Archives & Records Management Handbook

Definitions

Oregon State College President William Jasper Kerr at his desk, ca. 1930. Kerr served as president from 1907 to 1932, longer than anyone else in OSU's history. The records of Kerr's administration are part of the President's Office Records, Record Group (RG) 13. [OSU Archives P1:16]

Some definitions of the archives and records management terms used in this document have been adapted from A Glossary For Archivists, Manuscript Curators and Records Managers (Society of American Archivists, 1992) and the Oregon Administrative Rules, Chapter 166. Where appropriate, definitions have been made specific for their usage in the Oregon State University Archives and Records Management Program. Definitions in this list that have been taken either unchanged or substantially unchanged from these two sources have been annotated with either (SAA) or (OAR 166).

Access.

The availability of or permission to use records.

 

Accession.

1. The formal acceptance into physical and legal custody of an addition to the holdings of the University Archives.
2. The formal acceptance into physical custody of records to the University Records Center. Records accessioned into the University Records Center still remain in the legal custody (ownership) of the creating and depositing office or organization.
3. An addition to the holdings of the Archives or University Records Center.

 

Accession number.

A unique number assigned sequentially to an accession for purposes of identification and control within the University Archives or University Records Center, e.g., 90:015.

 

Acid-free.

The chemical characteristic of having a pH of 7.0 or greater. The Archives uses acid- free paper, file folders, and boxes for preservation of permanent records. See alsoarchives box.

 

Active records.

Records that continue to be used by the creating administrative unit for the conduct of regular business and are maintained in active office files.

 

Administrative value.

The usefulness of records in conducting an agency's business. (OAR 166)

 

Appraisal.

The process of determining the value and thus the disposition of records based upon their current administrative, legal, and fiscal use; their evidential and informational (historical) value; their arrangement and condition; their intrinsic value; and their relationship to other records. (SAA)

 

Archives.

1. The records created or received and accumulated by an institution or organization in the course of routine business and retained due to their continuing or enduring value.
2. A building or area of a building used to house permanent records.
3. A government agency, organization, or program responsible for appraising, scheduling, accessioning, preserving, and providing reference service to archival materials.

 

Archives box.

A cardboard storage container made from acid-free materials intended to house archival materials. See also records storage box.

 

Arrangement.

The intellectual and physical processes and results of organizing documents in accordance with accepted archival principles, at as many as necessary of the following levels: collection, record group, subgroup, series, sub-series, file unit, and item. The processes usually include packing, labeling, and shelving and are primarily intended to achieve physical control over archival holdings. (SAA)

 

Audit copy.

A copy made specifically for use by auditors. This is not usually the record copy.

 

Bulk dates.

Dates of those documents that constitute the largest part of a collection, record group, subgroup, or series. Bulk dates are used to inform researchers of the chronological or period strength of archival materials, particularly when inclusive dates are misleading. (SAA)

 

Collection.

1. An artificial accumulation of documents brought together on the basis of some common characteristic (e.g. means of acquisition, creator, subject, language, medium, form, name of collector) without regard to the origin of the documents.
2. A grouping of records created by a private individual and organization. (SAA)

 

Computer assisted retrieval (CAR).

The use of a computer created and maintained index to access documentary material recorded on other media such as microfilm.

 

Computer output microform (COM).

Microforms containing data converted and recorded directly from a computer without an intervening paper stage.

 

Confidential destruction.

Destruction of paper or microform documents by shredding, pulping, or incineration.

 

Confidential information.

Information of a private nature that is protected by law from public disclosure. See also exempt from public disclosure.

 

Container list.

A listing of materials by container, meant to facilitate retrieval. A container list normally includes the title of the series or file, the portion of the file contained in each container, and the inclusive dates of the materials contained therein. A container list may also include shelf locations for each container. See also folder list. (SAA)

 

Convenience copy.

Copy or copies of a document or file created and maintained for ease of access and reference. A convenience copy is never a record copy, although it may be an audit copy. Convenience copies are frequently encountered in reader files.

 

Copy.

Duplicate of the contents of an original document or record created at the same time as the original (carbon copy) or subsequent to the origination of the original (photocopy). See also convenience copy and record copy.

 

Copyright.

The guaranteed legal right of the creator or originator (and heirs or assignees) of a written work or creative work to publish or duplicate the work or conditionally allow others to publish or duplicate it.

 

Correspondence.

Any form of written communication sent or received in the course of affairs, including letters, postcards, memoranda, notes, electronic mail, facsimiles, telegrams, or cables.

 

Creator.

The person, administrative unit, or organization that originates, receives, or assembles records in the course of normal business. See also office of origin.

 

Cubic feet.

A volume measurement for records. One cubic foot is a volume one foot high, one foot wide, and one foot deep. An archives or records storage box is the equivalent of one cubic foot. Fifteen linear inches of letter-size files will fill an archives or records storage box.

 

Data element.

The smallest and simplest unit of data that imparts meaningful information, generally corresponding to a field in a database file or a blank on a paper or electronic form. For example, name, address, work title, Social Security number, PERS number, record series title, and record group number all represent data elements.

 

Database.

Integrated data files organized and stored electronically in a uniform file structure that allows data elements to be manipulated, correlated, or extracted to satisfy diverse analytical and reporting needs. A database file is managed independently of the software necessary to perform the manipulations.

 

Description.

1. The process of analyzing, organizing, and recording information that serves to identify, manage, locate, and explain the holdings of the Archives and the contexts and records systems from which those holdings were selected.
2. The written representations or products of the above process.
3. In records management, a written account of the physical characteristics, informational content, and functional purpose of a record series or system. (SAA)

 

Destruction date.

The date which marks the end of the legally required retention period for non- permanent records and the time when records should be destroyed unless the records are involved with or relevant to audit, litigation, or continuing administrative action.

 

Diazo film.

A microfilm duplicating or copy film widely used for its durability and economy. Diazo film copies from camera film (silver halide) when contact printed use ultraviolet light and are developed in the presence of gaseous ammonia.

 

Digital image.

An image composed of discrete pixels of digitally quantized brightness and color. (ANSI-AIIM TR-2 1998)

 

Digital imaging system.

A system (including people, machines, methods of organization, and procedures) which provides input, storage, processing, communications, output, and control functions for digitized representations of original public records. (OAR 166)

 

Disaster plan.

The documented policies and procedures intended to either prevent damage, minimize damage, or recover from damage to record materials.

 

Disposition.

The actions taken regarding records which are no longer needed to support on- going administrative activities in accordance with the University Records Retention and Disposition Schedule. Directions may include destroy, transfer to the University Records Center, transfer to the University Archives, transfer to inactive records storage space, or retain permanently in unit.

 

Document.

See record.

 

Documentation.

1. In archival usage, the creation or acquisition of documents to provide evidence of the creator, an event, or an activity.
2. In electronic records, an organized series of descriptive documents explaining the operating system and software necessary to use and maintain a file as well as the arrangement, content, and coding of the data which it contains. (SAA)

 

Electronic mail (e-mail).

Any communication that requires an electronic device for storage and/or transmission. E-mail often refers to a package of services designed to automate office communications.

 

Electronic records.

Records created by means of a computing device and subsequently stored on an electronic storage media and only retrievable through electronic means. For purposes of this definition, "electronic records" does not include or refer to photocopies, digital imaging systems, or analog or digital audio and video tapes.

 

Ephemera.

Documents created specifically for a transitory purpose. Advertisements, calling cards, notices, and tickets are examples of ephemera. (SAA)

 

Essential records.

See vital records.

 

Exempt from public disclosure.

Records that are not open to public examination because they contain information which, if disclosed, might damage individual privacy or compromise public activities.

 

Exemptions (conditional and unconditional).

The specific reasons for exempting certain records or information from public disclosure. Conditional exemptions are those that require the records custodian to weigh the public's right to know against an individual's privacy rights. Unconditional exemptions derive from specific statutory instructions that forbid the records custodian to release or disclose specific records or information to the public.

 

FERPA.

The Family Educational Rights and Privacy Act of 1974, commonly referred to as the Buckley Amendment, protects the rights of students by controlling the creation, maintenance, and access to educational records. It guarantees students' access to their academic records while prohibiting unauthorized access by others.

 

FTP.

The File Transfer Protocol is an application program which moves files between computers connected to the Internet independent of machine type or operating systems.

 

File breaking.

Breaking or ending files at regular intervals, usually at the end of a year or other duration, to permit their destruction, transfer to archives, or transfer to inactive storage areas in complete blocks. Regular breaking of files permits the establishment of new files and records series sequences within existing file space.

 

File integrity.

The principle that completeness, original file order, and unbroken custody of the records in a filing system must be maintained for a record series to maintain legal and intellectual integrity.

 

File maintenance.

The application of records management principles and techniques to filing practices in order to maintain records properly, retrieve them with efficiency, ensure their integrity, and make their regular disposition more practical.

 

Files.

A term used to describe some or all records and non-record materials of an office or department.

 

Filing system.

A set of policies, procedures, and methods used for organizing and identifying files or records to increase their speed of retrieval, use, and disposition.

 

Finding aid.

The descriptive tool, published or unpublished, manual or electronic, produced by the Archives to establish physical and/or intellectual control over records and/or archival materials. Basic finding aids include local, regional, or national descriptive databases; guides, inventories; shelf and container lists; and indices. (SAA)

Fiscal year.

 

An accounting period of twelve months. The fiscal year for Oregon state agencies spans from 1 July through 30 June of the next calendar year. The federal government fiscal year extends from 1 October through 30 September of the following calendar year.

 

Fiscal value.

The usefulness of records in documenting an agency's fiscal transactions and obligations. (OAR 166)

 

Flat file.

An electronic record that is stripped of all specific application (program) formats. This allows the data elements to be migrated into other applications for manipulation. This mode of stripping electronic data prevents data loss due to hardware and proprietary software obsolescence.

 

FOIA.

The Freedom of Information Act of 1966 protects the rights of the public to information and makes provisions for individuals to obtain information on the operation of federal agencies.

 

Folder list.

A list prepared by the creator or the Archives detailing the titles of folders contained in one or more records center cartons or archives boxes/containers. See also container list. (SAA)

 

Inactive records.

Records no longer required by their creating unit or other units to carry on current business and therefore ready for final disposition in accordance with the University Records Retention and Disposition Schedule. See also retired records.

 

Inclusive dates.

The earliest and latest dates of record materials being described. These dates are usually the date a record was created or the date a form was completed. See also bulk dates.

 

Instrument of donation.

A contract transferring title to personal property without recompense; also known as deed of gift. This signed instrument establishes and sets down conditions governing the transfer of title to documents and specifies any restrictions on access or use.

 

Internet.

lobal, decentralized communications network connecting millions of computers, providing exchange of data, news and opinions. (International Standards Organization)

 

Inventory.

1. A basic archival finding aid whose unit of entry is usually the series. An inventory generally includes a brief administrative history of the organization(s) whose records are being described as well as descriptions of the records. Series descriptions give as a minimum such data as title, inclusive dates, quantity, arrangement, relationships to other series, and scope and content notes. Inventories may also contain appendices that provide such supplementary information as container lists, folder lists, a glossary of abbreviations and special terms, lists of file units on special subjects, indices, and classification plans/schemes.
2. In records management, a detailed listing of the contents, function, volume, scope, and complexity of an organization's records, usually compiled for the purpose of creating a records schedule. (SAA)

 

Lateral file.

Filing equipment that stores file folders in a side-to-side orientation rather than in a front-to-back manner like a vertical file. Some lateral filing units have a mechanism which permits the file containing section to be pulled out of the cabinet for top-tab filing, others that do not have this mechanism require side-tab filing, much like shelf-file units. See also vertical file and shelf file.

 

Legal value.

The usefulness of records in documenting legally enforceable rights or obligations, both those of the state and those of person's directly affected by an agency's actions. (OAR 166)

The concept that records pass through several life-like phases: creation (birth), maintenance and use (life), and disposition (retirement and death).

 

Local area network (LAN).

Two or more personal computers or workstations, usually in a common office area, physically linked together by a common file server.

 

Manuscripts.

Individual documents or groups of records having historical value or significance that are not "official records" of university departments or offices. These include personal papers (written or typewritten), individual documents of special importance, collections of documents, and the records of non-university organizations.

 

Memorabilia.

Individual items of historical value such as programs, posters, brochures, clippings, buttons, pennants, and stickers. See also ephemera.

 

Microfiche.

Miniaturized photographic document images arranged in horizontal rows and vertical columns that form a grid pattern on a card-size transparent film sheet. Fiche usually have a title readable without a magnifying device. It is an inexpensive format for published materials large as reports.

 

Microfilm.

A fine grain, high resolution photographic film used specifically for the capture of document images. Microfilm is manufactured primarily in either 16 mm or 35 mm widths and in 100- or 215- foot long rolls. While all camera microfilm has a silver halide photosensitive emulsion layer and this type of film is also used for the production of working duplicates, several highly economical duplication films exist such as diazo film (organic dyes) and vesicular film (bubbles).

 

Microfilm jacket.

A transparent plastic holder approximately the size of microfiche (105 mm x 148 mm) into which individual strips of microfilm are inserted.

 

Microform.

Any of a number of generic products and processes containing greatly reduced microimages which requires magnification to read. Microforms include microfilm roll film, microfiche, microfilm jackets, microcards, and COM.

 

Misfile.

1. To place a record under the wrong file designation or in a wrong file sequence or position.
2. A record filed under an incorrect file designation or in improper sequence or position.

 

Nonpermanent records.

Records which have either limited value or are valuable for short periods of time and will ultimately be destroyed.

 

Non-record materials.

Documentary materials that under Oregon law are excluded from the legal definition of public records. In Oregon these include library or museum materials intended solely for reference or exhibition; other copies; sample letters or forms; reproduction masters; and excess stock of publications or forms.

OAR.

Oregon Administrative Rules. OSU operates under the Oregon Administrative Rules authorized by the Oregon State Board of Higher Education.

 

Office of origin.

The university administrative unit within which records are created or received and accumulated in the course of its principal activity. See also creator.

 

Office of record.

The university administrative unit, which may or may not be the office of origin, that maintains the record copy of a document for the institution.

 

Oral history.

The audio recording or transcript which results from planned oral interviews with individuals. These created and preserved interviews are intended for use by researchers and historians.

 

ORS.

The Oregon Revised Statutes. Statutes passed by the Oregon State Legislature and signed by the Governor.

 

Permanent.

When specified as a records schedule retention period, records which must be kept indefinitely or for at least 100 years for legal, administrative, and research purposes (OAR 166)

 

Personal papers.

Records of a nonofficial or private nature that relate to an individual's affairs or to the collecting activity of an individual. Papers or collections from individuals are subject to the person's disposition and access instructions.

 

Photocopy.

A copy produced on or by means of sensitized materials by the action of light or other radiant energy with or without intermediate negative. (SAA)

 

Preservation.

The totality of processes and operations involved in the stabilization and protection of documents against damage or deterioration and in the treatment of damaged or deteriorated documents. Preservation may also include the transfer of information to another medium, such as microfilm. (SAA)

 

Primary value.

The value of records that results from their informational content. Records possessing primary value are necessary for the continuation of the affairs of their originating administrative unit. See also secondary value.

 

Privacy.

The right of an individual to be secure from unauthorized disclosure of information about oneself that is contained in documents. (SAA)

 

Processing.

The activities performed by archivists when materials are transferred to the legal custody of the University Archives. Among the individual tasks of processing are: accessioning, arranging, describing, and properly storing archival materials. See alsoaccession, arrangement, description, preservation, and weeding.

 

Public records.

Public records are created or received and accumulated by university administrative units in the course of university business. Public records may or not be open to public inspection. A public record is not necessarily synonymous with an open record.

 

Publications.

Documents created and reproduced for distribution and dissemination (e.g. directories, newsletters, and catalogs.)

Pulping.

 

The destruction of paper records by dissolving them in a liquid reagent. The product of pulping, a raw paper fiber slurry, is recycled into new paper based products.

 

Reader file.

A file containing copies of documents assembled for reference use only, not for documentation of activities. If arranged chronologically, the file may be called a chronological file. See also convenience copy.

 

Record.

A document, regardless of physical form or characteristics, created or received and accumulated by an administrative unit or officer of the university in the conduct of official business.

 

Record copy.

The single official copy of a document maintained on file by an administrative unit of the University. A record copy is sometimes termed the file copy. The record copy is usually, but not always, the original. A record copy may be held by the creating office or another office of record.

 

Record group.

A body of related university records that are organizationally grouped together due to their common unit of origin. As examples, the University Archives groups all records of the President's Office into Record Group (RG) 13 and all records of the University Library into Record Group (RG) 9.

 

Record series.

File units or documents arranged in accordance with a filing system or maintained as a unit because they result from the same accumulation or filing process, the same function, or the same activity; have a particular form; or because of some other relationship arising out of their creation, receipt, or use. (SAA)

 

Records center.

A storage space or facility for the high-density and low-cost storage and maintenance of semi-active or inactive records pending their scheduled final disposition.

 

Records center transmittal form.

A document that lists the records being transferred from an office or administrative unit to the University Records Center.

 

Records management.

A field of management responsible for the systematic control of the creation, maintenance, use, reproduction, and disposition of records. (SAA)

 

Records management officer.

A records management officer (RMO) is a department or unit's liaison with the OSU Archives and Records Management Program. It is usually the person who has primary responsibility for that department or unit's records.

 

Records officer, agency.

A university employee who is legally responsible for coordinating the OSU Archives and Records Management Program with the State Archives Division of the Secretary of State's Office. The University Archivist serves as the University's Records Officer for OSU.

 

Records retention schedule.

A control document which describes the records of an institution or administrative unit at the record series level, establishes a timetable for the record series life cycle, prescribes an ultimate disposition for the record series, and serves as the legal authorization for the disposition of public records. Selected series dispositions from the University Records Retention and Disposition Schedule are found in Chapter five of this handbook.

 

Records storage box.

A cardboard carton designed to hold approximately one cubic foot of records and to fit on specially configured industrial metal shelving. Records storage boxes are constructed of inexpensive, non-archival materials and are thus used primarily for the storage of temporary records in the University Records Center. These boxes are also used to transfer records to the University Archives for pulping and are also referred to as pulping boxes. See also archives box.

 

Records system.

An organized collection of data captured, processed, maintained, transmitted, or disseminated in accordance with defined procedures (automated or manual). (OAR 166)

 

Redox (reduction oxidation).

The undesirable chemical process by which metallic silver which makes up photographic images is transformed into spots of reddish-brown residue on the images.

 

Reference copy.

See convenience copy.

 

Reference service.

The assistance provided by the archives staff in helping researchers use the holdings of the University Archives.

 

Restricted access.

A limitation on the use of a body of documents or of single items containing information of a specific kind or in a particular form. The restriction may limit the use for a time to particular persons or classes of persons or may exclude all potential users. Restrictions may be imposed by law, by Archives or manuscript repositories having custody of the materials, or by officials of controlling agencies or donors and are enforced by the archives or manuscript repository. (SAA)

 

Retention period.

The maximum and the minimum length of time that a record must be kept by law. The retention period is given in the university records retention schedule. The retention period may be given as permanent, until superseded, until obsolete, or a certain number of years or months. See also permanent, until obsolete, and until superseded.

 

Retired records.

Inactive records that have been removed from active office files to less expensive and slightly less accessible storage space.

 

Retrieval.

The activity of finding and making available records or record information to the creating administrative units or other researchers. Retrieval is a part of the reference service provided by the staff of the University Archives.

 

Schedule number.

The Oregon Administrative Rule number assigned to each series in the records retention schedule, e.g., OAR 166-475-0010(3).

 

Scheduling.

The process of inventorying, analyzing, and developing a records retention and disposition schedule which contains series descriptions, retention periods, and disposition instructions. See also inventory.

 

Secondary value.

The value of documents to serve as evidence or sources of information for persons and organizations other than their creator. See also primary value. (SAA)

 

Security copy.

A duplicate of records made in order to preserve their informational content in the event that the original records are destroyed, lost, or rendered illegible. Security copies are sometimes made on the same media: electronic records may be duplicated on magnetic tape or disks; or on different media: paper records may be duplicated on microfilm. Security copies are preferably stored in a location other than that of the original.

 

Semi-active records.

Records that are infrequently needed by their creating unit for the prosecution of official on-going business.

 

Series.

See record series.

 

Shelf files.

Filing units that resemble book shelves and accommodate rows of files with the folder tabs facing outward for ease in reading. Shelf files are simple structures generally having no doors.

 

Shredding.

A means of destroying paper records by mechanical cutting into a multitude of narrow strips.

 

Silver halide film.

Camera film used for microfilming. The silver halide salts form the photosensitive material and image matter of the microfilm. Only silver halide film can be used in a camera for producing a microfilm original.

 

Supersede.

See until superseded.

 

Temporary records.

See nonpermanent records.

 

Transcript.

1. A copy or reproduction, in so far as the resources of script and/or typography allow, of an original document.
2. In legal proceedings, an exact copy of a text.
3. A verbatim written, typed, or printed version of the spoken word, e.g. proceedings in a court of law or an oral history interview. (SAA)
4. The official copy of a student's educational record.

 

Transfer.

1. The change of physical and legal custody of records from the creating administrative unit to the University Archives.
2. The change of physical custody of records without the corresponding change in legal custody from the creating administrative unit to the University Records Center.

 

Transmittal form.

A University Archives form that accompanies records transferred from the creating administrative unit to the University Archives. The transmittal form lists in detail the records being transferred. The Archives Transmittal Form transfers legal custody as well as physical custody. See also records center transmittal form.

 

Until obsolete.

Retention period assigned to records that become valueless on a non-routine basis.

 

Until superseded.

Retention period assigned to records that are routinely updated or revised and where the previous version has no continuing value.

 

Vertical file.

Filing units composed of drawers stacked vertically. These units store records from front to back rather than from side to side. See also lateral file.

 

Vital record.

A record containing information essential to re-establish or continue an organization in the event of a disaster. Vital records comprise the records necessary to recreate the organization's legal and financial status and to determine the rights and obligations of employees, customers, stockholders, and citizens. (SAA)
Voice mail. A computerized telephone message recording system.

 

Weeding.

The selection and removal of individual documents, records, or files from a record series due to their failure to possess continuing primary or secondary value. Weeding is also known as purging.

 

World Wide Web (WWW).

A client-server software package which uses hypertext to organize, connect, and present information and services throughout the Internet. A hypertext-based system for finding and accessing Internet resources.

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