In recent years, with the rapid development of the economy and society, the internal and external environment of the enterprise development of drastic changes in the management of corporate records show some new trends.
A, regulatory compliance
Regulatory Compliance (Regulatory Compliance) refers to the business activities of enterprises to comply with the laws, regulations and rules, and can prove that they do comply with the relevant requirements. The file records the basis, process and results of the business activities of the enterprise, and is a traceable proof of the enterprise's compliance with the law, compliance, and integrity of the business. Achieving regulatory compliance requires that enterprises manage their files in accordance with the law and effectively, ensure the authenticity, integrity, availability and security of information, and provide proof of the legitimacy of their activities.
The emphasis on regulatory compliance began with the Sarbanes-Oxley Act in the U.S. In 2001, a number of major U.S. corporations, including Enron Energy, Crown Worldwide, WorldCom, Xerox, and others, blew up in scandals involving document forgery, file destruction, and financial fraud. In order to regain the confidence of investors and strengthen the regulation of enterprises, in 2002, the United States Congress passed the "Listed Companies Financial Reform and Investor Protection Act" (also known as the "Sarbanes-Oxley Act", Sarbanes-Oxley Act), which made strict provisions for the filing of documents of listed companies in the United States, emphasizing that the audit of corporate behavior through the audit of the files in order to achieve the supervision of enterprises. The Sarbanes-Oxley Act provides for fines or imprisonment of up to 20 years if a company willfully destroys or falsifies documents and files. Shortly thereafter, the U.S. Securities and Exchange Commission (SEC) fined brokerage firms such as Morgan Stanley, Merrill Lynch, City Bank, and Deutsche Bank for poorly preserved e-mails, and in 2004, the Basel Committee on Banking Supervision passed the New Basel Capital Accord for the financial industry, which imposes a new level of regulation on the financial industry. In 2004, the Basel Committee on Banking Supervision adopted the "New Basel Capital Accord" for the financial industry, which regulates the preparation and storage of corporate information and the establishment of an electronic evidence mechanism. 2008, China's Ministry of Finance, the Securities and Futures Commission, the Audit Commission, ** and the Insurance Regulatory Commission jointly issued the "Basic Standard for Internal Control of Enterprises", which puts forward the requirements for the truthfulness and completeness of corporate information as well as the storage and safekeeping of documents.
The above regulations have three basic requirements: first, data storage (Storage). It is required that enterprise data must be stored truthfully and completely until the end of the period specified in the regulations and policies; during the period of data storage, it must be technically guaranteed that it will not be modified or deleted. Second, safe utilization (Access). Enterprises should fully protect the privacy and intelligence components of the data, while the data should be safely stored under the premise of safe utilization. Third, audit (Account). Enterprises are required to retain the data subjects while sealing the access process of the data to fulfill the audit requirements of regulations and policies. Regulatory compliance puts new stringent requirements on corporate records management and urges company management to pay more attention to records management.
II. Assetization
Asset is a resource formed on past transactions or events, owned or controlled by the enterprise, and expected to bring economic benefits to the enterprise. The information and knowledge attributes of archives determine their economic value, especially in the era of knowledge economy, the status of archives as intangible assets of enterprises is more prominent. The international standard "Information and Documentation-Document Management" (ISO15489) points out that "documents are valuable information resources and important corporate assets." The international standard "Information and Documentation-Document Management System-Foundations and Terminology" (ISO30300) further clarifies that "Documents, as an information resource, are part of the intellectual capital of an organization and therefore also belong to the assets of the organization." China's archival industry standard, "Code of Practice for Enterprise Archives" (DA/T42) also emphasizes, "Enterprise archives are an important part of the intellectual assets and information resources of an enterprise."
In practice, in 1992, the Shanghai Marine Geological Survey, when participating in the formation of the Shanghai Oil and Gas Company, contributed 120 million yuan as registered capital with the valuation of the archives obtained during the exploration phase of its Donghu oil and gas field.In 2000, the European Union (EU) estimated that the information resources of the EU governments, which were dominated by electronic documents, contained the value of 470 billion euros.In 2000, the United Kingdom issued the Information Asset Registration" and "Assessing Information Assets: Appraisal of Electronic Documents of Government Organizations", which are used for asset registration and appraisal of information including archives by the British federal government agencies. 2008 National **Deputy, Board of Directors of Fortune Holding Group Company Limited **Zhao Linzhong put forward: to be like the "outgoing financial audits", to the party and governmental organs, enterprises and institutions, as well as the "financial audit". The legal representatives of party and government organizations, enterprises and public institutions should be subjected to an "outgoing file audit", which should be incorporated into the Archives Law. Records as assets, registration, evaluation and audit, will become one of the important trends in corporate records management.
Three, corporate culture
First-class enterprises do culture, second-class enterprises do technology, third-class enterprises do products. China's enterprises to become bigger and stronger, into a century of excellence, we must strive to cultivate a good corporate culture. The cultivation of corporate culture is inseparable from good file management. File is the precipitate of corporate history, is the company's culture of the curing material. Many famous enterprises in the world, such as American Telephone and Telegraph Company, Ford Motor, IBM, Siemens, BASF, Bayer, etc., all attach great importance to archive management, and emphasize the study of corporate history. The archives of these companies also collect a large number of products with heritage value, souvenirs, etc., both the company's museum and industrial cultural heritage showroom function. Many of China's corporate archives department is also paying more and more attention to mining corporate history and culture, carry forward the company's outstanding traditions, increase the company's historical deposits, improve the company's cultural temperament, and promote the competitiveness of the company to enhance and sustainable development.
Four, standardization
Standardization is people in the production and construction activities, a wide range of scientific research results and production practice to summarize the experience, the formation of *** with the guidelines, and to be universally implemented activities. Standardization contains the unity, simplification, coordination and optimization of the basic principles. The implementation of standardization is the basic requirements of large-scale socialized production. Over the years, China's corporate archives have been emphasizing the implementation of standardization, but the actual work, mainly following the national standards and industry standards, and less attention to international standards. With economic globalization and transnationalization of business, the adoption of international standards has become the basic trend and inevitable requirements of modern enterprises. Moreover, many international standards reflect advanced concepts and best practices in a particular field, and superior enterprises should be guided by authoritative international standards.
The international standards in the field of records management are mainly formulated by ISO/TC46/SC11 (International Organization for Standardization Sub-Technical Committee on Archives/Document Management). At present, the following standards developed by ISO/TC46/SC11 deserve the attention of the corporate archives department: "Information and Documentation-Document Management System-Foundations and Terminology" (ISO30300), "Information and Documentation-Document Management System-Requirements (ISO30301), Information and documentation-Document management (ISO15489), Information and documentation-Document management processes-Document metadata management (ISO23081), Information and documentation-Work for document Process Analysis (ISO26122), Information and Documentation-Document Digitization Implementation Guide (ISO13028), Information and Documentation-Conversion and Migration Processes for Digital Documents (ISO13008), and Information and Documentation-Principles of Document Management in an Electronic Environment and Functional Requirements" (ISO16175) and so on.
V. Organizational Memory
"Memory" was originally a biological and psychological concept, which refers to the conscious or unconscious preservation and reproduction of an individual's experiences and things in the course of daily life. Memory is the basis for a person's survival and growth. Later, sociologists put forward the concept of "collective memory" and "social memory". Collective memory is the spiritual wealth and cultural bond of the group to which it belongs. At the end of the last century, "memory" was introduced into the field of archives. 1996 Canadian archivist Terry Cook pointed out at the 13th International Congress on Archives that archivists all over the world are still building memory palaces. 2000, at the 14th International Congress on Archives, the King of Spain, Juan Carlos, pointed out: "Archives are the most authoritative places for the preservation of human memory in all its manifestations, for the preservation of social and personal memory." The theme of the 15th ICA in 2004 was "Archives, Memory and Knowledge". ISO 15489 suggests that one of the benefits that documents bring to an organization is "the preservation of organizational, personal or social memory"; ISO 30300 also emphasizes that the goal of implementing a document management system is "the preservation of organizational, personal or social memory". ISO15489 suggests that one of the benefits of documents to an organization is "the preservation of organizational, individual or social memory"; ISO30300 also emphasizes that one of the goals of implementing a document management system is to "preserve corporate or collective memory and assume social responsibility".
The concept of "organizational memory" has also been proposed in the management community. Organizational memory refers to the application of past knowledge to present activities, and in this way to improve the business level of the organization, which is essentially the empirical and historical knowledge of the enterprise. Organizational memory is closely related to the concepts of organizational intelligence, learned** organizations, artificial intelligence, knowledge management systems, organizational and personal development, and is even equivalent to knowledge management. Wang Zhaoxiang et al. point out that "The corporate memory system is the system that accumulates and maintains knowledge within the enterprise through literacy, retention, and recall. It is mainly composed of the following elements: the brains of all members within the enterprise, documents, contracts, archival materials, books, computer memory and other forms of information storage media, etc." It can be seen that archives are an important part of organizational memory, and the inheritance of organizational memory should become an important goal of enterprise archive management. Examining archives from the perspective of organizational memory provides new ideas for enterprise archive management.
Sixth, knowledge management
In today's knowledge economy, knowledge is the only valuable resource, knowledge management is the basic paradigm of enterprise management. Knowledge management has two basic modes: one is the codification mode (Codification Mode), emphasizing the use of information technology to build a knowledge base, through the "human-document-human" pathway to achieve the management and development of explicit knowledge; the other is the personalization mode (Personalization Mode), which emphasizes the use of information technology to build a knowledge base, to achieve the management and development of explicit knowledge. Humanization Mode (Personalization Mode), emphasizing the investment in human resources, cultivate knowledge exchange atmosphere, through the "people - people" way, to achieve the tacit knowledge **** enjoy and use. Archives are the "deposition container" of explicit knowledge and the "coding tool" for the explicitization of tacit knowledge. Coding knowledge management is essentially a knowledge-based, advanced file management. As early as 1994, Terry Cook proposed that archivists should transition from physical custodians to knowledge providers. 2002, Zhang Bin proposed: "corporate archives is an important knowledge resource for enterprises, and corporate archives management is an important part of corporate knowledge management." In 2007, Xu Congjun further put forward the "archive knowledge management model" ("knowledge management-oriented archive management" and "archive management-based knowledge management"). That archive management should be innovative to the direction of knowledge management, expansion, knowledge management can be cut from the archive management, the beginning.
In the early years, due to the neglect of file management, knowledge can not be solidified, many companies failed in knowledge management. In recent years, more and more knowledge management managers realize that knowledge management to land, inseparable from file management. On the other hand, many corporate archives departments are also more actively involved in knowledge management, and some have even become the company's knowledge management leader or lead unit. At present, corporate records management in the completion of the development from entity management to information management, is experiencing a transition from information management to knowledge management, from knowledge management to knowledge services.
seven, integration management
Integration refers to a number of isolated things or elements through a certain way to focus together, resulting in a connection, thus constituting an organic whole process. Integration management is the vertical and horizontal integration and optimization to achieve system goals. Integration in the field of enterprise records management includes the following levels: First, the integration of resources, including the integration of documents and files (integration), the integration of library intelligence and documents (integration), structured data and the integration of unstructured data. Future enterprises will no longer strictly differentiate between documents and files, library intelligence and archives, structured data and unstructured data, but they are considered information resources (information content) to be managed in a unified manner. Second, system integration, that is, the integration of file management systems and business systems. In the first stage, it mainly builds the interface between the business system and the archive management system, and realizes that the data of the business system are automatically archived in the archive management system; eventually, it will realize the seamless connection between the archive management system and the business system. Some enterprises can also not build a separate file management system, but the file management functions embedded in the business system. Third, process integration, that is, document/file management embedded in the business process to document/file information flow to support the business flow. Fourth, standards integration, that is, document/records management into the ISO9000 quality management system, ISO14000 environmental management system, OHSAS18000 occupational health and safety management system, ISO27000 information security management system.
Eight, risk management
With the rapid development of science and technology and the rapid advance of globalization, human society has stepped into a full of uncertainty "risk society". Whether it is a natural disaster, such as the 2008 Wenchuan earthquake, the 2011 earthquake and tsunami in Japan, or man-made disasters, such as the 2001 "9.11" incident, the 2003 Iraq War, have seriously damaged a large number of valuable archives, resulting in irreparable losses. After the "9.11" incident, many companies in the World Trade Center were unable to resume operations because all their business data were destroyed, while Morgan Stanley resumed operations on the third day because of the backup system built in New Jersey. Visible, strengthen the file risk management is very necessary.
In 2001, ISO15489 emphasized the assessment of document risk, analysis and response. 2004, the International Association of Document Management and Administrative Workers (ARMA) published the "Risk Management of Documents and Information" for the document management personnel of various countries to provide guidance on risk management methodology; Digital Conservation Center of Europe (DCC) and the Digital Protection of Europe (DPE) (DCC) and the Digital Preservation in Europe (DPE) developed the Digital Warehousing Audit Methodology Based on Risk Assessment.In 2009, China's DA/T42 required: "Formulate an emergency response plan for archive management. For possible emergencies and natural disasters, enterprises should formulate emergency measures for archive rescue, including organizational structure, rescue methods, rescue procedures, safeguard measures and transfer locations. Emergency plans should be formulated for the maintenance, disaster prevention and recovery of software, operating systems and data for archive information management." Constructing the archive risk management system and formulating the archive management emergency plan have become an important part of the modern enterprise archive work.
Nine, overseas file supervision
In recent years, with the accelerating economic globalization, opening up to the outside world continues to deepen, China's state-owned enterprises have been "going out", investing in overseas factories, business, resulting in a large number of overseas files. Due to a number of reasons, many state-owned enterprises outside the file supervision is not effective, chaotic management, resulting in the loss of a large number of state-owned assets, the country's core economic secrets are frequently leaked, the business risk has increased dramatically. For this reason, in 2005, the State Archives Administration issued the Opinions on Strengthening the Archival Work of Foreign Institutions and Overseas Enterprises, which required that "parent companies should gradually establish and improve the archival work management system for foreign institutions and overseas enterprises". 2009, the State-owned Assets Supervision and Administration Commission (SASAC) and the State Archives Administration (SASA) issued the Opinions on Further Strengthening the Archival Work of **Enterprises, which emphasized the need to strengthen the archival work of enterprises. In 2009, SASAC and the State Archives Administration issued the Opinions on Further Strengthening the Archives of **Enterprises**, which emphasized the need to "strengthen the archives management of overseas enterprises and institutions".
Because of the special nature of state-owned enterprises overseas archives, overseas archives work in a special environment, especially the differences between domestic and foreign archives law, system, language, culture, tradition, etc., to the supervision of state-owned enterprises overseas archives has brought special challenges, put forward special requirements. For this reason, the supervision of overseas archives of state-owned enterprises should follow two basic principles - "double compliance" (simultaneous compliance with the archival laws and regulations of both China and the host country or region), "two-way inclusion" (mutual inclusion of both China and the host country or region), and "two-way inclusion" (mutual inclusion of both China and the host country). " (mutual tolerance of the archival culture and tradition of China and the host country or region); grasp three key control points - the determination of the scope of filing and retention period table of overseas documents, the construction of a global archival management system, and the selection of methods for the transfer of overseas archives to the territory.
Ten, cloud computing and big data
Cloud Computing (Cloud Computing) and Big Data (Big Data) is the current development of information technology, two important trends, will have a far-reaching impact on all walks of life. Like other activities of enterprises, archive management must adapt to the characteristics and requirements of cloud computing and big data, and carry out changes in ideology, business model and management style. First, the generalization of the concept of archives. That is, to establish a "big archive concept", all information records with preservation value as archives, regardless of the process, carrier, type, format, retention period. This means that all records are archives, and the "instant" of document creation is an archive. The second is the construction of the archive cloud platform. That is, based on the "cloud architecture", to create a unified and efficient archive resource management and service platform covering various departments, systems and businesses. Third, file storage and knowledge mining. One of the core applications of big data is prediction, and prediction depends on the accumulation and mining of historical data. This puts forward higher requirements for mass storage and knowledge mining of archives. The center of gravity of enterprise archives work will change from "digital" to "data". Fourth, the file security problem is more serious and complex.