政府文書檔案互動整合模式之建構

A New Model for the Management of Government Documents, Records, and Archives

林秋燕(Chiu-yen Lin)

指導教授 ： 陳雪華

國立臺灣大學/文學院/圖書資訊學研究所/博士(2015年)

https://doi.org/10.6342/NTU.2015.02284

摘要

本研究運用內容分析法、個案研究法及比較研究法等非介入性研究方法，進行檔案理論發展脈絡、檔案管理模式發展趨勢、國際標準規範及美國、英國、澳洲實務發展策略之研析，建立從理論模式、標準規範到實務案例，從上而下之研究關係，續聚焦於我國發展模式之個案研析，進行實務個案對應至理論模式、國際標準與指標性國家案例，從下而上之比較研究，解析我國文書檔案管理模式之特性與差距定位，進而融合檔案生命週期模式及紀錄連續體模式之特性優點與超越二項模式之不足，強化資訊時代中政府文書檔案價值與資訊開放趨勢，建構「文書檔案互動整合模式(Interactive and Integrated Model for the Management of Documents, Records and Archives，簡稱I2 DRA)」及簡易方程式，以概念、產生、維護、取用(Conception, Creation, Maintenance, Access, CCMA)作為模式循環運作核心，在社會情境、組織任務、業務活動及個人角色(Social context, Organizational functions, Business activities, Individual identity, SOBI)之價值互動關係中，持續修正概念內涵，循環運行不息，形成雙重互動運行模式。
I2 DRA具有整合文書檔案於同一模式；打破階段性單向分離流程；將系統概念延伸至價值事證；整合管理所有業務活動紀錄；有效管理維護文書檔案；強化取用在政府資訊開放之角色；融合新典範理論之價值情境特質及建立簡要易懂之雙重互動模式8項特色，補充及超越全程生命週期及紀錄連續體模式之不足，綜合檔案理論與實務發展趨勢，並全面提升我國現有運作模式。
I2 DRA不僅符合我國文書檔案合一政策方向，有助提升我國管理模式之定位與發展，且對國際間陷於二項模式爭論困境，提出整合文書檔案價值、兼顧理論與實務之見解。I2 DRA係在關注政府電子檔案管理問題等研究情境下而發展建構，由於融合檔案理論與實務發展趨勢，其適用範圍雖以政府機關為主，但不以其為限，亦不限電子檔案及我國，期待國內、外檔案學界與實務界，進一步檢驗評估或引用作為文書檔案整合管理之概念模式，共同面對及解決電子檔案帶給人類知識資產之衝擊。
本研究復以I2 DRA進行我國在地實踐之建議，並融合國際標準趨勢及美國、英國、澳洲之推動政策特性，提出我國文書檔案整合發展策略，包括符合I2 DRA模式特性，建立提前擷取、集中虛擬代管永久保存檔案之政府雲端服務架構等建議。本研究最後並就I2 DRA模式之深化、評估及我國實踐策略較複雜部分，提出進一步研究建議。

關鍵字

檔案理論 ； 文書檔案管理模式 ； 生命週期模式 ； 紀錄連續體模式 ； 文書檔案互動整合模式( I2 DRA) ； 檔案國際標準 ； 電子檔案

並列摘要

This study is an unobtrusive research by implementing the content analysis, case study and comparative method. The top-down research framework is built from the archival theories, and management models to the international standards related to records and archives, and practical strategies of the United States, United Kingdom, and Australia. Furthermore, this study focuses on Taiwan, to set up a bottom-up connection from the practical case to the theoretical model, international standards, and the above countries. It expects to identify Taiwan’s current characteristics, gap, and position of the management of documents and records, and to find out a more effective model to manage both of the electronic and physical records. As a result, this study constructs a holistic model named "Interactive and Integrated Model for the Management of Documents, Records, and Archives (referred to as I2 DRA)", and gives a simple conceptual equation. I2 DRA merges the strength of records life-cycle model, and records continuum model, breaks through their weaknesses, and highlights the records value, and trends of government information openness at the information age.
I2 DRA includes 4 core elements of Conception, Creation, Maintenance, and Access (CCMA) as the records management process, which is embedded in the matrix of 4 value relationships, i.e. Social context, Organizational functions, Business activities and Individual identity (SOBI). The CCMA acts circularly, and the SOBI influences mutually. The CCMA and the SOBI interact continuously so as to formulate a dual interactive and integrated model.
The contributions of I2 DRA include: 1. Integrating the management of documents, records, and archives in one model; 2. Replacing the linear, and phased view with reciprocal relations between records management process; 3. Incorporating evidentiality in system requirements to form a safe and sound information governance architecture; 4. Comprehensive capture of records from all business activities; 5. Incorporating risk management concepts in the model; 6. Highlighting access in the model to promote information openness; 7. Embedding records management in context; 8. Bridging the gaps between existing models. I2 DRA not only integrates the advantages of life-cycle and records continuum model, but also improves their weakness, and integrates the comprehensive trends of archival theories and practices. Further, it enhances Taiwan’s current model.
I2 DRA fits in with the integrated management policy of documents and records according to the government reform strategy in Taiwan, and may give an opportunity to promote and orientate the conceptual level of practical work. Moreover, it may provide a reference for resolving the debating between the life-cycle and records continuum model in decades. Although I2 DRA is constructed on the basis of concerning the problems of government electronic records management in Taiwan, due to the comprehensive integration of theories and practices trends, its application is not limited to government agencies, electronic records, or Taiwan. This study anticipates more evaluations or implements could be facilitated from different aspects in order to decrease or resolve the impact and challenge of electronic records to the human knowledge and asset.
To apply the I2 DRA in Taiwan, this study provides some suggestions, and recommends the holistic strategies corresponding with the tendencies of international standards, and the experiences of the United States, United Kingdom, and Australia. According to the I2 DRA’s features, this study sketches the schematic diagram of cloud service architecture for Taiwan, e.g. early capturing, virtually, and centrally hosting the permanent records in advance. Lastly, this study expects I2 DRA model could keep developing via diverse evaluations, researches and implementations. Some further research suggestions are also proposed.

並列關鍵字

archival theories ； records and archives management model ； life-cycle model ； records continuum model ； Interactive and Integrated model for management of Documents, Records, and Archives (I2 DRA) ； ISO-15489 ； ISO-16175 ； electronic records

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