Beyond the 2002 functional requirements

The National Archives has ceased testing electronic records management systems based on the 2002 Functional Requirements. We are currently contributing to the development of a new European standard: the revision of the Model requirements for the management of electronic records (provisionally called MoReq2).

For the latest information on the development of MoReq2, please visit: http://www.MoReq2.eu

Revised Model requirements for the management of electronic records (MoReq2)

The Document Lifecycle Management (DLM) Forum and the European Commission have commissioned a revised European standard, following on from the 2001 publication: Model requirements for the management of electronic records (MoReq which can be seen at http://europa.eu.int/idabc/en/document/2631/5585). When the new standard is published towards the end of 2007, The National Archives will consider it as a successor to the 2002 Functional Requirements.

The National Archives will play an active role as members of the DLM Forum in reviewing the development of MoReq2 and providing expert advice to the European Commission on request.

MoReq2 will be available for review during 2007. The standard will include both requirements and test scripts and it is understood that the DLM Forum will source an appropriate testing regime where ERMS suppliers will be able to submit their products for assessment.

Provision has been made within the design of MoReq2 for each nation to set out their specific juridical and environmental needs in the form of a Chapter Zero. The National Archives will consider the need for a UK Chapter Zero once the draft standard is available for review.

What will the situation be before MoReq2 is published?

Until MoReq2 is published, the 2002 Functional Requirements will remain the recommended standard for use in the UK. The National Archives' decision to bring its ERMS testing programme to a close was made at a time when the 2002 Functional Requirements were due for revision, but until a new standard has been defined and deemed to be a suitable successor, these requirements remain the most relevant. At present, the 2002 Functional Requirements continue to be supported and they have not been withdrawn or superseded.

Our advice to ERMS Suppliers

The 2002 Requirements, formal test scripts and associated Rationale documentation (created to help explain the reasoning behind each of the requirements) can be used as a baseline for evaluating the capability of electronic records management solutions. Vendors are still encouraged to develop ERMS solutions to meet the 2002 Functional Requirements, but products will not be formally tested or approved by The National Archives.

Vendors and users wishing to develop or implement compliant systems may wish to consider using independent third parties to carry out evaluations, running the test scripts and providing reports on the behaviour observed. It must be emphasised that were this to be done, it would have to be transparent that the test scripts were performed in chronological order and entirely in sequence, particularly for the core requirement test scripts - if this is not done, it is likely that there will be questions regarding interdependencies between different functional requirements. Although any resulting reports would not be approved by The National Archives, they could nevertheless be used to document proposed product functionality and circulated to potential customers.

It must be stressed that The National Archives will not be involved in any way with independent ERMS product assessments. We cannot act as an appeal board for these evaluations, neither will we be involved in reviewing or endorsing reports. However, we will continue to offer guidance and advice regarding interpretation and application of specific functional requirements, as we have done throughout the active life of the test scheme.

The Functional Requirements for Electronic Records Management (revised 2002) were initially developed for central government organisations but have a wider application to all public authorities that are subject to the Freedom of Information Act 2000. All public authorities are advised to reference the functional requirements when developing their own specification for records and information management solutions.
 
The procedures and rules that govern procurement within government and the public sector apply equally to the procurement of EDRM solutions, and the adoption of ERM or EDRM products that have been approved by The National Archives is not mandated. Organisations procuring EDRM solutions need to examine all relevant solutions and whilst The National Archives approval may be factor in such an assessment, it should not be the deciding one.