I. Compliance with regulations
Compliance means that enterprises must abide by various laws, regulations and rules in their business activities, and can prove that they have indeed complied with relevant requirements. The file records the basis, process and results of various business activities of the enterprise, and is the traceable proof of the enterprise's law-abiding, compliance and honest operation. To comply with laws and regulations, enterprises are required to manage files legally and effectively, ensure the authenticity, integrity, availability and security of information, and provide legal proof for enterprise activities.
The emphasis on compliance began with the Sarbanes-Oxley Act in the United States. At 200 1, many large American companies, including Enron Energy, Guanqun Computer, WorldCom and Xerox, etc. Scandals of forging documents, destroying files and engaging in financial fraud broke out one after another. In order to regain the confidence of investors and strengthen the supervision of enterprises, in 2002, the US Congress passed the Financial Reform of Listed Companies and the Investor Protection Act (also known as the Sarbanes-Oxley Act), which made strict provisions on the filing of documents of listed companies in the United States, emphasizing the auditing of corporate behavior through audit files, thus realizing the supervision of enterprises. Sarbanes-Oxley Act stipulates that if a company intentionally destroys or forges documents and archives, it will be fined or imprisoned for up to 20 years. Shortly thereafter, the US Securities and Exchange Commission (SEC) imposed huge fines on securities companies such as Morgan Stanley, Merrill Lynch, City Bank and Deutsche Bank because their emails were not completely preserved. In 2004, the Basel Committee on Banking Supervision adopted the New Basel I, which established a standardized enterprise information storage and electronic evidence collection mechanism for the financial industry. In 2008, China's Ministry of Finance, China Securities Regulatory Commission, China Audit Office, China Insurance Regulatory Commission and China Insurance Regulatory Commission jointly promulgated the Basic Standards for Internal Control of Enterprises, which put forward requirements for the truthfulness and integrity of enterprise information and the storage and custody of documents.
The above provisions have three basic requirements: first, data storage. Require that the enterprise's data must be truly and completely preserved until the end of the time limit stipulated by laws and policies; In the process of data storage, it must be technically guaranteed that it will not be modified or deleted. The second is access. Enterprises should fully protect the privacy and intelligence components in data, and at the same time use data safely on the premise of safe storage. The third is the audit (account). Enterprises are required to keep the data subject and seal the data access process to meet the audit requirements of laws and policies. Abiding by laws and regulations puts forward new strict requirements for enterprise file management, and also urges the management of the company to pay more attention to file management.
Second, capitalization.
Assets refer to resources formed by past transactions or events, owned or controlled by enterprises, and expected to bring economic benefits to enterprises. The information and knowledge attributes of archives determine their economic value. Especially in the era of knowledge economy, archives play a more prominent role as intangible assets of enterprises. The international standard "Information and Documentation-Document Management" (ISO 15489) points out: "Documents are valuable information resources and important enterprise assets." The international standard "Information and Documents-Document Management System-Fundamentals and Terminology" (ISO30300) further clarifies: "As an information resource, documents are part of an organization's intellectual capital, so they also belong to an organization's assets." China's archival industry standard "Enterprise Archives Work Standard" (Da /T42) also emphasizes: "Enterprise archives are an important part of enterprise knowledge assets and information resources."
In practice, when Shanghai Marine Geological Survey participated in the establishment of Shanghai Oil and Gas Company on 1992, it subscribed the registered capital of120 million yuan obtained in the exploration stage of Donghu oil and gas field. In 2000, the EU estimated that the information resources of EU governments, mainly electronic documents, were worth 470 billion euros. In 2000, Britain promulgated "Information Assets Registration and Information Assets Appraisal: Electronic Documents Appraisal of Government Organizations", which is used by British federal government agencies to register and evaluate information including archives. In 2008, Zhao Linzhong, a national representative and a member of the board of directors of Furun Holding Group Co., Ltd., proposed that the legal representatives of party and government organs, enterprises and institutions should be included in the archives law just like the financial audit. It will become one of the important trends of enterprise file management to register, evaluate and audit files as assets.
Third, corporate culture.
First-class enterprises do culture, second-rate enterprises do technology, and third-rate enterprises do products. China enterprises must strive to cultivate a good corporate culture if they want to become bigger and stronger and become excellent enterprises with a century-long foundation. The cultivation of corporate culture is inseparable from good file management. Archives are the precipitation of enterprise history and the solidification of company culture. Many famous enterprises in the world, such as AT&T, Ford Motor Company, IBM, Siemens, BASF, Bayer, etc. , attaches great importance to the study of archives management and enterprise history. The archives of these companies also collect a large number of products and souvenirs with cultural value, which have the functions of corporate museums and industrial cultural heritage exhibition halls. Many domestic enterprise archives departments are also paying more and more attention to excavating enterprise history and culture, carrying forward the company's excellent traditions, increasing the company's historical accumulation, enhancing the company's cultural temperament and promoting the company's competitiveness and sustainable development.
Fourth, standardization.
Standardization is an activity that people widely summarize scientific research achievements and practical experience in production and construction activities, form the same standard, and generally implement it. Standardization includes the basic principles of unification, simplification, coordination and optimization. Carrying out standardization is the basic requirement of socialized mass production. For many years, China's enterprise archives industry has been emphasizing the implementation of standardization, but in practical work, it mainly follows national standards and industry standards, and pays less attention to international standards. With the economic globalization and transnational operation, adopting international standards has become the basic trend and inevitable requirement of modern enterprises. Moreover, many international standards reflect advanced ideas and best practices in a certain field, and excellent enterprises should be guided by authoritative international standards.
International standards in the field of archives management are mainly formulated by ISO/TC46/SC 1 1 (Technical Committee of Archives/Documents Management of the International Organization for Standardization). At present, the following standards formulated by ISO/TC46/SC 1 1 deserve the attention of enterprise archives departments: information and literature-archives management system-basics and terminology (ISO30300), information and literature-archives management system-requirements (ISO3030 1) and information and literature-archives management. Information and Literature-Archives Management Process-Archives Metadata Management (ISO2308 1), Information and Literature-Archives Workflow Analysis (ISO26 122), Information and Literature-Archives Digitization Implementation Guide (ISO 13028), Information and Literature-Digital Archives.
Verb (abbreviation for verb) organizes memory.
"Memory" is originally a biological and psychological concept, which refers to the conscious or unconscious preservation and reproduction of personal experiences and things in the process of daily life. Memory is the foundation of a person's survival and growth. Later sociologists put forward the concepts of "collective memory" and "social memory". Collective memory is the spiritual wealth and cultural bond of the same group. At the end of last century, "memory" was introduced into the field of archival science. 1996 terry cooke, a Canadian archivist, pointed out at the 13th International Archives Congress that archivists all over the world are still building memory palaces. At the14th International Archives Congress in 2000, King Juan Carlos of Spain pointed out: "Archives are the most authoritative place to preserve various forms of human memory, social memory and personal memory." The theme of the15th International Archives Congress in 2004 was "Archives, Memory and Knowledge". И o15489; One of the advantages of the document file for the tissue belt is "the memory of the tissue, personal memory or social memory";
Management scholars also put forward the concept of "organizational memory". Organizational memory refers to the application of past knowledge to present activities to improve the business level of the organization, which is essentially the empirical knowledge and historical knowledge of the enterprise. Organizational memory is closely related to organizational intelligence, learning organization, artificial intelligence, knowledge management system, organization and personal development, even equivalent to knowledge management. Wang Zhaoxiang and others pointed out: "Enterprise memory system refers to the system that accumulates and maintains knowledge through memory, maintenance and recall. It mainly consists of the following elements: the brains of all members of the enterprise, documents, contracts, files, books, computer memory and other forms of information storage media. " It can be seen that archives are an important part of organizational memory, and inheriting organizational memory should become an important goal of enterprise archives management. Examining archives from the perspective of organizational memory provides a new idea for enterprise archives management.
Knowledge management of intransitive verbs
In today's era of knowledge economy, knowledge is the only valuable resource, and knowledge management is the basic paradigm of enterprise management. There are two basic modes of knowledge management: one is coding mode, which emphasizes the construction of knowledge base with the help of information technology and realizes the management and development of explicit knowledge through "person-document-person"; The second is personalized mode, which emphasizes investing in human resources, cultivating the atmosphere of knowledge exchange, and realizing the enjoyment and utilization of tacit knowledge through "person-to-person" mode. Archives are the "storage container" of explicit knowledge and the "coding tool" of explicit knowledge in enterprises. Coding knowledge management is essentially a kind of knowledge-based advanced file management. As early as 1994, terry cooke suggested that archivists should transition from entity custodians to knowledge providers. In 2002, Zhang Bin put forward: "Enterprise archives are important knowledge resources of enterprises, and enterprise archives management is an important content of enterprise knowledge management." In 2007, Xu Yongjun further put forward the "archives knowledge management mode" ("archives management guided by knowledge management" and "archives management based on knowledge management"), thinking that archives management should be innovated and expanded in the direction of knowledge management, and knowledge management can start from archives management.
In the early years, due to the neglect of file management, knowledge could not be solidified, and the knowledge management of many companies failed. In recent years, more and more knowledge management managers have realized that knowledge management cannot be separated from file management. On the other hand, many enterprise archives departments are also more actively involved in knowledge management, and some even become the leaders or lead units of enterprise knowledge management. At present, after completing the development from entity management to information management, enterprise archives management is undergoing the transformation from information management to knowledge management and from knowledge management to knowledge service.
Seven. integrated management
Integration refers to the process of combining some isolated things or elements in some way to form an organic whole. Integrated management is vertical and horizontal integration and optimization to achieve system goals. The integration of enterprise archives management includes the following aspects: first, the integration of resources, including the integration of documents and archives, book information and literature, and the integration of structured data and unstructured data. In the future, enterprises will no longer strictly distinguish between files and archives, book information and archives, structured data and unstructured data, but manage them as information resources (information content). The second is system integration, that is, the integration of file management system and business system. In the early stage, the interface between business system and file management system was mainly constructed to realize the automatic filing of business system data in file management system; Finally, the seamless connection between the file management system and the business system is realized. Some enterprises may not build a separate file management system, but embed the file management function into the business system. The third is process integration, that is, file/archive management is embedded in business process, and business process is supported by file/archive information flow. The fourth is standard integration, that is, document/archive management is incorporated into ISO9000 quality management system, ISO 14000 environmental management system, OHSAS 18000 occupational health and safety management system and ISO27000 information security management system.
Eight. risk management
With the rapid development of science and technology and globalization, human society has entered a "risk society" full of uncertainty. Whether it is natural disasters, such as the Wenchuan earthquake in 2008, the Japanese earthquake and tsunami on 20 1 1, or man-made disasters, such as the "9. 1 1" incident in 2006+0 and the Iraq war in 2003, it has caused serious damage to a large number of precious files, bringing After the "9. 1 1" incident, many companies in the World Trade Center were unable to resume operations because their business data were all destroyed, while Morgan Stanley resumed operations on the third day because it established a backup system in New Jersey. It can be seen that it is very necessary to strengthen the risk management of archives.
200 1 and ISO 15489 emphasize the assessment, analysis and response of document risks. In 2004, the International Association of Document Management and Administrative Workers (ARMA) published "Risk Management of Documents and Information" to provide methodological guidance for document managers in various countries. The research groups of European Digital Protection Center (DCC) and European Digital Protection (DPE) have developed a digital warehouse audit method based on risk assessment. In 2009, China's DA/T42 required: "Make an emergency plan for archives management. For possible emergencies and natural disasters, enterprises should formulate emergency measures for archives rescue, including organizational structure, rescue methods, rescue procedures, safeguard measures and transfer locations. Emergency plans should be made for the maintenance, disaster prevention and recovery of software, operating system and data of file information management. " It has become an important part of modern enterprise archives work to construct archives risk management system and formulate emergency plans for archives management.
Nine. Supervision of overseas archives
In recent years, with the acceleration of economic globalization and the deepening of opening up, China's state-owned enterprises have "gone out" to invest and set up factories and businesses abroad, resulting in a large number of overseas files. Due to various reasons, many state-owned enterprises have poor supervision and chaotic management of overseas archives, resulting in the loss of a large number of state-owned assets, frequent leakage of state core economic secrets, and sharp increase in business risks. To this end, in 2005, the National Archives Bureau issued the Opinions on Strengthening the Archives Work of Overseas Institutions and Overseas Enterprises, requiring that "the parent company should gradually establish and improve the archives management system of overseas institutions and overseas enterprises". In 2009, the State-owned Assets Supervision and Administration Commission and the State Archives Bureau issued the Opinions on Further Strengthening the Archives Work of * * Enterprises, which emphasized the need to "strengthen the archives management of overseas enterprises and institutions".
Due to the particularity of overseas archives of state-owned enterprises, the particularity of the environment in which overseas archives work is carried out, especially the differences in laws, systems, languages, cultures and traditions between domestic and foreign archives, it has brought special challenges and put forward special requirements for the supervision of overseas archives of state-owned enterprises. Therefore, the supervision of overseas archives of state-owned enterprises should follow two basic principles: "double compliance" (both observing the archives laws and regulations of China and the country or region where it is located) and "two-way tolerance" (mutual tolerance of the archives cultural traditions of China and the country or region where it is located); Grasp three key control points-the determination of filing scope and storage period table of overseas documents, the construction of archives management system covering the whole world, and the choice of transfer mode of overseas archives to China.
X. Cloud computing and big data
Cloud computing and big data are two important trends in the current information development, which will have a far-reaching impact on all walks of life. Like other activities of enterprises, archives management must adapt to the characteristics and requirements of cloud computing and big data, and carry out changes in ideas, business models and management methods. The first is the generalization of the concept of archives. That is to establish a "big archive view", which regards all information records with preservation value as archives, regardless of their process, carrier, type, format and preservation period. This means that all records are files, and the "moment" when a document is generated is a file. The second is the construction of archives cloud platform. That is, based on the "cloud architecture", build a unified and efficient archive resource management and service platform covering all departments, systems and businesses of the enterprise. The third is file storage and knowledge mining. One of the core applications of big data is forecasting, and forecasting depends on the accumulation and mining of historical data. This puts forward higher requirements for mass storage of archives and knowledge mining. The focus of enterprise archives work will shift from "digitalization" to "dataization". Fourth, the problem of file security is more severe and complicated.