Electronic records management capability system—Part 1:General requirements
Some standard content:
ICIS03.120.20
National Standard of the People's Republic of China
GB/T 39755.1—2021
Electronic records management capability system-Part 1:General requirements
Published on 2021-03-09
State Administration for Market Regulation
National Administration of Standardization
Published
Implemented on 2021-10-01
GB/T 39755.1—2021
Foreword
Scope
Normative referenced documents
Terms and definitions
Abbreviations
General principles
Electronic document management capability system
5.2 Electronic document management capability framework
6 Electronic document management capability requirements
Overall capability
Organization operation capability
Document control capability
Information service capability…
Technical implementation capability·
References
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Foreword
GB/T 3S755\Electronic document management capability system" is divided into the following two parts: Part 1: General requirements;
Part 2: Evaluation specifications.
This part is Part 1 of GB/T39755: This part was drafted in accordance with the rules given in GB/T1.12009. This part was proposed and managed by the National Cryptography Administration. GB/T39755.1—2021
The drafting units of this part are: Tsinghua University, Electronic File System Testing Center of Renmin University of China, Beijing New Guoxin Software Evaluation Technology Co., Ltd. (National Electronic Government System Quality Supervision and Inspection Center), Huajing Digital Certification Co., Ltd., Changcheng Network Technology Co., Ltd., Tongjia Information Center Software Evaluation Center. The main drafters of this part are: Xue Sixin, Du Xiaonan, Ben Li, Shao Sen, Ben Cuncai, Wen Yuzhong, Yuan Yigou, Ji Shuli, Xue Zheni, Zhang Jing, Zhang Ru, Liu Zhong, Liu Xinzhi, Li Tong, Yang Yan, Gong Gaijiao, Zhang Xiao, Chi Su Wenzheng, Yang Fenghua, Yu Ling, Tian Na, Yao Heng, Niu Le, Luo Jiajing, Chen Xiang, Guo Peng, Xu Hua, Li Yuedong, Shang Fenyu. rrKaeerkAca-
GB/T 39755.1—2021
Introduction
Documents are strategic information resources of the country, evidence of the business process of the organization, carriers of data and information, and important tools for national governance, economic operation, social operation, and historical inheritance in the information age. Scientifically-managed electronic documents are a fundamental, long-term, and important part of the national governance in the new era, and are an important part of the national cyber power strategy and informatization strategy. The CPC Central Committee and the State Council attach great importance to the management of electronic documents. In 2009, the National Inter-ministerial Joint Conference on Electronic Document Management (hereinafter referred to as the Joint Conference) system was established, and the Office of the National Inter-ministerial Joint Conference on Electronic Document Management (hereinafter referred to as the “National Inter-ministerial Joint Conference Office”) is located in the National Bureau of Document Management. Guided by Xi Jinping’s Thought on Socialism with Chinese Characteristics for a New Era, the Joint Conference and its Office conscientiously implement the strategy of building a strong country in cyberspace and the strategy of informatization, strengthen the guidance of standards and demonstration, and promote the deep integration of national policies and guidelines on electronic document management and grassroots business work. It is an urgent need to promote the modernization of the national governance system and governance capacity, and an important measure for institutions to reduce management costs, improve work efficiency, support business handling, retain business vouchers, accumulate digital assets, preserve information resources, provide knowledge services and inherit historical culture. Party and government organs, enterprises, institutions, people's organizations and other organizations should fully realize the importance of improving their electronic document management capabilities and give full play to the role of electronic documents in strengthening organizational management and promoting This part is an important part of my country's electronic document management standard system, which aims to guide institutions to establish an electronic document management capability system and promote institutions to effectively improve the level of electronic document management work. -riKacerkAca-
1 Scope
Electronic document management capability system
Part 1: General requirements
GB/T39755.1—2021
This part of GB/T39755 specifies the requirements of institutions The standard of electronic document management and the organizational operation, document control, information service and technical realization capabilities that institutions should have when carrying out electronic document management. This part is applicable to institutions strengthening the construction of electronic document management capabilities, as well as the inspection, evaluation and supervision of electronic document management capabilities of institutions:
2 Normative referenced documents
The following documents are indispensable for the application of this document. For all referenced documents with dates, only the versions with dates apply to this document. For all referenced documents without dates, the latest versions (including all amendments) apply to this document. GB/T 18804
GB/T22239
GB/T25070
Specification for electronic document archiving and electronic archive management Information security technology Network security level protection Basic requirements Information security technology Network security level protection Extended security design technical requirements GB/T 28827.1
GB/T 28827.2
GB/T 28827.3
GB/T 29194
GB/T33190
Information technology services
Information technology services
Information technology services
Operation and maintenance Part 1: General requirements
Part 2: Delivery specifications
Operation and maintenance
Operation and maintenance,
Part 3: Emergency response specifications
General support requirements for electronic document management systems Electronic document storage and exchange format definition file GB/T 34960.1
Information technology service governance, Part 1: General requirements DA/T46—2009 Metadata scheme for document-type electronic documents ISO23c81-2 Information and documentation metadata management Part 2: Conceptual and implementation issues (Information and documentation metadata management Part 2: Conceptual and implementation issues) 3 Terms and definitions
The following terms and definitions apply to this document. 3.1
Electronic records management (
clcctronic rccords management) is an activity that manages the entire process of the formation, processing, archiving, storage, maintenance and provision of electronic records at all stages of the electronic record life cycle. Note: The purpose of electronic record management is to support the reduction of management costs, improve work efficiency, support business processing, retain business vouchers, accumulate digital assets, preserve information resources, provide knowledge services and inherit historical culture. 3.2
Electronic records management organization
Electronic records management organization is a group of full-time or part-time electronic record management members in an organization. Note: Generally, it exists in the form of electronic record centers, data centers, archives (space), and file and archives custodians. 1
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Electronic records management system
Electronic records management svslem is an information system that manages and controls the identification, capture, storage, maintenance, use and disposal of electronic documents. 3.4
Electronic records management capability
The collective name for the resources, tools, methods, knowledge and experience of an organization and its personnel in managing electronic records. 4 Abbreviations
The following abbreviations apply to this document
CRO: Chief Records Officer ER: Electronic Records ERM: Electronic Records Management ERMO: Electronic Records Management Organization ERMS: Electronic Records Management System IT: Information Technology Technology）OFD：Open Fixed Layout Document（Open Fixed Layout Document） 5 General Provisions
5.1 Objectives of Electronic Document Management
The objectives of ERM are:
To help institutions and their personnel establish an awareness of electronic document management. To enable them to scientifically and effectively manage all kinds of valuable electronic documents that need to be preserved for a long time and are generated in the process of various business activities within the institution, so as to support the effective development of relevant business activities of the institution: To maintain the authenticity, integrity, availability and security of electronic documents, promote the extensive use of sub-documents, and ensure the safety, effectiveness and continuous readability of sub-documents;
To retain the original vouchers of business activities and provide evidence services for judicial and auditing: To enhance the governance and service capabilities of the institution's document management, and to strengthen the value-added services of the institution's information assets: To inherit historical culture, reuse wisdom and experience, and promote the retention of digital memory and the dissemination and inheritance of historical culture in institutions and even society.
Electronic Document Management Capability Framework
Electronic document management should be led and implemented by the ERMO set up within the organization. The ERM capability of the organization mainly depends on the professional capabilities of the ERMO in the functional areas of group operation, document control, information services and technical implementation. Whether the four functional activities of ERM can be carried out smoothly and achieve the goals of authenticity, completeness, availability and security depends on the overall level of informatization at the organizational level, the soundness of the ERM leadership system of the organization, the ERM culture formed by the organization and the strategic positioning of the organization on ERM. The electronic document management capability framework is shown in Figure 1.
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, management decision
·Organizational setting
·Degree management
·Operation control
"Institutional information
【Melting ice level
. Information service procedures
, information service user management
·Information service business development
Organization vertical
Operation
Information
Service
Institutional FRM position
Technical six
Real pit
Real communication complete
Use safety
Control
Institutional ERA
Culture
Electronic document management function Force Framework
Figure 1
GB/T39755.1—2021
·FRM-TT Architecture Design
ERM System Avoidance
. System Operation and Governance
ERM!
Leading System
·ERM Business Architecture
·ER Resource Management
·FRM Business Development
Organizational Operation Capability is the planning, decision-making, organization, planning, supervision, coordination and command capabilities that the leadership decision-makers and relevant managers of FRMO should have. It is built from the aspects of management decision-making, organizational construction, system management and operation control. Document control capability is the document control personnel of ERMO) The formation of sub-files, the ability of processing personnel to manage and control electronic file objects throughout their life cycle should be built from the aspects of ERM business architecture, ER resource management and ERM business development.
Information service capability is the ability of ERMO's information service personnel to provide services to file users and benefit them in the performance of their duties. It should be built from the aspects of information service procedures, information service user management, and information service business development. Technical implementation capability is the professional and technical ability of ERMO's technical personnel to integrate sub-file management business into the information system with the help of technical means: to ensure the reliable operation and secure access of the system and the common hardware and software technical environment. It should be built from the aspects of ERM-IT architecture design, ERM system construction, system operation and maintenance, and governance. 6 Requirements for electronic document management capabilities
6.1 Overall capabilities
Carry out RM work. Achieve but not limited to the following overall capabilities: Establish full-time and part-time ERMOs across departments within the organization, clarify the management system, operation mechanism, organizational structure and job responsibilities of the organization's ERM:
Establish an ERM operation system, formulate ERM work plans, system specifications, implementation plans and security measures; select a suitable ERMS to support ERM () to carry out electronic document management. ERMS should be in accordance with the security level protection requirements in GB/T22239 and the provisions on the relevant functions of document management in B/T29194: rKaeerkAca
GB/T 39755.1—2021
d) Relying on the ERM operation system, carry out ERM activities based on ERMS. 6.2 Organizational Operation Capability
6.2.1
Management Decision-making
Management decision-making capabilities mainly include system construction, ERM positioning and work planning: the system and mechanism construction capability requirements are shown in Table 1, the ERM positioning capability requirements are shown in Table 2, and the work planning capability requirements are shown in Table 3. Table 1 System and Mechanism Construction Capability Table
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6.2.2
Capability Requirements
An institutional-level electronic document management system, management system and standard specifications should be established to ensure the integrity, consistency, stability and continuity of the organization's ERM leadership decision-making and management activities
The management system and responsibilities and rights should be clarified, including Including but not limited to: Determine the vertical and horizontal working relationship between ERM leaders and various departments within the organization; ay
Determine the level and jurisdiction of the ERM leader; Determine the position and responsibilities of the ERM leader; A collaborative mechanism for the ERM operation process should be established. Including but not limited to: a
Define the management system and operation mechanism for ERM leaders to make decisions, consult, execute, monitor and improve; Establish a communication, collaboration and resource scheduling mechanism between relevant ERM departments and responsible persons b)
Table 2 ERM positioning capability table
Capability requirements
The role and significance of ERM should be positioned according to the organization's strategic plan and actual business requirements. The informationization of ERM should be standardized. As an important part of the organization's information strategy, the ERM plan provides information services for the organization's business departments to carry out their core business and assists leaders in making scientific decisions. Table 3 ERM work planning competency table
Competency requirements
The organization's ERM strategic goals and development plans should be formulated based on the national and industry ERM policies, regulations and normative documents, combined with the organization's development strategy, information status and actual business needs. Based on the organization's ERM strategic goals and development plans, formulate work plans, management systems, procedure documents, risk prevention and security measures for the organization's data information asset management and effective use of ERM. According to the overall tasks and goals of the organization's electronic document management, formulate the price level and standards for ERM work. Implementation plan Organization construction
Limited According to the requirements of national and industry ERM policies, regulations and normative documents, in view of the current information status of the organization, ERM work should establish the basic environment and cultural atmosphere such as leadership system: build a red organization system suitable for the organization to effectively manage electronic documents, establish a full-time and part-time ERMO, set up departments and positions, clarify the cooperation relationship between ERMO and the existing departments of the organization, and ensure the smooth development of ERM work. The organizational construction capability requirements are shown in Table 1, the position setting capability requirements are shown in Table 5, and the team building capability requirements are shown in Table 6.-rKaeerkca-
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Table 4 Organization construction capability table
Capability requirements
GB/T 39755.1—2021
ERMO should be established in accordance with the relevant national and industry ERM laws, policies and standards and the actual requirements of document management within the institution. The organizational structure, department composition, functional division and personnel composition of ERMO should be clarified. The high-level organizational officials of ERMO include but are not limited to: a) FRM leadership group: responsible for establishing the institution's ERM management system and operation mechanism, making management decisions and overall planning; FRM execution working group CRO: one or more qualified CROs should be appointed to be fully responsible for and promote the institution's ERM business working group. Responsible for the development of various businesses in the life cycle of electronic documents of various departments within the institution, from the formation and processing, file maintenance, archive preservation and utilization services.
ERM leadership and members should include but are not limited to the following key roles: a) Senior decision-makers: it is recommended that the highest-level decision-makers in the institution be composed of the responsible leaders of FRM and the responsible persons of relevant departments. At least one decision-making leader of the institution should be appointed to promote and supervise Supervise and inspect ERM work: The executive director (RO) at the institutional level is responsible for establishing the ERM management system and formulating work plans; the electronic document management at the department level is responsible for the collection, organization, identification and characterization of the department's ER; the head of the institutional archives management department is responsible for the long-term preservation of the ER after archiving, and the formulation of plans and business development; the head of the institutional IT department is responsible for carrying out the technical implementation and technical services of the institutional ERM, etc. The institution should give the CR specific responsibilities and powers, including but not limited to the following requirements. The CRO is an executor composed of one or more persons specially designated by the institution to achieve the ERM goals: 6
The CRO should be able to be fully responsible for and promote the realization of the institution's ERM business; (The CRO should have the power to allocate resources, dispatch personnel and promote ERM business across departments. The institutional level should establish an ERM business working group based on the cross-departmental characteristics and integrated management requirements of ERM activities, including but not limited to the following methods: Deploy the various functional activities of ERM to the existing functional departments of the institution; 1. Establish key positions capable of undertaking ERM-related functions within existing departments of the institution, and have the CRO implement cross-departmental resource coordination and arrangement, personnel coordination and other management, and build a cross-departmental FRM coordination network working mechanism:
Carry out business reorganization of existing departments of the institution, set up a special department directly led by the CRO to manage the entire process of the ER life cycle, and be able to establish and operate an ERM-specific department or even an organization
Table 5
Position setting capability table
Capability requirements
ERMO should set up the CRO and key positions in each functional domain based on organizational operation, document control, information service and technology, and clarify their responsibilities. Each position should be a full-time or part-time ERMO according to actual conditions. Key business positions in the organizational operation functional domain include but are not limited to: development planning position, responsible for tracking and studying national and industry-related ERM development trends, coordinating with the CRO to formulate the institution's RM strategic goals and work plans, and determine ERM business Implementation strategies, methods and measures: 6) System construction post, responsible for collecting, organizing, and implementing national and industry-related laws, policies and standards, as well as management systems, business specifications and procedure documents related to ERM within the organization. Organize and formulate management systems, business procedures, standards and procedure documents and other management system documents related to ERM within the organization, issue, control and manage system document versions, and promote the formulation, implementation, modification and completion of the system:
Administrative management post, responsible for routine office, finance, facilities, meetings, reception and other administrative affairs related to RM: 7) Operation control post, responsible for tracking, supervising and promoting the work process of personnel in various positions of ERMO, and providing decision-making information for CRO management and operation
Safety management post, responsible for risk prevention and safety assurance of activities and matters in various functional areas of ERM; other related positions that contribute to the management operation and organizational construction of ERMO - rKaeerkca-
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Table 5 (continued)
Competence requirements
Key business positions in the ERMO document management and control functional area should include but are not limited to: a)
Business supervisor position for ERM document management and control; ERM position in the formation stage. Responsible for the collection, classification and access control of the ER formation stage; FRM position in the filing stage. Responsible for FR filing processing business: Management position in the R file system stage, responsible for the sorting, compilation, inspection, preservation, backup, statistics, identification and disposal, data migration, format conversion, transfer and security protection after R uploading. Business: ER audit tracking position, responsible for tracking and quality inspection of ER business. Key business positions in the LRMO information service functional domain should include but are not limited to: service procedure formulation position, responsible for formulating the system, procedures and requirements of ER information services; )
River household relationship management position, responsible for collecting, managing, processing and analyzing the personnel information of ER users; ER retrieval service position, responsible for shortening ER retrieval requirements and providing retrieval services; FR information publishing position. Responsible for the release and push of ER information, etc. Business: FR resource development position, responsible for the analysis and development of ER information resources and providing value-added services ERM The key business positions in the technical implementation functional area should include but are not limited to; ay
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IT architecture position, responsible for the architecture of ERM-related software infrastructure and database design and deployment; system construction position, responsible for the design, development, implementation and data batch processing of ERM-related systems; operation and maintenance position, responsible for the maintenance of ERM and related systems, data backup and recovery, and the reliable operation of the system; security management position. Responsible for ensuring the safety of ERM hardware and software facilities and electronic document libraries d
Table 6 Team building capability table
Capability requirements
Should be familiar with various types of The qualifications and capabilities of personnel in key ERM positions should be determined. The staffing plan for technical personnel and management personnel in the department and the capability requirements of personnel in various professional positions should be determined. It is advisable to establish personal technical files, effectively manage ERM practitioners, provide technical training and provide retraining opportunities. The positions and titles of ERM professional and technical personnel should be incorporated into the positions and titles of institutional employees. In the implementation of ERM activities, a system for managing electronic documents suitable for the institution should be formulated and implemented in accordance with relevant national and industry policies, systems and standards, and a system document library should be established and maintained. The system construction capability requirements are shown in Table 7, the system control capability requirements are shown in Table 8, and the system implementation capability requirements are shown in Table 9. Table 7 System Construction Capability Table
Beijing No.
Capability Requirements
In accordance with national and industry ERM-related laws, regulations, policies, systems and standards, a system and standard specifications for managing electronic documents should be established to form or carry out ERM. T system document library -KaeerkAca-
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6.2.4
ERM system document library should include but not be limited to: a)
Organizational rules and regulations and management methods: FRMO operation management system documents;
ERM management system, procedure documents and business specifications: FR storage access control and information service process: Table 7 (line)
Capability requirements
ERMS functional requirements, construction plans, interface specifications, implementation guidelines and operating procedures: ERM risk prevention and safety management system
LRM system documents should be complete, systematic and effective Table 8
System management and control capability table
Capability requirements
Should be maintained To ensure the stability and continuous use of the FRM system within a certain period of time, the ERM system documents should be revised or abolished according to the actual needs of business changes and developments. The responsible departments and personnel for the formulation and revision of the ERM system should be designated, and their responsibilities should be clarified. The responsible departments and personnel for the preparation, approval, release and security control of the ERM system should be designated. The responsible departments and personnel should be responsible for organizing the formulation, review, release, implementation and assessment of the FRM system. Table 9
System implementation capability table
Capability requirements
A work plan for the promotion, training and implementation of the ERM system should be formulated. The implementation scope of the system should cover all relevant personnel in the organization, including senior leaders. The effectiveness of the implementation of the system should be checked and evaluated.According to the national, industry and institutional electronic document management policies, systems and standards, the system adjustment, update, revision or abolition of the request and collection of ERM related systems should be embedded in ERMS for automatic execution, reduce human factors, and enhance the system's ability to automatically execute the system. Operation control
ERM managers should ensure the implementation of the plan through process management and control actions, so that ERM activities are coordinated and operated in an orderly manner, and effectively achieve RM strategic goals: and continuously revise, optimize and improve the plans and goals formulated in the early stage. Personnel management capability requirements are shown in Table 10, process control capability requirements are shown in Table 11, and governance improvement capability requirements are shown in Table 12. Personnel Management Competency Table
Table 10
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Competency Requirements
The organization should allocate corresponding personnel to key positions set up by the LRMO with major functional units. The ERMO should set clear requirements for the competency of personnel in each position and recruit them according to the competency requirements. The ERMO should formulate and implement the personnel management training and continuous education system of the organization's ERM7
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Table 10 (continued)
Capability requirements
ERMO shall establish a business scope and accountability system for each ERM position within the organization. ERMO shall establish and implement a quality inspection and performance appraisal system for personnel in relevant ERM positions in the organization. Formulate appraisal methods and evaluation standards
ERMO shall conduct personnel management based on the system and incorporate the work system and appraisal system of ERM professionals into the system construction function scope. Table 11 Process Control Capability Table
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Capability requirements
An operational management system for the implementation, tracking, review, control and feedback of business work in the four major functional areas of ERMO shall be established. It is advisable to form a management system document. The establishment of an operation management system should meet the following requirements but are not limited to: a) The management objectives should be in line with the strategic planning of the institution's ERM and the overall requirements of supporting business development, and establish a working mechanism of coordination, force control and mutual support within the ERMO; The business under supervision should cover all business activities in the major functional areas of the institution's ERMO: The control components cover the internal electronic documents and the IT basic facilities, system equipment and job personnel required for the management of electronic documents. The management system includes but is not limited to: a) Management documents, including the policy, plan, system, positioning, goals, organization, position, business framework, information service procedures, technical system architecture and other contents of the institution's management of electronic documents!
Program documents, including requirements, implementation methods, work procedures, etc. for key business processes in the four functional areas: b)
Operational procedures, including document collection, sorting, classification, table definition, packaging, migration, transfer, information development, and publication, as well as electronic document system dubbing and system design and implementation, etc., and key business planning procedures and implementation guidelines; Requirements documents, including templates and content requirements for ERMO's various business process documents, etc. d)
ERMO should formulate work plans and implementation plans for the implementation of the management system, risk prevention and safety assurance measures, and should regularly conduct internal management evaluations
Table 12 Governance Improvement Capability Table
Capability Requirements
The work plan for ERM assessment, inspection and governance should be formulated in accordance with the national and industry policies, systems and standards. The management system and implementation methods for assessment, inspection and governance should be established in accordance with the work plan. The management system and implementation methods for the management of electronic documents should be adjusted in a timely manner in response to the evolution of the organization's information environment, the changes in the number of electronic documents, and the improvement of personnel capabilities.
6.3 Document management and control capabilities
6.3.1 ERM business architecture
ERM and its personnel should design the business framework for the entire process of electronic document management based on relevant national policies, systems and scientific management methods as well as the organization's electronic document management requirements, and clarify the guiding ideology, quality policy, management objectives and operation methods of electronic document management. ERM planning capability requirements are shown in Table 13. ERM scope determination capability requirements are shown in Table 14. ER classification design capability requirements are shown in Table 15. ER metadata design capability requirements are shown in Table 16.
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