Definitions

Active record - A university record that is easily accessible within the operating unit; accessed frequently or occasionally during the course of the university's or unit's operations.

Archival record - A record that is retained permanently by the university for legal, business, historical or reference purposes. Archival records are stored within the University Archives/University Library Special Collections.

Business or historical value - The usefulness of records for carrying out day-to-day activities of the institution, including documentation of the university's authority, functions, operations, transactions, finances, obligations, decisions, and procedures. Also, the usefulness of records for historical evidence, memorialization, and research.

Examples of records of business or historical value include:

  • Approval of a recommendation or action (retained even if it is in an informal form such as hand-written note)
  • A policy draft just prior to public comment (preserved to record changes made based upon comments received)
  • A notation confirming that a legal obligation has been completed or met

Confidential data or records - Data or records that are of a private, proprietary or otherwise sensitive nature.

Data classification - The data within a record dictates the level of security required during the management, storage, and ultimate disposition of a record. Data that is confidential or sensitive must be secured at all times, including the disposal process.

Disposal - Refers to destruction of a record that has expired (see “Expired Record”).

Disposal method - Includes confidential destruction, deletion, wastebasket, etc. The appropriate method of disposal is determined by the confidential or sensitive nature of a record (see “Data Classification”) and the medium in which it exists (e.g., paper, electronic).

Disposition - Refers to what is finally done with a record. Disposition may involve storing the record in its current location, transferring it to another location, or destroying the record (see “Disposal”).

Electronic record - A record that requires a computer or other electronic technology to process it. Includes email messages and other “documents” that exist in electronic format.

Expired record - A record that has been retained for the full period prescribed in the University Records Retention Schedule.

Historical value - See business or historical value.

Inactive record - A university record that is no longer needed during the regular course of operations, but that is retained because of its business or historical value. The record may be stored within a unit or in a central repository.

Legal or litigation hold - A restriction on a record that exists as a result of current or anticipated litigation, audit, government investigation or other such matter that suspends the normal disposition or processing of records. Legal holds are issued by the Office of University Counsel, Internal Audit, Research Assurances or the Research Integrity Officer.

Legal hold - A restriction on a record that exists as a result of current or anticipated litigation, audit, government investigation or other such matter that suspends the normal disposition or processing of records.

Life cycle - The life span of a record from its creation or receipt to its final disposition. Life cycle stages may include creation, active use and maintenance, inactive storage, and permanent storage (archival) or destruction.

Managed record - An active university record that is located within a unit. The unit "manages" a record by maintaining it in an organized manner for easy accessibility by authorized personnel, and for protection against loss or breach of confidentiality. See "active record."

Non-record - Any document, device, or item, regardless of physical form or characteristic, created or received, that does not serve to document the organization's functions, policies, decisions, procedures, operations, or other activities. Non-records may include, but are not limited to:

  • Transitory records (see definition below)
  • Personal correspondence
  • Non-ISU publications
  • Listserv ® materials
  • Junk mail/spam
  • Goods and services catalogs
  • Stocks of publications and unprocessed forms
  • Journals, books, reference materials, exhibits, or other library or museum materials
  • Faculty papers (Faculty papers are the property of the faculty member, not the university and as such are not university records; however, in some cases the University Archives is interested in collecting faculty papers.)

Permanent record - See archival record.

Record type - A group of records having common characteristics and retention periods. The Records Retention Schedule lists record types wherever possible, rather than itemizing every specific university record that exists.

Records retention schedule - A resource that provides the university community with guidance on the retention and disposal of university records. The schedule supports the university's Records Retention Policy and establishes retention periods based on the content and purpose of university records.

Security of records, data - A means of ensuring that records and the data therein are kept safe from corruption and that access to it is suitably controlled. Data security helps to ensure the privacy of confidential or sensitive records and data.

Stored record - A record that has been retained for a definite period or permanently.

Transitory record - Contains information which is not of long-term value for the conduct of business. Transitory records are not needed to preserve the actions of the university, but exist for short-term usage and/or convenience. Transitory records are generally of temporary value until completion of an action or development of final work product.

In contrast, if a document has business or historical value (see definition above), it is not a transitory record. A record that is needed to record the history of a transaction or university action is not transitory.

Transitory records without business or historical value are not subject to retention beyond the purpose for which they are created. However, if retained, transitory records are subject to Public Records law.

Examples of transitory records are:

  • Copies or excerpts of documents used for preparation of other documents or university actions
  • Phone slips, to-do lists, reminders, meeting notices and voice mail
  • Copies or excerpts of documents used for preparation of other documents or university actions
  • Drafts, notes, notations, outlines used to develop formal documents when those materials do not have business or historical value

To the extent that a document has business or historical value, it is not a transitory record. A record that is needed to record the history of a transaction or university action is not transitory.

University record - Any document, book, paper, electronic record, photograph, sound recording, or other material, regardless of physical form or characteristics, containing information, and which is made, produced, executed, or received in connection with the transactions and activities of the university.