) in a criminal or civil investigation and trial.
Federal Recordkeeping - Information Lifecycle Management (cont.)
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The chain of custody of such evidence must be carefully managed to assure that crucial items are not misplaced, damaged or mishandled, usually with the assistance of evidence software. Digital forensics is a special field devoted to the recovery of data from electronic or digital media, but is also subject to proper chain of custody procedures. See also Chain of Custody Form, Chain of Evidence, Property and Evidence and Chain of Custody Certification.
Government Records Access
See Public Record Access.
High Density Filing Systems
The combination of software and rotary carousel cabinetry to support large numbers of frequently accessed paper records. A high density filing system often utilizes advanced records management software integrated with automated vertical or horizontal filing carousel filing cabinet systems to provide rapid access and retrieval of files in high-volume business or government filing environments. Such systems accommodate the storage of very large numbers of physical files in limited space. These systems are used in large government agencies, medical clinics, insurance, law firms, universities, corporate offices, accounting and other high-volume filing environments. See also Business File Management and Business Record Storage.
Information Audit
Sometimes referred to as a records management needs assessment or knowledge inventory, this is a process that evaluates records and file management procedures within a business or government organization to help improve their effectiveness and efficiency. An information audit examines the entire lifecycle of records from creation or collection through their ultimate disposition, identifying
Federal Recordkeeping - Information Lifecycle Management (cont.)
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Federal Recordkeeping - Information Lifecycle Management (cont.)
information sources, storage, searching, access, transfers, and disposition, and also identifies the key individuals, software, hardware and facilities involved. It can help identify inefficient processes, ineffective space utilization, and improper use or non-use of technologies. This article provides more information and examples. An information audit can be performed internally or with the assistance of a records management consulting professional.
Information Lifecycle Management
Utilizing technologies, policies and processes to control a document or record of any type, in paper or electronic format, throughout its useful period from creation or receipt through destruction or long-term archiving. This encompasses information on paper, in other physical forms (e.g., microfilm, negatives, photos, sketches or drawings) or in digital format (documents, emails, spreadsheets, presentations, audio or video files, diagrams, animations etc.). Although enterprise content management (ECM) systems incorporate information lifecycle management principles for electronic files, a records management system provides a comprehensive toolset for managing the lifecycle of information of record in digital, paper or other physical format. See also Document Destruction, Records Destruction and Archive Records.
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Law Enforcement Management - Police Records Software
Law Enforcement Management
The leadership and administration of all facets of a police depart-ment, from human resources and time management to the proper collection of evidence from crime scenes. A range of law enforcement software tools and courses are available to enhance leadership and administrative effectiveness. Classes and seminars are offered by both public universities and organizations such as the International Association for Property & Evidence (IAPE). Software for property and evidence and law enforcement activity tracking helps manage the effectiveness of officers in the field as well as the property room.
Legal Chain of Custody
See Chain of Evidence.
Legal Document Management
The electronic capture or physical receipt, storage, tracking, access and ultimate disposition of paper files and records pertaining to criminal or civil matters. This is a function of records management systems, which can be used by court systems during due process, law offices during prosecution and defense and property and evidence room environments during investigation of allegations. Related terms include legal document management software and legal records management.
Office Filing Systems
A combination of software, supplies (e.g. folders and labels) and hardware (such as filing cabinets and bar code scanners) used to store, access and track paper documents and records in businesses, medical / dental clinics or government agencies. In rela-tively small filing environments, a color coded filing system may be sufficient. For larger, more complex environments, a high density filing system may be required. An ideal office filing system
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can be configured to the specific needs of the office, clinic, agency or department, with the capability to incorporate bar code labeling and scanning if required, and the ability to manage both paper and digital files in a single system. See also Filing Systems and Business Filing Systems.
Paper File Systems
An integrated filing management system which enables records managers to quickly locate any record, manage file transfers and changes, and eliminate lost files. The technologies include color coding, bar code file label printing, application and tracking, workflow and reporting. Paper file systems help reduce the costs of records management and storage, maintain legal and regulatory compliance, and control the security of sensitive records. See also Business Filing Systems, File Management and Filing Systems.
Paper Scanning
Creating a digital image of a paper document and creating its indexing through the collection of metadata about that document for rapid search and retrieval. See also Document Scanning. Related terms: paper file tracking, paper records management, paper to electronic records.
Payroll Record Retention
Storage and maintenance of files and documents related to employee compensation in business, dental/medical clinic or government environments. Payroll records retention requirements are governed by two federal agencies (the IRS and U.S. Depart-ment of Labor) plus, in some cases, state and local regulatory agencies as well. Generally, complete payroll records (including employee name, social security number, wage level or compensation structure, taxes paid, dates of payment and additional information)
Law Enforcement Management - Police Records Software (cont.)
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must be maintained for four years, although they may be retained longer in accordance with state laws, local government agency regulations or organizational policy. Because there can be substantial penalties for failing to retain payroll records properly, many businesses and government agencies use some type of recordkeeping software to maintain records compliance. See also Records Retention, Retention Software and Employee Record Retention.
Physical Record
Any item of importance in an information management context that is not a paper or electronic document. While such items can be useful in a variety of contexts, the term commonly applies to property and evidence collected for criminal prosecutions. Evidence often includes digital information seized from computers, paper documents, and physical records such as weapons, fibers, hair samples, drugs and drug paraphernalia.
Police Records Management
The control and administration of files, documents and physical property pertaining to law enforcement activities and investigations. Police records include everything from activity logs to evidence, and may include audio, video, documents, photographs, physical property and other formats. A police records management system enables law enforcement officials to monitor activity as well as control property and evidence throughout the chain of custody. Related terms include police record management system and police recordkeeping.
Police Records Software
See Police Records Management (above).
Law Enforcement Management - Police Records Software (cont.)
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Property and Evidence
Physical items and documents—paper or electronic—collected by law enforcement authorities in the course of a criminal investigation. After being collected and tagged, property and evidence is typically stored in a property room, evidence locker or other secure facility. The chain of custody for evidence must be strictly controlled to assure that crucial items are not lost, mishandled or tainted and that all access to them is logged. Evidence software is often used to catalog, store, access, track, and ultimately dispose of (destroy, return to owner or auction) evidence and maintain an audit trail of the chain of custody. Related terms include police property and evidence, property and evidence management, and property and evidence room.
Public Record Access
Management of the availability of government record information available to citizens whether through online viewing (e.g. certain criminal case records, real estate ownership and transfer information, etc.) or walk-in receipt (e.g. birth certificates). Records management systems enable city and county clerks and registrars, health and human services professionals and other government records manage-ment professionals to quickly locate and provide the public access to the records in any format. Related terms include public access record and public record keeping.
Public Records Software
A computer application designed to manage non-classified and de-classified documents and information collected and produced by federal, state, county or local government agencies. Many health and human services agencies, police departments, city & county clerks and registrars have adopted unified records management systems to meet their public records management needs, managing both paper
Property and Evidence - Records Destruction
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and electronic records through their complete lifecycle while making public records easily searchable and accessible.
Record Retention Policy
Certain types of files and documents must be maintained for a specified period of time based on regulatory requirements, such as employee injury reports and safety records (OSHA), medical records (HIPAA), financial records (IRS, Sarbanes-Oxley), and clinical test data (FDA). The lifecycle of content and communications not covered by regulation is controlled by record retention policies, which specify how long such records must be stored and accessible and when they may or must be destroyed or discarded. Businesses and government agencies typically use a records retention policy to cover both regulated and non-regulated documents and communications such as memos, meeting notes, product designs, marketing collateral and vendor agreements.
Record Retention Schedule
A calendar or date-based form specifying the requirements for storing and maintaining specific files and documents or types of information. A records retention schedule shows how long each record or type of record must be maintained within a business or government agency, based on the organization’s record retention policy (see above) or regulatory requirements. A records management system can automatically manage the lifecycle of records to help ensure that individual records are stored and are accessible for the period as required, and archived, destroyed or other disposed of at the proper time. See also Archive Records and Retention Software.
Property and Evidence - Records Destruction (cont.)
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Records Access
The ability to quickly and easily find and retrieve files, documents and other items, which is facilitated by records management systems. Rapid records retrieval is a key requirement for both short lived (e.g. purchase orders, invoices) and long lived (e.g. criminal evidence, property ownership) records.
Records Compliance
Activity and practices of a business entity or government agency to store, retain and eventually archive or destroy specific types of paper documents, electronic files and physical items in accordance with local, state and federal statutes and requirements. Examples include HIPAA for medical records, OSHA regulations for worker safety records and reports, DoD 5015.02 for records pertaining to Department of Defense agencies, Sarbanes-Oxley for financial records in publicly-held corporations, and IRS regulations for personal, business and non-profit financial records. Records management systems provide the tools organizations can use around their practices and policies to meet regulatory compliance for documents and other records throughout their lifecycle, and provide an audit trail of records disposition.
Records Destruction
Elimination through physical obliteration (e.g. through shredding or burning) of documents, files and physical items no longer required to be stored or archived based on their record retention schedule (see above). Depending on the type, records may be destroyed as required by law (e.g. juvenile justice records) or corporate/agency policy, or simply to save space by destroying records no longer needing to be retained. Records management software manages the complete lifecycle of records, ensuring that obsolete records are destroyed in a timely manner and this process has been audited. See also Document Destruction and Records Retention.
Property and Evidence - Records Destruction (cont.)
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Records Information Management (RIM)
The Association of Records Managers and Administrators (ARMA), a leading records management industry trade group, defines records information management (RIM) as “the systematic control of records throughout their life cycle...(records capture an organization’s) activities and transactions, such as contract negotiations, business correspondence, personnel files, and financial statements (and) come in many formats: physical paper in files, such as memos, contracts, marketing materials, and reports; electronic messages, such as e-mail content and their attachments and instant messages; content on the website, as well as the documents that reside on PDAs, flash drives, desktops, servers, and document management systems; and information captured in the organization’s various databases.” RIM is often used as a synonym for records management (see below), though records management is the more common term. Electronic RIM is used to refer to records stored digitally, whether originally created in electronic format or scanned from original paper documents, the systems and the practices organizations must manage to meet their business or organizational management requirements. Physical RIM refers to paper records and file storage and access. A records management system (see below) manages both paper and electronic records in a unified manner.
Records Management
The practice of maintaining the paper, physical and electronic records of a business or government agency from creation or receipt through storage and transfer to eventual final disposition. Records management processes may include labeling, storing, securing, accessing, tracking, and destruction or permanent storage of records. These processes are normally managed using records management software, which creates bar code tracking labels and helps to track, access and maintain records throughout their lifecycle.
Records Information Management - Retention Software
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See also Records Management System (below); Electronic Records Management; Police Records Management; Records Management Consulting (below); Business File Management; Vital Records Management; and Electronic Records Management.
Records Management Consulting
Any of a variety of services that may be performed in assisting organizations with the purchase, implementation and use of a unified system for administering and controlling documents, files and other information or items in electronic, paper or other physical format. This includes records management system (see below) selection, installation, configuration or customization, integration with other systems, training and best practices for use.
Records Management System (RMS)
A software application along with the hardware and consumables providing the tools for managing paper documents, digital files and physical items from creation and declaration as matter of record or receipt through the processes of storage and access to eventual disposition (destruction or long-term archiving). An integrated system of a computer application with complementary filing system materials such as folders and label stock. Records management software combined with bar code labeling and supplies needed for office filing systems form a complete records management system (RMS). Related terms include record management system, records management technology, and RMS technologies.
Records Manager
1) In many organizations, the “records manager” is a functional title for an individual whose primary job function or role within the organization responsible for records management (see above)
Records Information Management - Retention Software (cont.)
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functions. In other organizations, this function may be handled by a clerk (e.g. a county clerk, city clerk, or clerk of courts), office manager, archivist, librarian, or appropriate director.
2) A software application designed to help store, retrieve, track and ultimately dispose of or archive physical, paper or electronic records; i.e., a synonym for records management software, which is designed to provide control of any type of record throughout its lifecycle according to policy or regulatory requirements (though records management software is the preferred term).
Records Retention
The length of time required by business practice or legal requirement for the storage and maintenance of files, documents and physical items in active or archived storage. The length of time required for record retention will depend on organizational policies or regulatory requirements. A records management system which provides information lifecycle management assures that records are retained, stored and managed for as long as required and can be accessed as needed as well as destroyed when appropriate.
Records Storage
The holding and maintenance of physical, paper or electronic files and documents declared as being matters of record, either in on-site (active) locations or in an off-site (archived) repository. Locations may be storage or filing rooms for paper and physical records, and networks and data centers for digital record storage.
Retention Software
A computer application that manages the proper storage and disposition of records based on policy or regulatory requirements as defined by the user of the system. This is a function of records
Records Information Management - Retention Software (cont.)
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management systems (see above), which assure that all records are properly maintained in electronic and on-site storage, off-site (archived) storage, and eventually placed into permanent storage or destroyed as required based on the particular type of record and its lifecycle requirements. See also Archive Records. Related term: retention of records.
RMS Project
An undertaking to select, implement, configure and put into use a system to manage business or government files and documents. See also Records Management System and Records Management Consulting.
RMS Risk Management
Processes designed to assess, prioritize and mitigate dangers to important information within an enterprise. Risks can include damage, theft, loss or destruction of records due to intentional or unintentional human actions, natural disasters, accidents, fire or other causes. A records management system (RMS) risk management process helps to identify various sources of threats to records integrity, prioritize these risks based on their likely seriousness or probability of occurrence, and implement measures to protect records such as waterless fire protection systems, fire-proof storage, electronic and physical security systems, and redundant offsite digital storage for electronic documents. A records management consultant or risk management expert can assist businesses and government agencies in the RMS risk management process.
RMS Project - Workflow
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S Safety Recordkeeping
The maintenance and management of information, forms and files pertaining to employee accidents and injuries. This is normally a function of human resources records management and is subject to strict requirements governed by OSHA. In some situations, IRS and Department of Labor regulations may apply as well. Because there can be substantial penalties imposed for improper safety recordkeeping, most organizations rely on some type of records management system or software to help assure records compliance.
Vital Records Management
Control and administration throughout the information lifecycle of “life and death” documents and files, including birth and death certificates, marriage and divorce records, medical files, disaster recovery plans, employee safety reports and critical financial information. In many cases, such documents are required by regulatory records compliance or records retention policy to be retained indefinitely. See also Records Management, Archive Records and Record Retention Schedule.
Workflow
A process or defined sequence of operations, performed by one or more individuals and often involving technology or tools, to accomplish a specified task or series of tasks. Electronic workflow refers to a set of operations performed by an individual on a computer or group of interconnected people or roles within an operational process each contributing to the completed process of completing work. Software workflow is an even more specific variant, referring to a sequence of operations performed by an individual or group and guided by a computer application. A records management system includes a number of different workflows; for example, “declare a record, print a color-coded label with a bar code,
RMS Project - Workflow
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apply the label to a folder, scan the document, index the metadata for that document of record, submit it to the records management system, place the specified physical document inside the folder, and store the folder in a particular cabinet and drawer with its location provided by the records management system” would be the work-flow for entering a document into record inventory and storing it in a predefined location.
RMS Project - Workflow
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