Managing Records

A Handbook of Principles and Practice


Elizabeth Shepherd and Geoffrey Yeo

Facet Publishing, London and Neil Schuman Publishers, Inc., New York






Editorial note



Why keep records?

Why is good records management important?

How can this book help?


Chapter 1: Understanding Records Management

Defining the key terms in records management

The life of the record

Records as evidence and as sources of information

Records, documents and data

Records management and related disciplines

Managing paper and electronic records; the hybrid environment

Records management programmes, systems and standards

Managing the life of the record


Chapter 2: Analysing the Context for Records Management

Using analytical techniques

The organization and its environment

Understanding organizational cultures and structures

Understanding organizational systems, functions and activities

Analysing and modelling systems

Elementary and aggregated records

Surveying records and records management systems

From analysis to implementation


Chapter 3: Classifying Records and Documenting their Context

Understanding the context of records

Designing a classification scheme

Organizing and classifying records in paper-based systems

The architecture of a paper records system

Metadata for paper records

Classifying electronic records

Classifying records in hybrid systems


Chapter 4: Creating and Capturing Records

Principles of records creation and capture

Creating records

Capturing records into a records management system

Ensuring that records are captured systematically

Capturing records of routine processes

Capturing records of creative processes

Capturing information products in a records management system

Capturing data records and datasets

Capturing dynamic digital objects

Registering records

Assigning unique identifiers

Assigning metadata


Chapter 5: Managing Appraisal, Retention and Disposition

The need for retention controls

The development of appraisal: theory and practice

Appraisal strategy: a framework for decision making

Appraisal criteria

Documenting and applying retention decisions

Reviewing retention decisions after the creation of records

Retention of ‘legacy’ records


Quality control and documentation


Chapter 6: Maintaining Records and Assuring their Integrity

Storage systems for paper records

Establishing and managing a records centre

Options for electronic records

Managing archives

Selecting and using storage media and equipment

Storage location control

Conversion to an alternative medium

Preserving electronic records over time

Protecting records against loss, misplacement or alteration

Threats and hazards: risk assessment and reduction

Business continuity planning


Chapter 7: Providing Access

Meeting the needs of users

Approaches to retrieval

Confidentiality and rights of access

Managing external access to records

Archival services


Chapter 8: Implementing Records Management: Practical and Managerial Issues

Getting started

Developing records management programmes and systems

Maintaining the impetus

Recording records management




Appendix A: Bibliography and sources of further information

Appendix B: Select list of national and international standards

Appendix C: Professional organizations for records managers in English-speaking countries




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