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Moreq2 SPECIFICATION MODEL REQUIREMENTS FOR THE MANAGEMENT OF ELECTRONIC RECORDS UPDATE AND EXTENSION, 2008 MoReq2 SPECIFICATION This specification has been prepared for the European Commission by Serco Consulting with funding from the IDABC programme MODEL REQUIREMENTS FOR THE MANAGEMENT OF ELECTRONIC RECORDS UPDATE AND EXTENSION, 2008 MoReq2 SPECIFICATION This specification is available in electronic form at the following urls: http://dlm-network.org/moreq2 http://ec.europa.eu/transparency/archival_policy and other websites. Translations into selected languages are expected to be available at these sites. It is also available in paper form from the Office for Official Publications of the European Communities as INSAR Supplement VIII. © CECA-CEE-CEEA, Bruxelles- Luxembourg, 2008 Reproduction autorisée, sauf à des fins commerciales, moyennant mention de la source. Reproduction is authorised, except for commercial purposes, provided the source is acknowledged. Legal notice: The copyright of this publication is owned by the European Communities. The European Commission does not guarantee the accuracy of the information included in this report, nor does it accept any responsibility for any use made thereof. Neither the European Communities and/or their institutions nor any person acting on their behalf shall be held responsible for any loss or damage resulting from the use of this publication. MoReq2 Specification Contents PREFACE: MOREQ2 ............................................................................................................. 1 1. INTRODUCTION ........................................................................................................... 2 1.1 Background................................................................................................... 2 1.2 Relationship between MoReq and MoReq2 .................................................. 2 1.3 Purpose and Scope of this Specification ....................................................... 3 1.4 What is an ERMS? ........................................................................................ 3 1.5 For what can this Specification be used? ...................................................... 4 1.6 Intellectual Property Rights ........................................................................... 5 1.7 Emphasis and Limitations of this Specification .............................................. 5 1.8 Considerations for Individual Member States ................................................ 6 1.9 Customising this Specification....................................................................... 6 1.10 Organisation of this Specification .................................................................. 7 1.11 Compliance Testing ...................................................................................... 8 1.12 Mandatory and Desirable Requirements ....................................................... 9 1.13 Comments on this Specification .................................................................... 9 2. OVERVIEW OF ERMS REQUIREMENTS ................................................................... 10 2.1 Key Terminology ......................................................................................... 10 2.2 Key Concepts ............................................................................................. 13 2.3 Entity-Relationship Model ........................................................................... 19 3. CLASSIFICATION SCHEME AND FILE ORGANISATION .......................................... 23 3.1 Configuring the Classification Scheme ........................................................ 24 3.2 Classes and Files........................................................................................ 28 3.3 Volumes and Sub-Files ............................................................................... 31 3.4 Maintaining the Classification Scheme ........................................................ 34 4. CONTROLS AND SECURITY ..................................................................................... 40 4.1 Access ........................................................................................................ 40 4.2 Audit Trails .................................................................................................. 45 4.3 Backup and Recovery ................................................................................. 48 4.4 Vital Records .............................................................................................. 49 5. RETENTION AND DISPOSITION ................................................................................ 52 5.1 Retention and Disposition Schedules .......................................................... 52 5.2 Review of Disposition Actions ..................................................................... 60 5.3 Transfer, Export and Destruction ................................................................ 62 6. CAPTURING AND DECLARING RECORDS ............................................................... 68 6.1 Capture ....................................................................................................... 68 6.2 Bulk Importing ............................................................................................. 78 6.3 e-Mail Management .................................................................................... 80 6.4 Record Types ............................................................................................. 85 6.5 Scanning and Imaging ................................................................................ 86 Version 1.04 8 September 2008 Page i MoReq2 Specification 7. REFERENCING ........................................................................................................... 91 7.1 Classification Codes ................................................................................... 93 7.2 System Identifiers ....................................................................................... 96 8. SEARCHING, RETRIEVAL AND PRESENTATION ..................................................... 98 8.1 Search and Retrieval .................................................................................. 98 8.2 Presentation: Displaying Records ............................................................. 104 8.3 Presentation: Printing ................................................................................ 105 8.4 Presentation: Other ................................................................................... 107 9. ADMINISTRATIVE FUNCTIONS ............................................................................... 108 9.1 General Administration.............................................................................. 108 9.2 Reporting .................................................................................................. 109 9.3 Changing, Deleting and Redacting Records .............................................. 114 10. OPTIONAL MODULES .............................................................................................. 119 10.1 Management of Physical (Non-electronic) Files and Records ................... 120 10.2 Disposition of Physical Records ................................................................ 124 10.3 Document Management and Collaborative Working ................................. 124 10.4 Workflow ................................................................................................... 130 10.5 Casework .................................................................................................. 134 10.6 Integration with Content Management Systems ........................................ 139 10.7 Electronic Signatures ................................................................................ 143 10.8 Encryption ................................................................................................. 146 10.9 Digital Rights Management ....................................................................... 147 10.10 Distributed Systems .................................................................................. 149 10.11 Offline and Remote Working ..................................................................... 152 10.12 Fax Integration .......................................................................................... 154 10.13 Security Categories ................................................................................... 156 11. NON-FUNCTIONAL REQUIREMENTS ..................................................................... 163 11.1 Ease of Use .............................................................................................. 164 11.2 Performance and Scalability ..................................................................... 169 11.3 System Availability .................................................................................... 172 11.4 Technical Standards ................................................................................. 173 11.5 Legislative and Regulatory Requirements ................................................. 174 11.6 Outsourcing and Third Party Management of Data ................................... 175 11.7 Long Term Preservation and Technology Obsolescence .......................... 177 11.8 Business Processes .................................................................................. 181 12. METADATA REQUIREMENTS .................................................................................
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