Learning Outcomes

• Appreciate basic components of EDRMS

• Understand how EDRMS solves records
management challenges
 Basic Components of Electronic Record
Management Systems

Classification, Capturing and

Folder
Repository Indexing, and Declaring
Structure
Metadata Records

Retention and Managing

Record Search and
Disposal of Physical
Security Retrieval
Records Records

Compliance
Auditing and Scanning and
with Collaboration
Reporting Imaging.
Standards

Workflow
• Repository
• As with EDMS, all ERMS will need to have a
repository where the records are archived.
• Physically, the repository will be located on one or
more networked database servers but will appear
to users of the system as one central repository.
• Users of the ERMS should have the ability to
browse the repository if their user access rights
allow them to do so.
Folder Structure
• The folder structure of an ERM system will exist within the
repository and allows the system administrators to
systematically categorize where records are archived within
the system.
• Using a hierarchical folder structure will allow the
administrator to set it up to either represent the
organizational structure, business function-based structure,
project-based structure, or property-based structure, or
represent a combination of all four structures to facilitate the
archival of records.
Classification, Indexing, and Metadata
• All records in the system need to be
categorized and indexed within the folder
structure, using metadata to archive records in
a systematic manner, and to help users to find
their documents in the future using the search
and retrieval mechanisms.
Capturing and Declaring Records
• An ERMS needs a method automatically capturing and declaring records. E.g,
take an organization that processes forms and sends out acknowledgment
letters to customers. Once they receive and process the customer’s form, it
will become a record of the interaction with the customer.
• The subsequent acknowledgment letter they send out will be another
document that also becomes a part of the record of the interaction with that
particular customer.
• Hence, if the system did not automatically capture and declare these
documents as records, they would either not get declared as records, or it
would be left to a user in the organization to manually declare those
documents as records, in which case they may not properly be archived as
records.
Retention and Disposal of Records
• ERM systems need to be able to retain records for
a specific length of time, depending on the nature
of the records, and also dispose of them when that
time limit is up.
• Once the time has expired, the system should
dispose of the records, either completely deleting
them securely from the system or moving them to
off-line storage, depending on organizational
rules.
• Record Security
• ERMS need to employ stringent security around the
archiving of records, both for the organization’s own
security and to comply with legislation such as the Data
Protection Act and the Privacy Act.
• Electronic records should be secured in such a way that
only authorized users within the organization have access
to them.
• Administrators of the ERM system should be able to easily
set up and maintain record security within the system.
Managing Physical Records
• An ERM should be capable of not only managing
electronic records but also physical records existing in
physical locations such as filing rooms and filing cabinets.
• The system should be able to provide authorized users
with details of where they can locate physical records
and should also provide functionality for users to note on
the system if they have removed records from their
physical location — essentially, a type of check-out
procedure for physical records stored on the system.
• Search and Retrieval
• As with EDMS, an ERM system needs to have
the same search and retrieval functionality of a
basic and advanced search, as well as the ability
for users to browse the repository.
• Additionally, the search mechanism needs to be
able to search across electronic records and
physical records, if any, managed by the
system.
Auditing and Reporting
• Auditing and reporting is an important feature of both
RM & DM.
• The system should provide functionality to allow
authorized users and administrators facilities to produce
audit trails concerning records and documents in terms of
access and changes, dates created, dates modified, etc.
• Reporting facilities should be flexible enough to allow
users to create custom-made reports regarding
documents or records.
Compliance with Standards
• Legislation such as the FOI Act, Privacy Act, & Data Protection
Act, as well as standards such as DoD 5015.2, TNA 2002, ISO
15489, and MOREQ, are key drivers of the development of
EDRM systems.
• Therefore, for systems to be compliant and legally accountable,
both document and record management systems need to follow
the relative legislation and standards that apply to both the
organization and the country in which they are being
implemented.
• Most systems from major electronic documents and records
software vendors comply with one or more of these standards.
Scanning and Imaging
• Facilities to scan and image paper-based documents need to
be part of an ERM system because one of the main business
drivers for organizations implementing these systems is the
need to provide staff with instant access to centrally held
information and free up space used for filing rooms.
• Some ERM and EDRM systems have integrated scanning and
imaging modules allowing the organization to scan
documents in batches and index them, whereas other
software vendors provide scanning and imaging functionality
as an optional module.
Collaboration
• Collaborative services allow people and teams within the
organization to communicate and share information, E.G, to work
on documents together.
• Although collaborative services are not a mandatory requirement
of an EDRM system, it is certainly a very useful feature to have
integrated with the system.
• Hence, if an EDRM system’s task is to manage documents and
records, then it makes sense to include functionality to
encourage staff in the organization to share information and
work together when necessary on relevant documents and
records.
Workflow
• Workflow, also referred to as business process management (BPM),
is used to manage the flow of information around an organization.
• Example?
• The steps involved in the invoice being electronically routed around
an organization from one person to the next is called Workflow.
• As with collaboration, workflow is not strictly within the ambit of
EDRMS, but it is an extremely useful feature that, when properly
implemented, can speed up processes, making them more
efficient, eliminating the paper trail while providing accountability
for each task assigned to an individual.
 Example- Invoicing system

an invoice is
scanned on to then gets routed
received through
the system, to accounts,
the post,

then goes into a

go for
queue to be paid
authorization,
via a check run.
 Class activity

Match each scenario to the relevant ERMS

component. Explain one or two matches &
highlight best practices.
• Scenario1: An organisation needs to ensure only
authorised users access confidential records.
• Scenario 2: Employees struggle to find records
quickly when needed.
• Scenario 3: Some records are being kept indefinitely,
leading to storage issues.