Principles of Filing Service in View of the New MoREQ2 Standard

LUCIA STEFAN

Moreq2 : What it really is?

Moreq2 is the European model requirements for an electronic records management system

It is the European equivalent of the US DOD 5015.2 standard and of British TNA 2002 Requirements

Moreq2 describes the capabilities of an electronic system that manage records

Why we need a model requirements for managing electronic records?A record is information created, received ad

maintained as evidence of transactions (ISO 15489)

Electronic records are object composed :ContentMetadataContext

What is a record?A record should be (ISO 15489):

Authentic: what it claims to be

Reliable: content can be trusted as a truthful representation of facts, transactions ,etc

Possessing Integrity: being complete and unalterated

Useable

From document to recordThe creation/capture of a record:

What implies records management?To maintain the characteristics of records, they need

to be managed for:

Usability and Design and performance

Compliance with legislation and standards

Taxonomy: fileplans, controlled vocabularies, naming,

Metadata: for organisation, search, archival, legal

What implies Records ManagementTo maintain the characteristics of electronic

records, they need to be managed and subject to the following processes:

Record organisation (classification schemes)Record capture, declaration and managementSearch, display and presentationRetention and disposal Access Control and SecurityAudit and Reporting

What is the DLM Forum?DLM Forum was created in 1991 as an association

of experts for creating unified polices and management of archives within the European Union

In 1999 the DLM Forum published a message to the IT industry to cooperate with records managers and archivists in designing systems for electronic records management systems and archival

Moreq was designed to be a practical specification for the management of records and published in 2002

Moreq2 was published recently (early 2009)

What is Moreq2?Moreq2 consist of :

The requirements specification:

Testing framework

XML schema

Chapter 0 (zero) specific to each country

Moreq2 Requirements Specification:MoReq2 consists of “core module” plus 13

“optional modules”Core module contains “pure” records

management requirements Optional modules contain functionality needed

for managing electronic records Compliance with MoReq2 will require compliance

with all core module mandatory requirements; Compliance with optional modules will be optional

In total 794 requirements

Moreq2 Compliance: The Test FrameworkECM systems compliance will be tested

Will allow users to procure Moreq2 software

Test Framework developed by the German company Imbus AG

The Moreq2 certificate of compliance will be recognised all over Europe

Compliance to Chapter Zero will not be tested (not yet!)

Moreq2 Compliance: The Test Framework

Moreq2 Compliance: The Test FrameworkWho will use testing?

Users:as a basis to prepare an invitation to tenderpreparing acceptance testing for an existing ECMacademic institutions: as a teaching resource

ECM suppliersto create ECM systems Moreq2 compliantto test their product for Moreq2 compliance

What will testing bring for ECM suppliers?A Moreq2 certified ECM supplier will be:

trusted by Users as the certification will act as mark of quality and capability

able to sell all over Europe, as records management requirements are standardised

Consequently,The ECM market will consolidate

Chapter Zero: the challengeMoreq2 standard should apply to all European

countries

But European countries have different:understanding of records management and archival

legislation on records management and archival

levels of implementation of information technologies

Chapter zero of each country may become critical for the wider acceptance of Moreq2

Chapter zero: the challengeDocument have two states: active and inactiveNo distinction between records and documentsActive records created and managed by users,

usually administrative staffDocument management rules dictated by

administrative needsRetention schedules may or not existInactive documents sent to National ArchivesNo records management function, only an archival

oneMost European countries use this model

Chapter Zero: the challenge The Lifecycle which is used by Moreq2:

Is Based on birth to death lifecycle Record lifecycle events:

creation, maintenance disposal (destruction or archival)

Time is linear and sequential Defines differences between document and record Introduce the records management function Introduces retention concept Archival take place at the end of lifecycle

The lifecycle of a record

Chapter Zero: the challengeImplementation of Moreq2 implies a tacit

acceptance of the lifecycle model. Many European countries will have to:

switch from the administrative model to the lifecycle model

develop a chapter zero for Moreq2 compliance with their legislation

bring new legislation to become aligned to Moreq2change legislation in some cases, to avoid clashing

with Moreq2introduce a new terminology, key concepts and

new ways of working

Chapter zero: the challengeTo conclude:ECM suppliers will need to comply with Moreq2 but

also with local legislation expressed in each European country Chapter Zero

Users will make the most of Moreq2 as a generic specification for procuring an ECM.

Users will need to add extra requirements in terms of other functions, performances, user roles, security, etc that are not specified in Moreq2

Questions?

Lucia Stefan

EmailLlucia.stefan@uclmail.netInfo.archiva@uclmail.net