Tests obligatoires/Module 5 : Conservation et destruction
De Maarch MoReq2.
INCOMPLET (To be continued)
Dans le canevas des cas de test, ceux-ci sont organisés de la manière suivante :
(en gras les exigences obligatoires)
| Catégorie du canevas | Cas de test inclus | Exigences correspondantes (dans l'ordre) |
|---|---|---|
| T5.1 : Règles de conservation/destruction | ||
| T5.1.1 : Créer des règles de conservation/destruction | T5.1.1.1 à 11 | |
| T5.1.2 : Attribuer des règles de conservation/destruction | T5.1.2.1 à 7 | |
| T5.1.3 : Exécution des décisions de conservation/destruction[1] | T5.1.3.1 à 4 | |
| T5.1.4 : Procédures de gel | T5.1.4.1 à 10 | |
| T5.1.5 : Modification et suppression des règles de conservation/destruction | T5.1.5.1 à 4 | |
| T5.1.6 : Autres | T5.1.6.1 à 5 | |
| T5.2 : Révision du sort final | ||
| T5.2.1 : Notifications et alertes | T5.1.1 à 8 | |
| T5.3 : Transfert, export et destruction | ||
| T5.3.1 : Export et transfert des documents et des agrégations | T5.3.1.1 à 18 | |
| T5.3.2 : Export | T5.3.2.1 à 5 | |
| T5.3.3 : Destruction | ||
Afin de faciliter le référencement entre la partie des exigences et celle des tests, nous utiliserons ci-après un plan basé sur les numéros des exigences.
Il est nécessaire, pour tous les tests de ce module, que le plan de classement TestClassificationScheme1(CS01) soit créé.
- Ch. 3 : Plan de classement
- Ch. 4 : Sécurité
- Ch. 5 : Conservation et destruction
- Ch. 6 : Capture
- Ch. 7 : Identification
- Ch. 8 : Recherche et restitution
- Ch. 9 : Administration
- Ch. 11 : Non fonctionnel
- Ch. 12 : Métadonnées
Règles de conservation/destruction
Prendre toutes les données de test du référentiel pour le test Module5/chapter T5.1.
Exécution :
- Étape 1 : Lire le chapitre 2 du document Test framework introduction avant de commencer le test.
- Étape 2 : Les cas de test sont désignés d'une manière qui vous autorise à sauter des cas de test lorsque cela est requis. Cela n'a pas d'impact immédiat sur les autres cas de test. Néanmoins, les résultats de certains cas de test peuvent être préconditionnés par d'autres. Dans ce cas, nous indiquons les références suivant les préconditions du cas de test. Veuillez prêter particulièrement attention aux préconditions de chaque cas de test.
5.1.1
T5.1.1.1 : Un rôle administrateur crée et maintien des régles de conservation et de destruction
Description : A user role attempts to create a retention and disposition schedule. A check is made to ensure that the ERMS denies a user role to create or maintain a retention and disposition schedule. Afterwards an administrative role creates a retention and disposition schedule.
Ensure that the administrative role can create and maintain a retention and disposition schedule.
5.1.2
T5.1.1.9 : Limitation du nombre de règles de conservation/destruction
Description : An administrative role creates ten retention and disposition schedules. Ensure that the ERMS allows this action.
Please note, that the corresponding requirement is partially testable. Therefore, an amount of retention and disposition schedules will be created here. The test case is passed if the amount is reached. For testing purposes we set the amount to ten.
5.1.4
T5.1.1.4 : Identifiant et titre unique
Description : Two retention and disposition schedules are created. A check is made to ensure that the ERMS assigns a unique identifier and allows assigning a unique title to each of them.
5.1.5
Idem 5.1.4.
5.1.6
T5.1.5.4 : Enregistrement des informations de modification et de suppression
Description : An administrative role changed and deleted a retention and disposition schedule. Ensure that the ERMS maintains an unalterable history of these actions including the date of the action and the user executing the action.
5.1.7
T5.1.5.3 : Changements d'attributions de règles de conservation/destruction
Description : A retention and disposition schedule is assigned to a class. The retention and disposition schedule is changed by an administrative role.
Ensure that the ERMS immediately assigns all changes to the class and file.
5.1.8
T5.1.5.2 : Modification et suppression des règles de conservation/destruction
Description : An administrative role changes a retention and disposition schedule. Ensure that the ERMS requires entering a reason and stores that reason in the audit trail.
5.1.9
T5.1.6.1 : Importation et exportation de règles de conservation/destruction
Description : An administrative role imports and exports retention and disposition schedules. Ensure that the ERMS is capable of doing so.
Please note, that the MoReq2 specification does not state which metadata will be imported and exported. Therefore this test case focuses on the import and export capability of the ERMS only.
5.1.10
T5.1.2.1 : Agrégations sans règle de conservation/destruction
Description : A classification scheme is created. An administrative role attempts to create a class, file, sub-file and volume without a retention and disposition schedule.
Ensure that the ERMS denies creating of aggregations without retention and disposition schedule.
5.1.12
T5.1.2.5 : Capture des documents directement dans une série
Description : An administrative role configured a class so that it can store records directly. A check is made to confirm that the ERMS denies capturing a record directly into that class without assigning a retention and disposition schedule.
5.1.13
Description : An administrative role configured a class so that it can store records directly.
Furthermore, the ERMS is configured to assign a default retention and disposition schedule to every new record stored directly in a class.
An administrative role captures a record directly in that class. Ensure that the ERMS automatically inherits down any retention and disposition schedule from the class to the record.
Please note, that we do not state how this will be achieved. There might be several configurations possible. This test case focuses only on the existence of a retention and disposition schedule of any record stored directly in a class.
5.1.14
Description : A classification scheme is created. All aggregations within a class of the classification scheme have a default retention and disposition schedule. A retention and disposition schedule is also assigned to a record type. An administrative role replaces the retention and disposition schedules of all aggregations and the record type.
Ensure that the ERMS allows this action.
Observation : Ce test classé obligatoire vérifie la modification à la fois d'une caractéristique obligatoire (attribution d'une règle pour une agrégation[2]) et celle d'une caractéristique optionnelle (attribution d'une règle pour un type de document [3]), ce qui rend l'exigence optionnelle 5.1.15 de facto obligatoire, ce qui est contraire aux exigences du MoReq2. À débattre et trancher.
5.1.16
T5.1.2.7 : Attribution de règle de conservation/destruction
Description : A retention and disposition schedule has already been assigned by default to a class, file, sub-file and volume. Ensure that an administrative role can assign another retention and disposition schedule to these aggregations.
5.1.17
Description : The user documentation is checked to find out if the retention and disposition schedule of a record is governed by the retention and disposition schedule of the parent and of the record type.
5.1.18
T5.1.1.6 : Héritage des règles de conservation/destruction
Description : A check is made to confirm that an administrative role can create a retention and disposition schedule and mark it as to be inherited down the hierarchy of the classification scheme.
Please note that the MoReq2 specification does not state how this is achieved (see chapter 5.1). Therefore, please ask the vendor for your option.
5.1.19
Description : An administrative role attempts to store retention and disposition schedules without a retention period and trigger or disposition date. A check is made to ensure that the ERMS denies this action.
Afterwards another check is made to ensure that the ERMS allows an administrative role to assign to one of them a retention period and a trigger event and to the other a disposition date.
5.1.20
T5.1.1.3 : Les règles de conservation et de destruction incluent un sort final et une motivation
Description : There are two retention and disposition schedules partially created (a title, a retention period and a trigger or a disposition date are assigned). An administrative role attempts to store both retention and disposition schedules without assigning a disposition action and a reason. A check is made to ensure that the ERMS denies this action.
Afterwards an administrative role assigns a disposition action and a reason to both of them.
Please note, the retention and disposition schedules Rds_Test1a (RDSa01) and Rds_Test2a (RDSa02) are not stored at this testing stage.
5.1.22
T5.1.3.1 : Achèvement de la durée de conservation
Description : A retention and disposition schedule is assigned to a record. The disposition decision requires presenting for review. The retention period of one retention and disposition schedule is reached. A check is made to ensure that the ERMS automatically initiates the processing of the disposition decision and notifies the administrative role that a review action becomes due.
5.1.23
T5.1.3.3 : Détection de conflits
Description : There are two retention and disposition schedules in force for a class and all its entities. One of the retention and disposition schedules becomes due.
Ensure that the ERMS recognises that a conflict arises and automatically informs an administrative role. The administrative role indicates which disposition decision takes precedence.
5.1.24
T5.1.1.7 : Choix des actions de conservation
Description : A check is made to ensure that the ERMS provides all disposition actions respectively to the MoReq2 specification.
5.1.25
T5.1.1.8 : Choix d'une combinaison d'événements déclencheurs et de périodes de conservation
Description : A check is made to confirm that the ERMS allows the combination of trigger events and retention periods respectively to the MoReq2 specification.
5.1.26
T5.1.1.11 : Durée de conservation supérieure à 100 ans
Description : A check is made to confirm that the ERMS allows creating retention and disposition schedules with a retention period of 101 years.
Please note, that the corresponding requirement is partially testable. Therefore, a retention period of 101 years is used for testing purposes and the test case is passed if the ERMS supports a retention period of this length.
5.1.27
T5.1.1.10 : Durée de conservation jusqu'à 100 ans
Description : A check is made to ensure that the ERMS allows creating retention and disposition schedules with a retention period of up to 100 years.
Please note, that the corresponding requirement is partially testable. Therefore, an amount of retention and disposition schedules will be created here. The test case is passed if the amount is reached. For testing purposes we set the amount to ten.
5.1.28
Idem 5.1.1.
5.1.29
Description : A retention and disposition schedule became due and the ERMS processes the disposition action.
Checks are made to ensure that the ERMS notifies an administrative role about the automatic disposition action and records the disposition action in the audit trail.
5.1.30
Idem 5.1.22.
5.1.31
T5.1.3.2 : Déléguer l'action de révision à un rôle de réviseur
Description : The ERMS notified an administrative role about a review action which became due.
Ensure that the administrative role can delegate this action to a reviewer role for action.
5.1.32
T5.1.5.1 : Capacité à modifier les règles de conservation/destruction
Description : An administrative role changes a retention and disposition schedule (apart from the unique identifier). Ensure that the ERMS allows this action.
5.1.33
T5.1.6.2 : Déplacer des dossiers et des documents entre des séries
Description : An administrative role moves files and records between classes. Ensure that the ERMS offers options for the handling of retention and disposition schedules.
5.1.34
T5.1.4.1 : Définir des procédures de gel
Description : A check is made to ensure that the ERMS allows an authorised user role to place a disposal hold on a class, file, sub-file and volume.
5.1.35
T5.1.4.3 : Impact sur la période de conservation
Description : A disposal hold is placed on a class. A check is made to ensure that the ERMS does not prevent the retention period from running and completing.
5.1.36
T5.1.4.4 : Décisions de destruction et de suppression
Description : A disposal hold is placed on a class. An administrative role attempts to delete entities within that class. Ensure that the ERMS denies any attempt to delete entities that are subject to a disposal hold.
Beside that, the disposition period is reached. Ensure that the disposal hold prevents executing the disposition decision.
5.1.37
T5.1.6.5 : Restriction de la suppression de procédures de gel aux utilisateurs autorisés
Description : An unauthorised user and an authorised user attempt to remove a disposal hold from a class. Ensure that only the authorised user succeeds.
5.1.38
T5.1.4.2 : Information sur les procédures de gel dans le journal d'événements
Description : An authorised administrative role places and removes a disposal hold on a class. A check is made to ensure that the ERMS captures and stores information about the date, identity of the user and the manually entered reason in the audit trail.
T5.1.4.5 : Information sur les procédures de gel dans les métadonnées
Description : A disposal hold is placed on a file and afterwards removed.
Ensure that the ERMS stores information about the date, identity of the user and the manually entered reason in the metadata.
Révision du sort final
Prendre toutes les données de test du référentiel pour le test Module5/chapter T5.2.
Exécution :
- Étape 1 : Lire le chapitre 2 du document Test framework introduction avant de commencer le test.
- Étape 2 : Les cas de test sont désignés d'une manière qui vous autorise à sauter des cas de test lorsque cela est requis. Cela n'a pas d'impact immédiat sur les autres cas de test. Néanmoins, les résultats de certains cas de test peuvent être préconditionnés par d'autres. Dans ce cas, nous indiquons les références suivant les préconditions du cas de test. Veuillez prêter particulièrement attention aux préconditions de chaque cas de test.
5.2.2
T5.2.1.2 : Aide au processus de révision
Description : Ensure that the ERMS presents the aggregation to be reviewed together with its metadata and retention and disposition schedule information.
5.2.3
T5.2.1.8 : Maintien du lien entre les différentes conversions d'un fichier
Description : A record exists for which there are two renditions. Ensure that the ERMS is able to maintain links between the different renditions and to enable disposition actions to be carried out on them simultaneously.
5.2.4
T5.2.1.3 : Actions sur les agrégations
Description : Ensure that the ERMS enables a reviewer to take actions on aggregations during review.
5.2.5
Description : A check is made to ensure that the ERMS records the date of a review.
5.2.6
T5.2.1.4 : Saisie d'une raison pour la décision de révision
Description : Ensure that the ERMS presents the aggregation to be reviewed together with its metadata and retention and disposition schedule information.
5.2.7
T5.2.1.6 : Journal inaltérable des décisions prises par un réviseur
Description : Ensure that the ERMS maintains an unalterable history of all decisions taken by a reviewer during a review, including reasons.
Transfert, export et destruction
Prendre toutes les données de test du référentiel pour le test Module5/chapter T5.3.
Exécution :
- Étape 1 : Lire le chapitre 2 du document Test framework introduction avant de commencer le test.
- Étape 2 : Les cas de test sont désignés d'une manière qui vous autorise à sauter des cas de test lorsque cela est requis. Cela n'a pas d'impact immédiat sur les autres cas de test. Néanmoins, les résultats de certains cas de test peuvent être préconditionnés par d'autres. Dans ce cas, nous indiquons les références suivant les préconditions du cas de test. Veuillez prêter particulièrement attention aux préconditions de chaque cas de test.
5.3.1
T5.3.2.5 : Export de documents dans un format compatible avec le schéma XML MoReq2
Description : The MoReq2 XML schema has been published. Ensure that the ERMS is able to export records in a form compliant with this schema.
5.3.2
T5.3.1.18 : Export et transfert de documents contenant des composants
Description : A record consisting of several components is exported or transferred. Ensure that the ERMS exports or transfers all its components and that it preserves the correct relationship between them.
5.3.3
T5.3.1.1 : Processus de transfert de documents
Description : An administrative role intends to transfer records. A check is made to ensure that the process is well defined.
5.3.5
T5.3.1.2 : Transfert et export d'agrégations et de documents
Description : An administrative role transfers a class that includes several aggregations and records together with their metadata and audit trail information. Ensure that the transferred output includes all selected information.
5.3.7
T5.3.1.3 : Export et transfert des documents avec les règles de conservation/destruction
Description : A check is made to ensure that an administrative role exports and transfers a set of records together with their associated retention and disposition schedules and that the administrative role can print a report that shows the retention and disposition schedule of each entity and the characteristics of these schedules.
5.3.8
T5.3.1.4 : Export et transfert des documents avec les contrôles d'accès
Description : A check is made to ensure that an administrative role can export and transfer a set of records together with their access controls and that the administrative role can print a report that shows the access controls of each entity and the characteristics of the schedules.
5.3.9
T5.3.1.14 : Export de dossiers ou de séries en une seule opération
Description : A class and a file are exported. Ensure that the ERMS is able to perform the export in one sequence of operations, such that:
- the content and structure of its electronic records are not changed;
- all components of an electronic record, (when the record consists of more than one component) are exported as one unit
- all links between the record and its metadata and audit trails are retained;
- all links between classes, files, sub-files, volumes and records are retained so that they can be reconstituted in the receiving ERMS;
T5.3.1.15 : Transfert de dossiers ou de séries en une seule opération
Description : A class and a file are transferred. Ensure that the ERMS is able to perform the transfer in one sequence of operations, such that:
- the content and structure of its electronic records are not changed;
- all components of an electronic record, (when the record consists of more than one component) are exported as one unit
- all links between the record and its metadata and audit trails are retained;
- all links between classes, files, sub-files, volumes and records are retained so that they can be reconstituted in the receiving ERMS;
5.3.10
T5.3.1.5 : Export de dossiers et volumes qui incluent des pointeurs
Description : A file, sub-file and a volume include pointers to records stored in another file. An administrative role exports the file and the volume. A check is made to ensure that the ERMS exports the file, sub-file and volume together with the complete record.
5.3.11
T5.3.1.6 : Vérification du format des documents exportés et transférés (I)
Description : A check is made to ensure that the ERMS is able to export and transfer records in the format in which the record was captured.
5.3.12
T5.3.1.7 : Vérification du format des documents exportés et transférés (II)
Description : A record is rendered into another format. A check is made to confirm that the ERMS is able to export and transfer the record in the rendered format, too.
5.3.13
T5.3.1.8 : Migrer les documents dans un format spécifié
Description : An administrative role marks a record for exports and transfers. Ensure that the ERMS can migrate the record into a specified transfer format (e.g. an approved XML format).
Please note that MoReq2 does not specify the transfer format. For testing it suffices that an opportunity is given to do so.
5.3.14
T5.3.1.9 : Transférer les documents sans confirmation d'un processus de transfert réussi
Description : An administrative role transfers a class. A check is made to ensure that the ERMS retains all information until a confirmation of a successful transfer process is received.
5.3.15
T5.3.1.10 : Transférer les documents avec confirmation d'un processus de transfert réussi
Description : A class was transferred. The transfer process was confirmed successfully. A check is made to ensure that the ERMS destroyed the class and its entities, save for metadata that is retained as a stub.
Please note that we do not state how the confirmation of a successful transfer process takes place. This may depend on the test environment. Ask the vendor for your options.
5.3.16
T5.3.2.1 : Export d'une série entière du plan de classement
Description : A check is made to confirm that the ERMS allows a user to export an entire class of the classification scheme, ensuring that:
- The relative location of each file in the classification scheme is maintained, so that the file structure can be reconstructed
- Sufficient metadata to rebuild the whole parent class branch is retained and moved with the content of the class.
5.3.18
T5.3.3.1 : Conversion de documents
Description : A record is rendered into another format. A check is made to confirm that the ERMS destroys all renditions of that record marked for destruction.
5.3.19
Idem 5.3.20.
5.3.20
T5.3.1.11 : Contenu d'une métadonnée témoin
Description : A class was transferred successfully. Ensure that the ERMS retains a metadata stub according to the metadata model of the MoReq2 specification for the following elements:
- classes
- files
- sub-files
- volumes
- records stored directly in a class.
Another check is made to ensure that the metadata stub includes at least:
- Date destroyed or transferred
- Fully qualified classification code
- Title
- Description
- User responsible for destruction or transfer
- Reason for destruction or transfer
5.3.21
Description : A check is made to confirm that the ERMS allows an administrative role to specify additional metadata elements which will be retained as metadata stub.
5.3.22
T5.3.2.4 : Export de métadonnées témoins
Description : The ERMS exports a record. Ensure that the ERMS is able to export metadata stubs.
5.3.23
T5.3.2.1 : Export d'une information plus d'une fois
Description : A check is made to ensure that the ERMS allows the export of information more than once.
Notes
- ↑ Please note: The test focus of the following chapter lies on the initiation of a disposition decision. This initiation depends on the assigned retention period or a disposition date. For testing purposes it is not practical to wait for the passage of a specified period of time until the disposition action comes up. There must be a method of initiating the disposition decision within a practical period of time, e.g. by advancing the system date. Ask the ERMS vendor about your options. If no such option is available, use a passage of a specified period of time which is no longer than a few days. Whichever approach is chosen, the following test cases use the term initiate the retention mechanism to describe this procedure.
- ↑ 5.1.10.
- ↑ 5.1.15.
