Organizations have long recognized the many benefits of using computer technology to manage documents and records. What? You didn't know that there was a difference? The market place has made a distinction between systems that manage "documents" and those that manage "records" for the last ten years or so. Here are some definitions that might .help, though. They are taken from the recently approved (July 2004) Technical Report - Framework for Integration of Electronic Document Management Systems and Electronic Records Management Systems, ANS1/AIIM/ARMA TR48. (2004 by AIIM and ARMA International.)

Electronic Document Management

The electronic management of electronic documents contained in an information technology system, using computer equipment and software to manage, control, locate, and retrieve information in the electronic system.

Electronic Records Management

The electronic management of electronic and non-electronic records contained in an information technology system using computer equipment and software according to accepted principles and practices of records management.

As you can see, the two definitions are very similar, with the major distinction being that Electronic Records Management Systems (ERMS) manage both electronic and physical records, such as paper, audio tapes and other records.

Electronic Document Management Systems (EDMS) have been in wide use for the last ten-plus years, and offer particular advantages for transaction-oriented requirements. They typically are easily justified if they include workflow capabilities that automate business processes and provide a good return on investment based on improved productivity. EDMS systems have become a key part of how many organizations deal with the tremendous growth of documents generated over the last fifteen years. They manage paper documents by scanning them and converting them to electronic documents, and also manage computer reports using Enterprise Report Management components. They also manage "born digital" documents, such as Microsoft Office documents such as those generated by Word, Excel and PowerPoint, as well as e-mails. EDMS systems typically provide these various functions with modules that are tightly integrated, including workflow modules. All of which can usually be purchased separately.

ERMS systems have been available for a number of years as well, but originally only managed paper-based documents, with a focus on managing large records centers. Functionality included indexing of box locations, pick lists for destruction, and the retrieval of records for transfer back to the users, as well as other functions. It has only been within the last several years that we have seen ERMS systems offer the management of electronic records as well. And even today, some only manage electronic records; others manage only physical records, while the more robust systems manage both.

As electronic records became more prevalent, ERMS have evolved to provide for the management of records based on sound records management practices, such as retention and destruction, authenticity and legal admissibility. Initially e-mail management was a key focus of ERMS. Now more and more organizations recognize that management of all records plays a key role in compliance with industry and formal standards for a sound records management program that manages both electronic and physical records.

The U.S. Department of Defense developed and approved the Design Criteria Standard for Electronic Records Management Software Applications, DoD 5015.2 STD in 1997. 5015.2 describes the minimum records management requirements for ERMS solutions. The DoD standard has gained acceptance in both government and commercial companies, and is routinely referenced in many Requests for Proposal and contracts for EDMS as well as ERMS procurements. This has helped to drive the integration of both types of systems, and had helped promote sound records management principles in the more prevalent EDMS systems.

Early in the evolution of ERMS most of the products meeting DoD 5015.2 were stand-alone, and did not provide a lot of the same functionality as EDMS systems. As the requirement for 5015.2 compliance drove the development efforts of both EDMS and ERMS vendors, many of them integrated their products to provide a complete solution providing the functionality of both. Other vendors added ERMS modules to their EDMS products, and today many of the stand-alone ERMS vendors have been purchased by the larger EDMS vendors as the market continues to consolidate. As a result of this consolidation, several of the key players in the EDMS space now offer ERMS components that can be added to their offering, such as IBM, Stellent, OpenText, Hummingbird, Documentum and Hyland/OnBase. While this is by no means a complete list, it illustrates how many of the more traditional EDMS vendors have recognized the convergence of EDMS and ERMS. And even Microsoft has teamed with Tower Software to integrate a records management product with their offerings.

Integrated EDMS and ERMS systems provide a transparent view for users, who typically don't care where documents and records are housed as long as they are available in a timely manner. When the two systems are integrated they share much of the functionality that heretofore was only available in one or the other, and more importantly they have a common metadata structure that provides comprehensive information about the documents and records. Similar functions include the capture of documents as they are created or received, which includes paper documents, e-mail and other "born digital" documents. These documents can then be edited, shared and annotated before they are declared a "record" in the ERMS component. Once they are a record, they then can be retrieved for further modification and creation of new records, but the original record cannot be modified.

Once a document becomes a record it is associated with a retention schedule embedded in the database, and the ERMS component manages the final disposition of the document, whether it be permanent storage or destruction. Records that are destroyed must have any metadata associated with them deleted as well. Both the EDMS and ERMS components also provide the collection of metadata that is used for tracking, management reporting and an audit trail to provide authenticity and support legal admissibility.

EDMS systems have always provided indexing for documents (how else would you find them?) but EDMS/ERMS systems also provide classification of records, filing structures, copyright information and so on. The integrated systems provide security controls that not only limit access, but also ensure that records are not destroyed without the proper authorization. In addition, records check-in and check-out is supported for improved version control.

Other functionalities of integrated EDMS/ERMS systems include searching and retrieval, migration, and workflow capabilities.

The growth of ERMS software solutions has undoubtedly been fueled by recent highly visible failures to comply with sound records management practices, such as Enron and Arthur Anderson. Use of a solid EDMS/ERMS system might have prevented the destruction of their key business records, and ultimately could have saved shareholders millions of dollars. And today's regulatory requirements, such as HIPAA and Sarbanes Oxley, emphasize the need for managing records consistent with industry best practices. So while the use of an EDMS system provides much in the way of managing and processing documents, an integrated EDMS/ERMS solution better protects business records, one of the most valuable assets of any organization.

Bill Neale is VP of Business Development and a Senior Consultant foreVisory (www.evisory.com), an enterprise content management, work process improvement and portal software technologies consulting service. He can be reached at 804-342-7400 or bill.neale@eVisory.com.