Lesson 16

Methodologies and Technologies for Managing Electronic Records

Electronic records management (ERM) is the process of managing electronic records throughout
their lifecycle, from creation to disposal. ERM methodologies and technologies can help
organizations to ensure that their electronic records are:

 Organized and accessible: ERM methodologies and technologies can help organizations
to create and maintain a logical and consistent structure for their electronic records. This
makes it easier for users to find and access the records they need.

 Secure: ERM methodologies and technologies can help organizations to protect their
electronic records from unauthorized access, use, disclosure, alteration, or destruction.

 Conformed to regulations: ERM methodologies and technologies can help organizations

to comply with applicable laws and regulations governing the management of electronic
records.

Some of the most common ERM methodologies and technologies include:

 Document management systems: Document management systems (DMS) are software

applications that help organizations to store, manage, and track electronic documents.
DMS can help organizations to organize their electronic records, control access to them,
and ensure that they are backed up and preserved.

 Content management systems: Content management systems (CMS) are software

applications that help organizations to create, manage, and publish digital content. CMS
can be used to store and manage electronic records, as well as to make them accessible to
users on a website or intranet.

 Metadata: Metadata is data that describes other data. In the context of ERM, metadata can
be used to describe electronic records and their content. This can help organizations to
find and access electronic records more easily, and to ensure that they are properly
managed throughout their lifecycle.
  Cloud computing: Cloud computing is a way of delivering computing services over the
internet. Cloud-based ERM solutions can help organizations to store and manage
electronic records more cost-effectively and efficiently.

 Records retention policies: Records retention policies are a set of rules that govern how
long electronic records should be kept. These policies can help organizations to ensure
that they are not keeping electronic records for longer than necessary, and that they are
disposing of them properly when they are no longer needed.

 Data loss prevention (DLP): DLP is a set of technologies and processes that are used to
prevent the loss of sensitive data. DLP can help organizations to protect their electronic
records from unauthorized access, use, disclosure, alteration, or destruction.

 Information governance: Information governance is a set of policies and procedures that

are used to manage the flow of information within an organization. Information
governance can help organizations to ensure that their electronic records are properly
managed, and that they are compliant with applicable laws and regulations.

 Web archiving: Web archiving is the process of collecting and preserving web pages and
other web content. Web archiving can help organizations to preserve their electronic
records for historical purposes, and to comply with applicable laws and regulations.

The specific ERM methodologies and technologies that an organization uses will depend on its
specific needs and requirements. However, all organizations should consider using some form of
ERM to ensure that their electronic records are properly managed.

 Improved productivity: ERM can help organizations to improve productivity by making

it easier for users to find and access the information they need.

 Reduced costs: ERM can help organizations to reduce costs by streamlining the
management of electronic records.

 Enhanced compliance: ERM can help organizations to comply with applicable laws and
regulations governing the management of electronic records.
  Improved security: ERM can help organizations to improve the security of their
electronic records by protecting them from unauthorized access, use, disclosure,
alteration, or destruction.

If you are considering implementing ERM in your organization, there are a few things you
should keep in mind:

 Start with a plan: Before you implement any ERM methodologies or technologies, you
need to have a plan in place. This plan should include your organization's goals for ERM,
as well as the specific steps you need to take to achieve those goals.

 Get buy-in from management: ERM is a strategic initiative that requires the support of
senior management. Make sure that you have the support of your organization's
leadership before you start implementing ERM.

 Educate your staff: ERM is a new concept for many people. Make sure that you educate
your staff about ERM and the benefits it can provide for your organization.

 Start small: Don't try to implement ERM all at once. Start with a small pilot project and
then scale it up as you gain experience.

ERM can be a complex and challenging undertaking, but it is essential for organizations that
want to ensure that their electronic records are properly managed. By following the tips above,
you can help your organization to implement ERM successfully.

Managing documents and records in the cloud

Managing documents and records in the cloud can be a great way to improve efficiency and
productivity. Here are some best practices for managing documents and records in the cloud:

1. Choose the right cloud storage provider. There are many different cloud storage providers
available, so it's important to choose one that meets your specific needs. Some factors to
consider include the amount of storage space you need, the level of security you require,
and the features that are important to you.
 2. Set up a records retention schedule. A records retention schedule will help you determine
how long to keep different types of documents and records. This will help you avoid
cluttering up your cloud storage with unnecessary files.

3. Create a naming convention for your documents. A consistent naming convention will
make it easy to find and access your documents. You should also include the date, the
document type, and any other relevant information in the file name.

4. Use tags and metadata to organize your documents. Tags and metadata can be used to
further organize your documents and make them easier to find. Tags are keywords that
you can assign to documents, while metadata is additional information about the
document, such as the author, the date created, or the file format.

5. Back up your documents regularly. It's important to back up your documents regularly in
case of a data loss or disaster. You can back up your documents to another cloud storage
provider, an external hard drive, or a USB drive.

6. Secure your cloud storage account. Use a strong password and enable two-factor
authentication to secure your cloud storage account. You should also be careful about
who you share your documents with.

Methodologies and Technologies for Managing Documents and Records in the Cloud
include:

There are many methodologies and technologies for managing documents and records in the
cloud. Some of the most popular include:

 Cloud-based document management systems (DMS): These systems provide a

centralized repository for storing, organizing, and sharing documents. They typically
offer features such as version control, search, and workflow automation.

 Content management systems (CMS): CMSs are designed for managing large amounts of
unstructured content, such as web pages, blog posts, and images. They typically offer
features such as content authoring, collaboration, and publishing.
  Enterprise file sharing (EFS): EFS solutions provide a secure way to share files with
internal and external users. They typically offer features such as file encryption, access
control, and audit logging.

 Blockchain-based document management systems: Blockchain is a distributed ledger

technology that can be used to store and track documents in a secure and tamper-proof
way. This makes it ideal for managing sensitive documents, such as contracts and legal
records.

The best methodology and technology for managing documents and records in the cloud will
vary depending on the specific needs of the organization. However, all of the solutions
mentioned above offer a number of benefits, such as:

 Scalability: Cloud-based solutions can easily scale to accommodate the growing volume
of documents and records.

 Accessibility: Documents and records can be accessed from anywhere with an internet
connection.

 Security: Cloud-based solutions offer a high level of security, thanks to encryption and
access control features.

 Cost-effectiveness: Cloud-based solutions can be more cost-effective than on-premises

solutions, especially for small businesses.

When choosing a methodology and technology for managing documents and records in the
cloud, it is important to consider the following factors:

 The size and complexity of the organization's document and record management needs

 The budget available for implementing and maintaining a cloud-based solution

 The level of security required for the documents and records

 The need for scalability and accessibility

Here are some additional tips for managing documents and records in the cloud:

 Create a records retention schedule: This will help you to determine how long each type
of document or record should be kept.

 Set up access control: This will ensure that only authorized users can access the
documents and records.

 Back up the data regularly: This will protect the data in case of a disaster.

 Monitor the system for security threats: This will help to keep the data safe from
unauthorized access.

Preservation of E-records

Preservation of electronic records (e-records) is the process of ensuring that they remain
accessible, authentic, and reliable over time. This is a complex and challenging task, as e-records
are subject to a variety of threats, including technological obsolescence, software
incompatibility, and data corruption.

There are a number of strategies that can be used to preserve e-records. These include:

 Characterizing the records: This involves identifying the technical properties of the
records, such as the file format, software used to create them, and metadata. This
information is essential for ensuring that the records can be properly preserved.

 Migrating the records: This involves converting the records to a new format that is more
likely to be compatible with future software and hardware.

 Emulating the environment: This involves creating a virtual environment that replicates
the environment in which the records were originally created. This can help to ensure that
the records can be accessed and used even if the original software or hardware is no
longer available.

 Backing up the records: This involves creating copies of the records and storing them in a
secure location. This provides a safeguard in case the original records are lost or
damaged.
Here are some additional tips for preserving e-records:

 Use open standards and formats. This will make it easier to migrate the records to new
formats in the future.

 Document the records. This includes keeping track of the technical properties of the
records, as well as the metadata.

 Store the records in a secure location. This will help to protect the records from loss or
damage.

 Regularly review the records. This will help to identify any problems with the records
and take steps to correct them.

There are many reasons why it is important to preserve e-records. Here are some of the most
important reasons:

 Legal and regulatory compliance: Many organizations are required by law or regulation
to retain electronic records for a certain period of time. For example, financial institutions
are required to retain electronic records related to financial transactions for seven years.

 Business continuity: Electronic records can be essential for business continuity. For
example, if a company's computer system is damaged or destroyed, the company may be
able to recover its electronic records and continue operating.

 Historical value: Electronic records can be valuable historical documents. For example,
electronic records can provide insights into how businesses and organizations operated in
the past.

 Research value: Electronic records can be valuable research materials. For example,
researchers can use electronic records to study historical events, social trends, and
technological developments.

Here are some specific examples of why e-records should be preserved:

  Medical records: Medical records are essential for providing healthcare to patients. They
can also be used to conduct research and improve healthcare practices.

 Financial records: Financial records are essential for tracking financial transactions and
making financial decisions. They can also be used to investigate financial crimes.

 Legal records: Legal records are essential for documenting legal proceedings and
providing evidence in court. They can also be used to research legal history.

 Business records: Business records are essential for tracking business transactions and
making business decisions. They can also be used to investigate corporate fraud and
corruption.

Some of the most common technologies for preserving e-records include:

 Open formats: Open formats are formats that are not proprietary to any specific software
or hardware vendor. This makes them more likely to be compatible with future software
and hardware.

 Durable media: Durable media is media that is less likely to deteriorate over time. This
includes media such as optical discs, magnetic tape, and film.

 Digital repositories: Digital repositories are specialized storage facilities for digital data.
These repositories can provide a secure and controlled environment for storing e-records.
Lesson 17

Metadata in ERM

Importance of Metadata

Metadata in ERM (Electronic Records Management) is data that describes other data. It can be
used to identify, locate, describe, manage, and preserve electronic records.

Metadata is important for a number of reasons, including:

 Findability: Metadata can make it easier to find relevant data. For example, if you are
looking for a document about a specific topic, metadata can help you to find that
document by providing information about the topic, the author, the date created, and
other relevant details.

 Accessibility: Metadata can make data more accessible by providing information about
how to access the data, such as the file format, the location of the data, and the
permissions required to access the data.

 Interoperability: Metadata can help to ensure that data can be exchanged between
different systems and applications. This is because metadata can provide a common
understanding of the data, which can help to ensure that the data is interpreted correctly
by different systems.

 Reusability: Metadata can help to make data more reusable by providing information
about the data that can be used to understand the data and to make use of the data in new
ways.

 Compliance: Metadata can be used to help organizations to comply with regulations, such
as those governing financial reporting, healthcare, and privacy. For example, metadata
can be used to track the retention period for different types of records, to ensure that
records are not deleted before their retention period has expired.

 Auditing: Metadata can be used to support auditing and compliance activities. For
example, metadata can be used to track who has accessed a record, when they accessed it,
 and what changes they made to it. This information can be used to investigate potential
security breaches or data corruption.

 Risk management: Metadata can be used to help organizations to identify and manage
risks. For example, metadata can be used to track the location of sensitive data, to
identify data that is out of compliance with regulations, and to identify data that is at risk
of being lost or corrupted.

 Business intelligence: Metadata can be used to support business intelligence activities.

For example, metadata can be used to track the performance of different business units, to
identify trends in customer behavior, and to make better decisions about product
development and marketing.

In addition to these general benefits, metadata can also be used for a variety of specific purposes,
such as:

 Search engine optimization (SEO): Metadata can be used to improve the ranking of a
website in search engine results pages (SERPs). This is because metadata can provide
information about the content of a website, which can help search engines to better
understand the website and to rank it more highly in SERPs.

 Data governance: Metadata can be used to help to govern data by providing information
about the data, such as who owns the data, who has access to the data, and how the data
should be used.

 Data quality: Metadata can be used to help to improve the quality of data by providing
information about the data, such as the accuracy of the data, the completeness of the data,
and the timeliness of the data.

Overall, metadata is an important part of data management. It can be used to improve the
findability, accessibility, interoperability, reusability, and quality of data. As a result, metadata
can help to organizations to better manage their data and to make better use of their data.
Here are some examples of metadata:

 Descriptive metadata: This type of metadata provides information about the content of
the data, such as the title, author, subject, and keywords.

 Structural metadata: This type of metadata provides information about the structure of the
data, such as the file format, the location of the data, and the permissions required to
access the data.

 Administrative metadata: This type of metadata provides information about the

management of the data, such as the date created, the date modified, and the owner of the
data.

 Business metadata: This type of metadata provides information about the business
processes that create and use the records. This information can be used to understand the
context of the records and to ensure that they are properly managed.

 Technical metadata: This type of metadata provides information about the technical
aspects of the records, such as the file format, the hardware and software that is needed to
access the records, and the location of the records. This information can be used to ensure
that the records can be accessed and used in the future.

 Legal metadata: This type of metadata provides information about the legal aspects of the
records, such as the retention period, the disposal requirements, and the privacy
restrictions. This information can be used to ensure that the records are properly managed
and disposed of in accordance with the law.

Uses and sources of metadata

In ERM, metadata is used to:

 Describe and identify records. Metadata can be used to describe the content of a record,
such as its title, author, and date created. It can also be used to identify a record, such as
its unique identifier or file name.
  Track the lifecycle of records. Metadata can be used to track the lifecycle of a record,
such as its creation, access, and disposition. This information can be used to ensure that
records are properly managed and preserved.

 Enhance search and retrieval. Metadata can be used to enhance search and retrieval of
records. By providing information about the content, structure, and context of records,
metadata can make it easier to find the records that you are looking for.

 Support data governance. Metadata can be used to support data governance. By providing
information about the quality, security, and compliance of records, metadata can help
organizations to ensure that their data is managed in a compliant and secure manner.

 Metadata can be used to create indexes for records. This makes it easier to search for
records by their content.

 Metadata can be used to track the access to records. This can help to ensure that records
are only accessed by authorized users.

 Metadata can be used to audit the use of records. This can help to ensure that records are
being used in accordance with the organization's policies and procedures.

The sources of metadata in ERM can include:

 System-generated metadata. This metadata is automatically generated by the system that

stores the records. It can include information such as the creation date, modification date,
and file size.

 User-supplied metadata. This metadata is created by users. It can include information

such as the title, author, and keywords.

 External metadata. This metadata is obtained from external sources. It can include
information such as the classification of a record or its location in a filing system.

 Document properties. Many document management systems allow users to add custom
metadata to documents. This metadata can include information such as the title, author,
keywords, and classification.
  Business rules. Business rules are used to govern the creation, processing, and use of
records. Metadata can be used to capture these business rules, which can then be used to
automate the management of records.

 Taxonomies. Taxonomies are hierarchical classification systems that are used to organize
information. Metadata can be used to capture the taxonomy of a record, which can then
be used to find and retrieve records by their subject matter.

Methods for collecting and applying metadata

There are many methods for collecting and applying metadata. Some of the most common
methods include:

 Manual entry: This is the most basic method of collecting metadata, and it involves
manually entering the metadata into a metadata field or form. This can be a time-
consuming and error-prone process, but it is often necessary for metadata that cannot be
automatically generated.

 Data extraction: This method involves extracting metadata from existing data sources,
such as databases, documents, or images. This can be done using a variety of tools and
techniques, such as XPath, XQuery, and regular expressions.

 Metadata harvesting: This method involves collecting metadata from multiple sources
and combining it into a single repository. This can be useful for collecting metadata from
a variety of different systems, such as file servers, content management systems, and
databases.

 Automatic generation: This method involves automatically generating metadata based on

the content of a data source. This can be done using a variety of techniques, such as
machine learning and natural language processing.

Once metadata has been collected, it can be applied in a variety of ways. Some of the most
common ways to apply metadata include:
  Tagging: This involves assigning keywords or tags to a data source. This can make it
easier to find and retrieve the data source later.

 Classification: This involves assigning a category or class to a data source. This can help
to organize and manage the data source.

 Indexing: This involves creating an index of the metadata for a data source. This can
make it faster to search for and retrieve the data source.

 Data governance: Metadata can be used to help govern data within an organization. This
includes ensuring that data is accurate, complete, and consistent.

 Data analytics: Metadata can be used to help with data analytics. This includes providing
context for data, such as the source of the data, the date it was created, and the type of
data it is.

The best method for collecting and applying metadata will depend on the specific needs of the
organization. However, all of the methods listed above can be effective in different situations
Lesson 18

Electronic Records Management

Electronic records management (ERM) is the systematic control of the creation, receipt,
maintenance, use, and disposition of electronic records. It is the process of managing electronic
records throughout their lifecycle, from creation to disposal.

ERM is important because it helps organizations to:

 Comply with legal and regulatory requirements

 Protect the confidentiality, integrity, and availability of records

 Facilitate the efficient and effective retrieval of records

 Reduce the risk of data loss

 Improve business continuity

The basic principles of ERM include:

 Identification: Identifying all electronic records that are created or received by the
organization.

 Classification: Classifying electronic records according to their type, content, and purpose.

 Retention: Determining the appropriate retention period for each type of electronic record.

 Disposal: Disposing of electronic records in a secure and responsible manner.

 Access: Ensuring that authorized users have access to electronic records when they need
them.

 Security: Protecting electronic records from unauthorized access, use, disclosure,

modification, or destruction.

Key components of Electronic Records Management include:

 1. Records Capture: The process of capturing electronic records at their point of creation or
receipt. This involves identifying records, assigning metadata, and integrating them into
the records management system.
2. Metadata Management: Metadata provides critical information about electronic records,
such as title, creator, creation date, file type, and access permissions. Proper metadata
management ensures that records are accurately described, organized, and retrievable.
3. Records Classification: Organizing electronic records into logical categories or classes
based on their content, purpose, or function. Classification facilitates efficient record
retrieval and supports records retention and disposal policies.
4. Retention and Disposition: Establishing retention schedules that define how long
electronic records should be retained and when they should be disposed of. Compliance
with retention schedules ensures records are kept for the required duration and disposed
of appropriately.
5. Access Control and Security: Implementing access controls and security measures to
safeguard electronic records from unauthorized access, tampering, or destruction.
Protecting sensitive information is essential for maintaining data integrity and complying
with data privacy regulations.
6. Preservation and Archiving: Ensuring the long-term preservation and accessibility of
electronic records. This may involve digital preservation strategies such as format
migration, emulation, and regular data backups.
7. Search and Retrieval: Providing robust search and retrieval capabilities to quickly locate
specific electronic records. Effective search functions rely on well-structured metadata
and well-organized record repositories.
8. Compliance and Auditing: Ensuring that electronic records management practices adhere
to legal and regulatory requirements. Regular auditing and reporting help verify
compliance and identify areas for improvement.

EDMS, ERMS and EDRMS

1. EDMS - Electronic Document Management System

An Electronic Document Management System (EDMS) is a software-based system designed

to manage and store electronic documents. It focuses primarily on the organization, storage,
 and retrieval of digital documents. EDMS provides features such as version control,
document capture, indexing, search and retrieval, security, and access controls. It is typically
used to manage documents like text files, spreadsheets, presentations, PDFs, and images.

2. ERMS - Electronic Records Management System

An Electronic Records Management System (ERMS) is a specialized software solution

tailored to manage and govern electronic records throughout their lifecycle. ERMS is
designed to meet specific regulatory and legal requirements related to records management.
It includes features such as records capture, metadata management, retention scheduling,
audit trails, compliance management, and records disposal. ERMS ensures that electronic
records are managed in a manner that maintains their authenticity, integrity, and accessibility.

3. EDRMS - Electronic Document and Records Management System

An Electronic Document and Records Management System (EDRMS) is a comprehensive

solution that combines the functionalities of both EDMS and ERMS. EDRMS integrates
document management and records management capabilities into a single platform. It allows
organizations to manage both day-to-day documents and official records within the same
system, providing a unified approach to information management. EDRMS offers features
such as document capture, version control, metadata management, records retention, security
controls, and audit trails.

In summary:

 EDMS is focused on managing electronic documents, providing features for document

organization and retrieval.
 ERMS is designed specifically for managing electronic records, ensuring compliance
with records management regulations and practices.
 EDRMS combines both document management and records management functionalities,
offering a comprehensive approach to managing electronic documents and records within
a single system.
The functional requirements of an EDRMS

The functional requirements of an EDRMS (Electronic Document and Records Management

System) are the essential functions that the system must be able to perform in order to effectively
manage electronic records. These requirements typically include:

 Records classification and identification: The ability to classify and identify records in a
consistent and systematic way, using a records classification scheme.

 Capture: The ability to capture electronic records from a variety of sources, including
email, scanned documents, and web-based content.

 Use: The ability to store, retrieve, and use electronic records in a secure and efficient
manner.

 Security and access control: The ability to control access to electronic records based on
user permissions.

 Retention and disposal: The ability to manage the retention and disposal of electronic
records in accordance with legal and regulatory requirements.

 Metadata: The ability to capture and store metadata about electronic records, such as the
author, creation date, and content type.

 Reporting: The ability to generate reports on electronic records, such as usage statistics
and retention schedules.

 Integration with other systems: The ability to integrate with other systems, such as
document management systems, content management systems, and enterprise resource
planning systems.

 Workflow automation: The ability to automate workflows for tasks such as document
approval, routing, and archiving.

 Auditing and reporting: The ability to track and report on user activity, such as who
accessed a record, when they accessed it, and what they did with it.

 Disaster recovery: The ability to recover electronic records in the event of a disaster.