GB/T 39755.2-2021. Electronic records management capability system-Part 2: Assessment criterion.
1 Scope
This part of GB/T 39755 specifies the evaluation model, evaluation index system and evaluation method of the electronic records management capability level.
GB/T 39755.2 is applicable to the self-examination and self-assessment of the electronic records management capability of an organization, as well as the supervision, inspection and evaluation of the electronic records management capability of an organization.
2 Normative references
The following documents are indispensable for the application of this document. For any dated referenced document, only the dated version applies to this document. For any undated referenced document, its latest version (including all amendments) applies to this document.
GB/T 39755.1-2021 Electronic records management capability system Part 1: General requirements
3 Terms and definitions
The following terms and definitions apply to this document.
3.1
Capability level model for electronic records management
A hierarchical model of an institution's ability to manage electronic records.
3.2
Supervision authority for electronic records management capacity assessment
An organization or department that supervises and manages institutions engaged in electronic records management capacity assessment.
Note: National or local assessment and certification authorities or other organizations or institutions authorized by them, such as industry associations, technical committees authorized by the state or other ministries, etc.
3.3
Assessment authority for electronic records management capacity
An organization or department that is engaged in the assessment of electronic records management capacity and is directly responsible for the operation of the entire assessment activity and the assessment results.
This part specifies the evaluation model, evaluation index system and evaluation method for the level of electronic records management capacity. This part is applicable to the self-examination and self-evaluation of electronic records management capacity by institutions, as well as the supervision, inspection and evaluation of electronic records management capacity of institutions.

ICS 03.120.20
National Standard of the People's Republic of China
GB/T39755.2—2021
Electronic records management capability system-Part 2: Assessment criterion
Published on April 30, 2021
State Administration for Market Regulation
National Administration of Standardization
Implemented on November 1, 2021
GB/T 39755.2—2021
Normative references
Terms and definitions
Abbreviations
ERM capability level model
ERM capability assessment indicators
Screening indicators
Evaluation indicators and interpretations
7 Implementation of ERM capability assessment
Assessment type
Assessment method·
Assessment organization·
7.4 Implementation of assessment|| tt||Appendix A (Normative Appendix) Appendix on Quantitative Evaluation Method (Informative Appendix)
Appendix C (Normative Appendix)
References
Evaluation Criteria
Evaluation Report Format
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GB/T39755 "Electronic Document Management Capability System" is divided into the following two parts: Part 1: General Requirements:
Part 2: Evaluation Specifications
This part is Part 2 of GB/T39755
This part is drafted in accordance with the rules given in (G13/T1.1-2009. This part is proposed and managed by the State Cryptography Administration. GB/T39755.2-2021
Drafting units of this part: 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) Beijing Digital Certification Co., Ltd., The main drafters of this part are: Xue Sixin, Du Xiaoyong, Li Li, Shao Miao, Li Cuncai, Yuan Yigou, Wen Yuzhong, Zhang Jing, Ji Shuli, Xue Zheni, Zhang Ru, Liu Zhong, Xu Hua, Liu Xinzhi, Li Tong, Yang Yan, Gong Gaijiao, Su Wenzheng, Zhang Xiao, Tian Na, Yang Fenghua, Yu Ling, Chen Fei, Yao Heng, Guo Peng, Niu Le, Shang Duozi, Luo Jiajing, Li Yuedong.
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GB/T 39755.2—2021
Electronic documents are important tools and carriers for national governance, economic operation, social operation, and historical inheritance in the information age, and are important strategic information resources for the country. Electronic document management is a basic and long-term work of national governance in the new era, and an important part of the national cyber power strategy and informatization strategy. The Party 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. The Office of the National Inter-ministerial Joint Conference on Electronic Document Management (hereinafter referred to as the "Joint Conference") is located in the National Cryptography Administration: The Joint Conference and its Office are guided by Xi Jinping Thought on Socialism with Chinese Characteristics for a New Era, conscientiously implement the national cybersecurity strategy, strengthen the guidance and demonstration of independent standards, and promote the deep integration of electronic document management with national human resources and grassroots business work.
Managing, storing and using electronic documents well is the information asset generated in the business process of formation, processing, exchange, archiving, storage, identification and disposal, retrieval and statistics, and utilization services. It is a necessary requirement for promoting the modernization of the national governance system and governance capabilities. It is an important measure for institutions to reduce management costs, improve work efficiency, support business processing, retain business credentials, accumulate digital assets, preserve information resources, provide knowledge services and inherit historical culture. Party and government organs, enterprises, institutions, people's groups and other organizations should fully realize the importance and urgency of improving their electronic document management capabilities, and maximize the role of electronic documents in strengthening organizational management, promoting business work, improving work efficiency, and reducing social operating costs.
This part is a component of my country's electronic document management standard system. It is used to guide the development of electronic document management capability assessment work. Its purpose is to promote the improvement of institutions' electronic document management capabilities through assessment. Institutions can establish an electronic document management capability level model based on the electronic document management capability level model proposed in this part. Establish a scientific, orderly, continuously optimized and continuously improved electronic document management process model, improve the management level of various electronic documents within the organization, and gradually realize scientific management and effective utilization. -iiKaeerkAca-
1 Scope
Electronic document management capability system
Part 2: Evaluation specification
This part of GB/T39755.2—2021
3/T89755 specifies the evaluation model, evaluation index system and evaluation method of the electronic document management capability level. This part is applicable to the self-examination and self-evaluation of the electronic document management capability of the organization, as well as the supervision, inspection and evaluation of the electronic document management capability of the organization.
2 Normative reference documents
The following documents are for It is essential for the application of this document. For any referenced document with an annotation of Phase II, only the version with an annotation of Phase II applies to this document. For any referenced document without an annotation of Phase II, its latest version (including all amendments) applies to this document GB/T 39755.1-2021 Electronic records management capability system Part 1: Application requirements 3 Terms and definitions
The following terms and definitions apply to this document. 3.1
Capability level model for electronic records management capability level model for electronic records management The hierarchical model of the electronic records management capability of an organization. 3.2
Supervision authority for electronic records management capacity assessment
An organization or department that supervises and manages organizations engaged in the assessment of electronic records management capability. Note: National or local assessment and certification authorities or other organizations or institutions authorized by them, industry associations, technical committees authorized by the state or other ministries, etc.
Assessment authority for electronic records management capacityAn organization or department that is engaged in the assessment of electronic records management capacity and is directly responsible for the operation of the entire assessment activity and the assessment results: 3.4
Appraisers for electronic records management capacityA professional who performs electronic records management capacity assessment and provides multi-angle professional evaluation opinions. 3.5
Electronic records resources databaseA database that stores information on the content, structure, background and management process of electronic records in a structured, semi-structured and unstructured manner. 3.6
Key indicator itemkeyindlexitem
Basic level scoreA veto item for determining the ERM capability level of an organization, 1
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GB/T 39755.2—2021
4 Abbreviations
The following abbreviations apply to this document
ER: Electronic Records ERM: Electronic Records Management ERMO: Electronic Records Management Organization ERMS: Electronic Records Management System 5 ERM Capability Level Model
The ability to manage electronic records is divided into four levels, represented by L1, L2, L3 and L4, representing the different stages and capability levels of electronic record management from low to high development. The lowest level is 1.1, i.e. object description level. The highest level is I.1, i.e. integrated service level, I.2 is information management level, and 1.3 is evidence traceability level. Figure 1 shows the ERM capability level model.Reflecting the step-by-step development and filtering law of electronic document management capabilities, Table 1 describes the key characteristics and management objectives of the four levels.
14: Integrated service level
L.3: Evidence traceability level
T.2: Information management level
LI: Object description level
Figure 1 ERM capability level model
Table 1 Key characteristics and management objectives of institutional ERM capability levels Level
Description level
Key characteristics
Institutions that meet the 11-level management capabilities should have but are not limited to the following key characteristics: a) Distinguish electronic documents from other information resources and manage them by category - At the same time, there should be a responsible department or a special organization to assume the electronic document management function, clarify the ERM work positioning, and establish the ERM organizational system and management Mechanism; h) Adopt computer-assisted management, and the machine-free management mode corresponding to the file directory and the physical object:
c) The electronic file recording information should capture the attributes of "what is the file". Basically, it does not involve the source of the file, business background and management process information. The recording items of the file are mainly supplemented manually afterwards.
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Electronic file management monthly standards
The management monthly standards that can be obtained by the file object should include but are not limited to:
a) Collect files:
b) Keep archives;
Provide simple electronic file retrieval, review and use services
Management level
Source level
Service level
Key features
Table 1 (continued)| |tt||Institutions that meet the L2 management capability should have the following key features: a) Enhance the automation level of refined management of electronic documents and information integration on the basis of level 1.1;
b) Adopt an information management model that combines metadata, document content and entity objects, use a compliant electronic document management system, and achieve information integration with electronic document-related business systems;
Expand the scope of use of electronic documents. The information managed in the system should involve the original information, management information, content and related process information of the entire life cycle of electronic documents;
Institutions that meet the L3 management capability should have but are not limited to the following key features: On the basis of level L2, it should emphasize process management and evidence retention to achieve cross-departmental business connection and data information sharing Interaction with:
h): Use technical and management measures to ensure the authenticity, integrity, validity, security and credibility of electronic documents;
c) Conduct evidence measurement based on the system to meet the requirements of judicial, auditing and legal proceedings. Institutions that meet the requirements of L1 reporting management capabilities should have but are not limited to the following key features: a) Strengthen the ERM service concept on the basis of L3 level and establish the sense of responsibility of all ERM employees; b) Strengthen the electronic document information service capabilities. Use big data technologies such as content mining, data analysis, and visualization to actively promote and optimize services to improve the system's automated management and operation capabilities, strengthen risk management and control, and achieve cross-institutional electronic document sharing, exchange and mutual certification of validity. 6 ERM capability assessment indicators
6.1 Overview
GB/T 39755.2—2021
Electronic document management standards
Standards for document information to be manageable, should include but not be limited to:
Coverage L1 standards:
ERMS supports business process management,
realizes archival management
and systematic reuse of document information;
Establishes metadata-based electronic document
management activities are traceable. Should include but not be limited to:
a) Cover L2 standards:
) Records Business process evidence + full of company
legal and market accounting requirements;
c) based on the system to ensure the "four" electronic documents
d) provide auxiliary decision-making information
management services can be integrated. Should include but not limited to:
Wei Gai L3 month standard:
h) collaborative work;
c) information discovery;
intelligent development:
smart services
electronic document management capability evaluation indicators are the basis and basis for the evaluation work, and directly affect the reliability and effectiveness of the evaluation results. According to GB/T39755.12021, the evaluation of electronic document management capability is divided into four modules: organizational operation, document control, information service and technical realization. Each indicator of each module will be designed around the six major capability elements that the organization should have for electronic document management: environmental foundation, institutional mechanism, institutional norms, organizational personnel, facility resources and platform system. The indicator framework and interpretation are proposed from the business units and work results of the four modules. The key elements of FRM capability evaluation are shown in Figure 2. 3
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GB/T 39755.2—2021
Organizational Operation
Electronic Documents
(Information Resources)
Technical Implementation
Figure 2 Key Elements of ERM Capability Assessment
Electronic Document Management Capability Assessment Indicators are divided into the following two categories of indicators: Information
Screening indicators, which are key factors that determine whether the assessment activity is initiated. They have a veto effect; Evaluation indicators, which are used to evaluate each module and specific indicators of each key business process: The assessment scope includes four modules: organizational operation, document control, information services and technical implementation: The evaluation indicators of each module should have key indicator items to determine whether the module levels L1, L2, L3 and L4 meet the veto indicators, see Appendix B.6.2 Screening indicators
Screening indicators are based on 6.1 Overall capability requirements of the standard (3/39755.1-2021) are set, 1 Mainly applicable to certification assessments conducted by third-party assessment agencies. If any of the overall capability requirements of the assessed object are not met, the assessment activity will be terminated. 6.3 Evaluation indicators and interpretations
6.3.1 Organizational operation capability module
Evaluation indicator framework
The evaluation indicator framework of the organizational operation capability module is shown in Figure 3. -rKaeerkca-
Purpose decision-making
6.3.1.2 Management decision-making capability indicators
Organizational action capability
Organization construction
Institutional management
Institutional system structure
Institutional document management
Institutional history implementation
Figure 3 Organizational operation capability evaluation Evaluation indicator framework
GB/T39755.2—2021
Operation control
Evaluate the management decision-making ability of ERMO leaders in carrying out ERMT work from aspects such as ERM leadership system establishment, ERM positioning and ERMT work plan formulation. The indicators and interpretations are shown in Table 2. The ability requirements are shown in 6.2.1 of GB/T39755.1-2021. Table 2 Management decision-making ability evaluation indicators and their interpretations. No.
Indicator name
ERM leadership system
ERM positioning
ERM work plan
Indicator interpretation
Establish an organizational leadership system covering senior, middle and ERM executive levels from the perspective of the organization: clarify the responsibilities and obligations of the FRM supervisor, the leading department and the leaders of the collaborative departments. Form a leadership system for the overall development of ERM in the organization. When the organization carries out ERM, it should consider the strategic thinking and overall requirements of national and industry ERM, and determine the strategic goals and overall ideas of the organization's ERM in combination with the organization's information level. ERM positioning is a key factor in determining the starting point, goals and development direction of the organization's ERM work. The organization's ERM positioning is mainly determined by whether it is included in the overall information construction of the organization and whether it matches the organization's information level. Leaders formulate the organization's long-term goals and work plans for HRM from a strategic level. The content should include but not be limited to development plans and work goals, tasks and content, plans and indicators, and other organizational construction capacity indicators. The organization's organizational construction capacity for carrying out ERM work should be evaluated from aspects such as ERM organizational structure, job setting, and team building. For indicators and interpretations, see 3. Capacity requirements, see 6.2.2.5 of GB/T39755.1-2021.
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Indicator name
Organizational structure
Position setting
Team under construction
Table 3 Organizational construction capacity assessment indicators and their interpretations Indicator interpretation
According to the current status of the institution's ERMT and future development standards.Establish an organizational hierarchy suitable for the organization's ERMT work, and clarify the rights and responsibilities, number of positions and business activities at all levels. Establish the organizational structure for the management of electronic documents in accordance with the electronic document management function. Clarify the positioning of ERM work, set up ERM positions and corners, and define their responsibilities. According to the job responsibilities of ERMT, equip a sufficient number of personnel with high comprehensive quality, strong technical and management capabilities to take charge of ERM1. Clarify the capability requirements of various personnel in ERM business activities. Indicators of system management capability
The ability of the organization to carry out ERM work should be evaluated from the aspects of system construction, system document management, and system implementation: Indicators and interpretations are shown in Table 4. Capacity requirements are shown in 6.2.3 of GB/T39755.1-2021. Table 4 Indicators for system management capability evaluation and their interpretations No.
Indicator name
System system construction || tt||System document control
System implementation
Operation control capability
Indicator interpretation
ERMO collects and organizes relevant national and industry laws, policies and standards, and formulates the system, standards and specifications for internal management documents of the organization in combination with the organization's ERMT work plan; and can modify and improve the system documents in combination with the needs of ERM business expansion: including but not limited to management methods, business specifications and technical specifications, and operating procedures, etc.
Manage and control the construction and implementation process of ERM-related systems, ensure the effectiveness of current system documents, and recover and eliminate old versions of non-system documents; the ability to establish, implement and implement the ERM system, specifications and standards formulated by the organization; improve the operation control capability of the organization in carrying out ERMT work from the aspects of personnel management, process control, and governance improvement. The indicators and their definitions are shown in Table 5. The capability requirements are shown in 6.2.4 of (13/T39755.[—2021, Table 5 Operation Control Capability Evaluation Indicators and Their Definitions) No.
Indicator Name
Personnel Management
Process Control
Governance Improvement
Indicator Definition
Clearly define the responsibilities of each ERM position. Urge FRM employees to improve their work capabilities and carry out ERMI work through training, continuous education and assessment.
Establish supervision mechanisms, assessment mechanisms, training mechanisms, and reward and punishment incentive mechanisms to monitor the entire ERM process, monitor ERM business processes and personnel, that is, to grasp and control the implementation of the system and the performance of personnel in various departments.
Establish internal assessment and review, management review and error correction and improvement mechanisms to urge improvements on deviations or problems in ERMT work: Follow P ICA management system improves the ability of ERM service quality-rrKaeerka-
6.3.2 Document control capability module
6.3.2.1 Evaluation indicator framework
The evaluation indicator framework of the document control capability module is shown in Figure 4. Document control capability
ERM business architecture
M business planning
Scope determination
R classification design
R data planning
6.3.2.2 ERM business architecture capability indicators
ER resource management
Resource organization
Data collection
Formation and handling
Figure 4 Document control capability indicator framework
ERM business development
Acquisition and registration
Formation and H
R Storage and continued protection
GB/T 39755.2—2021
ER transfer and conversion
ER identification and disposal
The ERM business architecture capabilities of the institution should be evaluated from aspects such as ERM business planning, ERM scope determination, ER classification design, and ER data design. Indicators and interpretations are shown in Table 6. Capability requirements are shown in 6.3.1 of (B3/T39755.1-202[. Table 6 ERM business architecture capability assessment indicators and their interpretations. No.
Indicator name
ERM business planning
ERM scope research and development
ER classification design
ER metadata design
Indicator interpretation
The organization's ERMO and its personnel have the ability to plan ERM work and scientifically manage electronic documents, analyze and determine the scope, standards, requirements and work procedures of electronic document management. Aims to standardize the development of business work: Propose overall requirements for the planning and implementation of the system from the perspective of document management business. The organization's ERMO and its personnel are equipped with the ability to determine the scope and object of ERM business based on the organization's ERM work plan, Aims to ensure that valuable electronic documents can be managed scientifically and effectively. ERM and its personnel have the ability to implement scientific, orderly and hierarchical management, long-term preservation, identification and disposal of electronic documents. Aims to systematically identify, manage and protect electronic documents. ERM (and its personnel) design and reflect the information description plan of each process record of the electronic document life cycle based on the business background, institutional environment, technical environment, management process records and content of electronic documents. 6.3.2.3 ER resource management capability indicators
The ER resource management capability of the organization should be evaluated from the aspects of ER resource planning, ER resource organization, ER quality control, ER quantity management, etc. -rrKaeerKa-
GB/T39755.2—2021
. Indicators and explanations See 6.3.2 Table 7 of GB/T39755.1-2021 for capability requirements. ER resource management capability evaluation indicators and their interpretations. No.
Indicator name
ER resource planning
ER resource organization
ER quality control
FR quantity management
Indicator interpretation
ERMO and its personnel! By analyzing the number of electronic files generated, the trend of change, the form of existence and the recycling demand of each business department, the type, quantity, confidentiality level and storage period of the electronic files to be processed are determined. According to the infrastructure and network environment of the organization to manage electronic files, the storage environment, structure layout, access characteristics and storage requirements of the electronic file library management are determined, and the construction plan, preservation plan and maintenance plan of the electronic file library are formulated. ER.MO and its personnel have the ability to implement physical or logical division of electronic files based on the characteristic attributes, associations and preservation requirements of electronic files, and determine the organization, classification and preservation plans of electronic files. ERM and its personnel have the ability to track, supervise and inspect the authenticity, integrity, validity, security and standard compliance of electronic files and related information in the system in accordance with ERM's quality policy and standards. ERM and its personnel have the ability to track, inventory, count and estimate the number and occupied space of valuable electronic files stored in the electronic file library.
ERM business development capability indicators
The institution's ERM business development capability should be evaluated from the aspects of ER formation and handling, capture and registration, organization and archiving, storage and maintenance, migration and conversion, identification and disposal. For indicators and interpretations, see Clothing 8. For capability requirements, see Table 8, 6.3.3 of GB/T39755.1-2021. 8 ERM business development capability assessment indicators and their interpretations. Serial number
Indicator name
ER formation and management
ER acquisition and registration
ER organization and archiving
ER custody and maintenance
ER migration and conversion
ER identification and disposal
Indicator interpretation
ERMO and its personnel! The equipment is equipped with the ability to follow the institution's general requirements for electronic document management during the process of electronic document formation, and to retain business information, business process information, important version results and other information that are evidential, reference and productive in business activities in a timely manner. ERMO and its personnel are equipped with the ability to transfer electronic documents and their metadata generated or received during business activities to the electronic document management system, and to assign an identifier to the electronic document. ERMO and its personnel have the ability to process electronic documents in a scientific, orderly and systematic manner according to a pre-established classification scheme, so that the identity of electronic documents can be converted into electronic archives. ERMO and its personnel have the ability to classify electronic documents as needed. ERMO and its personnel have the ability to securely transfer electronic files from one system to another, or convert them from one format to another, and ensure the authenticity, integrity, availability, and security of electronic files. ERMO and its personnel have the ability to identify electronic files to be preserved in business systems, identify the value of electronic files, determine their retention period, decide to destroy electronic files that have no preservation value or have expired, and identify and process valuable electronic files for continuous preservation. -rrKaeerKca-Clarify the positioning of ERM work, set up ERM positions and corners, and define their responsibilities. According to the job responsibilities of ERM, equip a sufficient number of personnel with high comprehensive quality and strong technical and management capabilities to take charge of ERM work, and clarify the capability requirements of various personnel in ERM business activities. System management capability indicators
The system management ability of the organization to carry out ERM work should be evaluated from the aspects of system construction, system document control, and system implementation: Indicators and interpretations are shown in Table 4. Capacity requirements are shown in 6.2.3 of GB/T39755.1-2021. Table 4 System management capability evaluation indicators and their interpretations No.
Indicator name
System system construction
System document control
System implementation
Operation control capability
Indicator interpretation
ERRM MO collects and organizes relevant national and industry laws, policies and standards, formulates the system, standards and specifications of the internal management documents of the organization in combination with the organization's ERMT work plan, and can modify and improve the system documents in combination with the needs of ERM business expansion: including but not limited to management methods, business specifications and technical specifications and operating procedures, etc.
Manage and control the construction and implementation process of ERM-related systems, ensure the effectiveness of current system documents, and recover and eliminate old versions of non-system documents. The ability to establish, implement and implement the ERM system, specifications and standards formulated by the organization. Evaluate the operation and control capabilities of the organization in carrying out ERMT work from the aspects of personnel management, process control, and governance improvement. Indicators and interpretations are shown in Table 5, and capability requirements are shown in (13/T39755.[—20 21, 6.2.4, Table 5 Operation and Control Capability Evaluation Indicators and Their Explanations No.
Indicator Name
Personnel Management
Process Control
Governance Improvement
Indicator Explanation
Clearly define the responsibilities of each ERM position. Urge FRM employees to improve their work capabilities and carry out ERMI work through training, successor education and assessment.
Establish supervision mechanisms, assessment mechanisms, training mechanisms, and reward and punishment incentive mechanisms to monitor the entire ERM process, monitor ERM business processes and personnel, that is, to grasp and control the implementation of the system and the performance of personnel in various departments.
Establish internal assessment and review, management review and error correction and improvement mechanisms to urge improvements on deviations or problems in ERMT work: Follow the PICA sales management system to improve the quality of ERM services 6.3.2 Document control capability module
6.3.2.1 Evaluation indicator framework
The evaluation indicator framework of the document control capability module is shown in Figure 4. Document control capability
ERM business architecture
M business planning
Scope determination
R classification design
R data planning
6.3.2.2 ERM business architecture capability indicators
ER resource management
Resource organization
Data collection
Formation and handling
Figure 4 Document control capability indicator framework
ERM business development
Description and registration
Formation and H
R Storage and protectionbZxz.net
GB/T 39755.2—2021
ER transfer and conversion
ER identification and disposal
The ERM business architecture capabilities of the institution should be evaluated from aspects such as ERM business planning, ERM scope determination, ER classification design, and ER data design. Indicators and interpretations are shown in Table 6. Capability requirements are shown in 6.3.1 of (B3/T39755.1-202[. Table 6 ERM business architecture capability assessment indicators and their interpretations. No.
Indicator name
ERM business planning
ERM scope research and development
ER classification design
ER metadata design
Indicator interpretation
The organization's ERMO and its personnel have the ability to plan ERM work and scientifically manage electronic documents, analyze and determine the scope, standards, requirements and work procedures of electronic document management. Aims to standardize the development of business work: Propose overall requirements for the planning and implementation of the system from the perspective of document management business. The organization's ERMO and its personnel are equipped with the ability to determine the scope and object of ERM business based on the organization's ERM work plan, Aims to ensure that valuable electronic documents can be managed scientifically and effectively. ERM and its personnel have the ability to implement scientific, orderly and hierarchical management, long-term preservation, identification and disposal of electronic documents. Aims to systematically identify, manage and protect electronic documents. ERM (and its personnel) design and reflect the information description plan of each process record of the electronic document life cycle based on the business background, institutional environment, technical environment, management process records and content of electronic documents. 6.3.2.3 ER resource management capability indicators
The ER resource management capability of the organization should be evaluated from the aspects of ER resource planning, ER resource organization, ER quality control, ER quantity management, etc. -rrKaeerKa-
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. Indicators and explanations See 6.3.2 Table 7 of GB/T39755.1-2021 for capability requirements. ER resource management capability evaluation indicators and their interpretations. No.
Indicator name
ER resource planning
ER resource organization
ER quality control
FR quantity management
Indicator interpretation
ERMO and its personnel! By analyzing the number of electronic files generated, the trend of change, the form of existence and the recycling demand of each business department, the type, quantity, confidentiality level and storage period of the electronic files to be processed are determined. According to the infrastructure and network environment of the organization to manage electronic files, the storage environment, structure layout, access characteristics and storage requirements of the electronic file library management are determined, and the construction plan, preservation plan and maintenance plan of the electronic file library are formulated. ER.MO and its personnel have the ability to implement physical or logical division of electronic files based on the characteristic attributes, associations and preservation requirements of electronic files, and determine the organization, classification and preservation plans of electronic files. ERM and its personnel have the ability to track, supervise and inspect the authenticity, integrity, validity, security and standard compliance of electronic files and related information in the system in accordance with ERM's quality policy and standards. ERM and its personnel have the ability to track, inventory, count and estimate the number and occupied space of valuable electronic files stored in the electronic file library.
ERM business development capability indicators
The institution's ERM business development capability should be evaluated from the aspects of ER formation and handling, capture and registration, organization and archiving, storage and maintenance, migration and conversion, identification and disposal. For indicators and interpretations, see Clothing 8. For capability requirements, see Table 6.3.3 of GB/T39755.1-2021. 8 ERM business development capability assessment indicators and their interpretations. Serial number
Indicator name
ER formation and management
ER acquisition and registration
ER organization and archiving
ER storage and maintenance
ER migration and conversion
ER identification and disposal
Indicator interpretation
ERMO and its personnel! The equipment is equipped with the ability to follow the institution's general requirements for electronic document management during the process of electronic document formation, and to retain business information, business process information, important version results and other information that are evidential, reference and productive in business activities in a timely manner. ERMO and its personnel are equipped with the ability to transfer electronic documents and their metadata generated or received during business activities to the electronic document management system, and to assign an identifier to the electronic document. ERMO and its personnel have the ability to process electronic documents in a scientific, orderly and systematic manner according to a pre-established classification scheme, so that the identity of electronic documents can be converted into electronic archives. ERMO and its personnel have the ability to classify electronic documents as needed. ERMO and its personnel have the ability to securely transfer electronic files from one system to another, or convert them from one format to another, and ensure the authenticity, integrity, availability, and security of electronic files. ERMO and its personnel have the ability to identify electronic files to be preserved in business systems, identify the value of electronic files, determine their retention period, decide to destroy electronic files that have no preservation value or have expired, and identify and process valuable electronic files for continuous preservation. -rrKaeerKca-Clarify the positioning of ERM work, set up ERM positions and corners, and define their responsibilities. According to the job responsibilities of ERM, equip a sufficient number of personnel with high comprehensive quality and strong technical and management capabilities to take charge of ERM work, and clarify the capability requirements of various personnel in ERM business activities. System management capability indicators
The system management ability of the organization to carry out ERM work should be evaluated from the aspects of system construction, system document control, and system implementation: Indicators and interpretations are shown in Table 4. Capacity requirements are shown in 6.2.3 of GB/T39755.1-2021. Table 4 System management capability evaluation indicators and their interpretations No.
Indicator name
System system construction
System document control
System implementation
Operation control capability
Indicator interpretation
ERRM MO collects and organizes relevant national and industry laws, policies and standards, formulates the system, standards and specifications of the internal management documents of the organization in combination with the organization's ERMT work plan, and can modify and improve the system documents in combination with the needs of ERM business expansion: including but not limited to management methods, business specifications and technical specifications and operating procedures, etc.
Manage and control the construction and implementation process of ERM-related systems, ensure the effectiveness of current system documents, and recover and eliminate old versions of non-system documents. The ability to establish, implement and implement the ERM system, specifications and standards formulated by the organization. Evaluate the operation and control capabilities of the organization in carrying out ERMT work from the aspects of personnel management, process control, and governance improvement. Indicators and interpretations are shown in Table 5, and capability requirements are shown in (13/T39755.[—20 21, 6.2.4, Table 5 Operation and Control Capability Evaluation Indicators and Their Explanations No.
Indicator Name
Personnel Management
Process Control
Governance Improvement
Indicator Explanation
Clearly define the responsibilities of each ERM position. Urge FRM employees to improve their work capabilities and carry out ERMI work through training, successor education and assessment.
Establish supervision mechanisms, assessment mechanisms, training mechanisms, and reward and punishment incentive mechanisms to monitor the entire ERM process, monitor ERM business processes and personnel, that is, to grasp and control the implementation of the system and the performance of personnel in various departments.
Establish internal assessment and review, management review and error correction and improvement mechanisms to urge improvements on deviations or problems in ERMT work: Follow the PICA sales management system to improve the quality of ERM services 6.3.2 Document control capability module
6.3.2.1 Evaluation indicator framework
The evaluation indicator framework of the document control capability module is shown in Figure 4. Document control capability
ERM business architecture
M business planning
Scope determination
R classification design
R data planning
6.3.2.2 ERM business architecture capability indicators
ER resource management
Resource organization
Data collection
Formation and handling
Figure 4 Document control capability indicator framework
ERM business development
Description and registration
Formation and H
R Storage and protection
GB/T 39755.2—2021
ER transfer and conversion
ER identification and disposal
The ERM business architecture capabilities of the institution should be evaluated from aspects such as ERM business planning, ERM scope determination, ER classification design, and ER data design. Indicators and interpretations are shown in Table 6. Capability requirements are shown in 6.3.1 of (B3/T39755.1-202[. Table 6 ERM business architecture capability assessment indicators and their interpretations. No.
Indicator name
ERM business planning
ERM scope research and development
ER classification design
ER metadata design
Indicator interpretation
The organization's ERMO and its personnel have the ability to plan ERM work and scientifically manage electronic documents, analyze and determine the scope, standards, requirements and work procedures of electronic document management. Aims to standardize the development of business work: Propose overall requirements for the planning and implementation of the system from the perspective of document management business. The organization's ERMO and its personnel are equipped with the ability to determine the scope and object of ERM business based on the organization's ERM work plan, Aims to ensure that valuable electronic documents can be managed scientifically and effectively. ERM and its personnel have the ability to implement scientific, orderly and hierarchical management, long-term preservation, identification and disposal of electronic documents. Aims to systematically identify, manage and protect electronic documents. ERM (and its personnel) design and reflect the information description plan of each process record of the electronic document life cycle based on the business background, institutional environment, technical environment, management process records and content of electronic documents. 6.3.2.3 ER resource management capability indicators
The ER resource management capability of the organization should be evaluated from the aspects of ER resource planning, ER resource organization, ER quality control, ER quantity management, etc. -rrKaeerKa-
GB/T39755.2—2021
. Indicators and explanations See 6.3.2 Table 7 of GB/T39755.1-2021 for capability requirements. ER resource management capability evaluation indicators and their interpretations. No.
Indicator name
ER resource planning
ER resource organization
ER quality control
FR quantity management
Indicator interpretation
ERMO and its personnel! By analyzing the number of electronic files generated, the trend of change, the form of existence and the recycling demand of each business department, the type, quantity, confidentiality level and storage period of the electronic files to be processed are determined. According to the infrastructure and network environment of the organization to manage electronic files, the storage environment, structure layout, access characteristics and storage requirements of the electronic file library management are determined, and the construction plan, preservation plan and maintenance plan of the electronic file library are formulated. ER.MO and its personnel have the ability to implement physical or logical division of electronic files based on the characteristic attributes, associations and preservation requirements of electronic files, and determine the organization, classification and preservation plans of electronic files. ERM and its personnel have the ability to track, supervise and inspect the authenticity, integrity, validity, security and standard compliance of electronic files and related information in the system in accordance with ERM's quality policy and standards. ERM and its personnel have the ability to track, inventory, count and estimate the number and occupied space of valuable electronic files stored in the electronic file library.
ERM business development capability indicators
The institution's ERM business development capability should be evaluated from the aspects of ER formation and handling, capture and registration, organization and archiving, storage and maintenance, migration and conversion, identification and disposal. For indicators and interpretations, see Clothing 8. For capability requirements, see Table 6.3.3 of GB/T39755.1-2021. 8 ERM business development capability assessment indicators and their interpretations. Serial number
Indicator name
ER formation and management
ER acquisition and registration
ER organization and archiving
ER storage and maintenance
ER migration and conversion
ER identification and disposal
Indicator interpretation
ERMO and its personnel! The equipment is equipped with the ability to follow the institution's general requirements for electronic document management during the process of electronic document formation, and to retain business information, business process information, important version results and other information that are evidential, reference and productive in business activities in a timely manner. ERMO and its personnel are equipped with the ability to transfer electronic documents and their metadata generated or received during business activities to the electronic document management system, and to assign an identifier to the electronic document. ERMO and its personnel have the ability to process electronic documents in a scientific, orderly and systematic manner according to a pre-established classification scheme, so that the identity of electronic documents can be converted into electronic archives. ERMO and its personnel have the ability to classify electronic documents as needed. ERMO and its personnel have the ability to securely transfer electronic files from one system to another, or convert them from one format to another, and ensure the authenticity, integrity, availability, and security of electronic files. ERMO and its personnel have the ability to identify electronic files to be preserved in business systems, identify the value of electronic files, determine their retention period, decide to destroy electronic files that have no preservation value or have expired, and identify and process valuable electronic files for continuous preservation. -rrKaeerKca-The ability of various personnel in ERM business activities should be clearly defined. System management ability indicators
The ability of institutions to carry out ERM work should be evaluated from the aspects of system construction, system document control, and system implementation: Indicators and interpretations are shown in Table 4. Capability requirements are shown in 6.2.3 of GB/T39755.1-2021. Table 4 System management ability evaluation indicators and their interpretations. No.
Indicator name
System construction
System document control
System implementation
Operation control capability
Indicator interpretation
ERMO collects and organizes relevant national and industry laws, regulations, policies and standards The ability to formulate internal management systems, standards and specifications for the organization's ERMT work plan, and to modify and improve system documents in line with the needs of ERM business expansion: including but not limited to management methods, business specifications and technical specifications, and operating procedures, etc. The ability to manage and control the construction and implementation process of ERM related systems, ensure the effectiveness of current system documents, and recover and eliminate old versions of non-compliant system documents; the ability to establish, implement and implement the ERM systems, specifications and standards formulated by the organization; and evaluate the organization's operational control capabilities in carrying out ERMT work from the aspects of personnel management, process control, and governance improvement. Indicators and their definitions are shown in Table 5. For capability requirements, see 6.2.4 of (13/T39755.[—2021, Table 5 Indicators for Operation Control Capability Evaluation and Their Definitions) No.
Indicator Name
Personnel Management
Process Control
Governance Improvement
Indicator Definition
Clearly define the responsibilities of each ERM position. Urge FRM employees to improve their work capabilities and carry out ERMI work through training, follow-up education and assessment.
Establish supervision mechanisms, assessment mechanisms, training mechanisms, and reward and punishment incentive mechanisms to monitor the entire ERM process, monitor ERM business processes and personnel, that is, to grasp and control the implementation of the system and the performance of personnel in various departments.
Establish internal assessment and review, management review and error correction and improvement mechanisms to urge improvements on deviations or problems in ERMT work: Follow PIC A sales management system improves the ability of ERM service quality-rrKaeerka-
6.3.2 Document control capability module
6.3.2.1 Evaluation indicator framework
The evaluation indicator framework of the document control capability module is shown in Figure 4. Document control capability
ERM business architecture
M business planning
Scope determination
R classification design
R data planning
6.3.2.2 ERM business architecture capability indicators
ER resource management
Resource organization
Data collection
Formation and handling
Figure 4 Document control capability indicator framework
ERM business development
Description and registration
Formation and H
R Storage and continued protection
GB/T 39755.2—2021
ER certificate transfer and conversion
ER identification and disposal
The ERM business architecture capability of the institution should be evaluated from the aspects of ERM business planning, ERM scope determination, ER classification design, and ER metadata design. See Table 6 for indicators and interpretations, and see 6.3.1 of (B3/T39755.1-202[ for capability requirements. Table 6 ERM business architecture capability evaluation indicators and their interpretations No.
Indicator name
ERM business planning
ERM specification and application research
ER classification design
ER metadata design
Indicator interpretation
The ERMO and other personnel of the institution have the basic ERM work planning and scientific management methods for electronic documents, and the ability to analyze and determine the scope, standards, requirements and work procedures of electronic document management. The development of the business work is aimed at standardizing the development of the business work: from the perspective of document management business to provide system specifications The overall requirements for planning and implementation are proposed by the institution's ERMO and its personnel! The ability to determine the ERM business scope and object scope based on the institution's ERM work plan is to ensure that valuable electronic documents can be managed scientifically and effectively. ERMO and its personnel have the ability to implement scientific, orderly and hierarchical management and long-term preservation, identification and disposal of electronic documents. It aims to systematically identify, manage and protect electronic documents. ERM (and its personnel) design and reflect the information records of each process of the electronic document life cycle based on the business background, system environment, technical environment, management process records and content of electronic documents. 6.3.2.3 ER resource management capability indicators
The ER resource management capabilities of the institution should be evaluated from the aspects of ER resource planning, ER resource organization, ER quality control, ER quantity management, etc. -rrKaeerKa-
GB/T39755.2—2021
For indicators and explanations, see 7. For capability requirements, see Table 7 of 6.3.2 of GB/T39755.1-2021. ER resource management capability evaluation indicators and their explanations. No.
Indicator name
ER resource planning
ER resource organization
ER quality control
FR quantity management
Indicator explanation
ERMO and its personnel! Through analyzing the number of electronic files generated, the trend of change, the existing form and the recycling demand of each business department, the type, quantity, confidentiality level and the storage period requirements of the electronic files to be processed are determined. According to the infrastructure and network environment of the organization to manage electronic files, the storage environment, structure layout, access characteristics and storage requirements of the electronic file library are determined, and the construction plan, preservation plan and maintenance plan of the electronic file library are formulated. ERMO and its personnel have the ability to implement physical or logical division of electronic files based on the characteristic attributes, association relationships and preservation requirements of the electronic files, and determine the organization, classification and preservation plan of the electronic files. Ability of ERM and its personnel to track, supervise and inspect the authenticity, integrity, validity, security and standard compliance of electronic documents and related information in the system in accordance with ERM's quality policy and standards. ERM and its personnel have the ability to track, inventory, count and estimate the number and occupied space of valuable electronic documents stored in the electronic documents library.
ERM business development capability indicators
The institution's ERM business development capability should be evaluated from the aspects of ER formation and handling, capture and registration, organization and archiving, storage and maintenance, migration and conversion, identification and disposal. For indicators and interpretations, see Clothing 8. For capability requirements, see Table 8, 6.3.3 of GB/T39755.1-2021. 8 ERM business development capability assessment indicators and their interpretations. Serial number
Indicator name
ER formation and management
ER acquisition and registration
ER organization and archiving
ER custody and maintenance
ER migration and conversion
ER identification and disposal
Indicator interpretation
ERMO and its personnel! The equipment is equipped with the ability to follow the institution's general requirements for electronic document management during the process of electronic document formation, and to retain business information, business process information, important version results and other information that are evidential, reference and productive in business activities in a timely manner. ERMO and its personnel are equipped with the ability to transfer electronic documents and their metadata generated or received during business activities to the electronic document management system, and to assign an identifier to the electronic document. ERMO and its personnel have the ability to process electronic documents in a scientific, orderly and systematic manner according to a pre-established classification scheme, so that the identity of electronic documents can be converted into electronic archives. ERMO and its personnel have the ability to classify electronic documents as needed. ERMO and its personnel have the ability to securely transfer electronic files from one system to another, or convert them from one format to another, and ensure the authenticity, integrity, availability, and security of electronic files. ERMO and its personnel have the ability to identify electronic files to be preserved in business systems, identify the value of electronic files, determine their retention period, decide to destroy electronic files that have no preservation value or have expired, and identify and process valuable electronic files for continuous preservation. -rrKaeerKca-The ability of various personnel in ERM business activities should be clearly defined. System management ability indicators
The ability of institutions to carry out ERM work should be evaluated from the aspects of system construction, system document control, and system implementation: Indicators and interpretations are shown in Table 4. Capability requirements are shown in 6.2.3 of GB/T39755.1-2021. Table 4 System management ability evaluation indicators and their interpretations. No.
Indicator name
System construction
System document control
System implementation
Operation control capability
Indicator interpretation
ERMO collects and organizes relevant national and industry laws, regulations, policies and standards The ability to formulate internal management systems, standards and specifications for the organization's ERMT work plan, and to modify and improve system documents in line with the needs of ERM business expansion: including but not limited to management methods, business specifications and technical specifications, and operating procedures, etc. The ability to manage and control the construction and implementation process of ERM related systems, ensure the effectiveness of current system documents, and recover and eliminate old versions of non-compliant system documents; the ability to establish, implement and implement the ERM systems, specifications and standards formulated by the organization; and evaluate the organization's operational control capabilities in carrying out ERMT work from the aspects of personnel management, process control, and governance improvement. Indicators and their definitions are shown in Table 5. For capability requirements, see 6.2.4 of (13/T39755.[—2021, Table 5 Indicators for Operation Control Capability Evaluation and Their Definitions) No.
Indicator Name
Personnel Management
Process Control
Governance Improvement
Indicator Definition
Clearly define the responsibilities of each ERM position. Urge FRM employees to improve their work capabilities and carry out ERMI work through training, follow-up education and assessment.
Establish supervision mechanisms, assessment mechanisms, training mechanisms, and reward and punishment incentive mechanisms to monitor the entire ERM process, monitor ERM business processes and personnel, that is, to grasp and control the implementation of the system and the performance of personnel in various departments.
Establish internal assessment and review, management review and error correction and improvement mechanisms to urge improvements on deviations or problems in ERMT work: Follow PIC A sales management system improves the ability of ERM service quality-rrKaeerka-
6.3.2 Document control capability module
6.3.2.1 Evaluation indicator framework
The evaluation indicator framework of the document control capability module is shown in Figure 4. Document control capability
ERM business architecture
M business planning
Scope determination
R classification design
R data planning
6.3.2.2 ERM business architecture capability indicators
ER resource management
Resource organization
Data collection
Formation and handling
Figure 4 Document control capability indicator framework
ERM business development
Description and registration
Formation and H
R Storage and continued protection
GB/T 39755.2—2021
ER certificate transfer and conversion
ER identification and disposal
The ERM business architecture capability of the institution should be evaluated from the aspects of ERM business planning, ERM scope determination, ER classification design, and ER metadata design. See Table 6 for indicators and interpretations, and see 6.3.1 of (B3/T39755.1-202[ for capability requirements. Table 6 ERM business architecture capability evaluation indicators and their interpretations No.
Indicator name
ERM business planning
ERM specification and application research
ER classification design
ER metadata design
Indicator interpretation
The ERMO and other personnel of the institution have the basic ERM work planning and scientific management methods for electronic documents, and the ability to analyze and determine the scope, standards, requirements and work procedures of electronic document management. The development of the business work is aimed at standardizing the development of the business work: from the perspective of document management business to provide system specifications The overall requirements for planning and implementation are proposed by the institution's ERMO and its personnel! The ability to determine the ERM business scope and object scope based on the institution's ERM work plan is to ensure that valuable electronic documents can be managed scientifically and effectively. ERMO and its personnel have the ability to implement scientific, orderly and hierarchical management and long-term preservation, identification and disposal of electronic documents. It aims to systematically identify, manage and protect electronic documents. ERM (and its personnel) design and reflect the information records of each process of the electronic document life cycle based on the business background, system environment, technical environment, management process records and content of electronic documents. 6.3.2.3 ER resource management capability indicators
The ER resource management capabilities of the institution should be evaluated from the aspects of ER resource planning, ER resource organization, ER quality control, ER quantity management, etc. -rrKaeerKa-
GB/T39755.2—2021
For indicators and explanations, see 7. For capability requirements, see Table 7 of 6.3.2 of GB/T39755.1-2021. ER resource management capability evaluation indi
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