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研究生:林秋燕
研究生(外文):Chiu-yen Lin
論文名稱:政府文書檔案互動整合模式之建構
論文名稱(外文):A New Model for the Management of Government Documents, Records, and Archives
指導教授:陳雪華陳雪華引用關係
口試委員:陳光華林奇秀薛理桂莊道明許芳銘
口試日期:2014-06-20
學位類別:博士
校院名稱:國立臺灣大學
系所名稱:圖書資訊學研究所
學門:傳播學門
學類:圖書資訊檔案學類
論文種類:學術論文
論文出版年:2015
畢業學年度:103
語文別:中文
論文頁數:264
中文關鍵詞: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
外文關鍵詞:archival theoriesrecords and archives management modellife-cycle modelrecords continuum modelInteractive and Integrated model for management of DocumentsRecordsand Archives (I2 DRA)ISO-15489ISO-16175electronic records
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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。

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.

目 次
致謝辭 I
摘 要 III
Abstract V
第一章 緒論 1
第一節 問題陳述 1
第二節 研究目的 7
第三節 研究範圍與限制 7
第四節 名詞定義 9
第二章 文獻分析 13
第一節 資訊科技對檔案管理之影響 13
第二節 電子檔案對檔案理論之影響 23
第三節 檔案理論發展脈絡 40
第四節 檔案管理模式思維變遷 52
第三章 研究架構與方法 69
第一節 研究架構 69
第二節 研究方法 70
第三節 研究步驟與流程 75
第四章 國際標準規範與案例國家發展 77
第一節 國際電子檔案管理標準與規範 77
第二節 電子文書檔案管理系統實務發展 101
第三節 美國、英國、澳洲電子文書檔案管理模式之發展 104
第五章 我國個案研究比較分析 153
第一節 我國文書檔案管理模式與關鍵理論模式之關係 153
第二節 我國機關檔案管理作業手冊與ISO-15489之關係 170
第三節 我國文書及檔案管理電腦化作業規範與ISO-16175之關係181
第四節 我國文書檔案發展現況與美、英、澳發展模式之關係194
第六章 文書檔案互動整合模式與我國實踐策略 205
第一節 建構文書檔案互動整合模式 205
第二節 文書檔案互動整合模式與關鍵模式及我國現行模式之關係 218
第三節 我國政府文書檔案整合管理實踐策略 225
第七章 結論與建議 235
第一節 結論 235
第二節 建議 238
第三節 進一步研究建議 244
參考書目 245
附表一:ISO-15489稽核事項表 259
附表二:ICA-Req(ISO-16175)業務系統檔案核心功能項目 261

圖 次
圖1-1:本研究之研究情境 6
圖1-2:文書檔案流程與人員關係圖 12
圖2-1:檔案特性關係示意圖 14
圖2-2:資訊科技對檔案管理之影響 20
圖2-3:現代檔案管理理論特性 25
圖2-4:檔案新舊典範比較 39
圖2-5:新典範檔案理論特性 39
圖2-6:歐美檔案理論發展脈絡 49
圖2-7:檔案理論與實務發展趨向 51
圖2-8:BROOKS(1940)文書生命史概念圖 53
圖2-9:ICA(1997)全程生命週期架構 56
圖2-10:UPWARD(1996)紀錄連續體模式 63
圖3-1:本研究架構圖 70
圖3-2:本研究步驟與流程 76
圖4-1:ISO-15489架構 79
圖4-2:檔案系統設計及應用步驟 81
圖4-3:ICA電子檔案管理規範架構 84
圖4-4:電子檔案取用方法之一 89
圖4-5:電子檔案取用方法之二 89
圖4-6:電子檔案取用方法之三 90
圖4-7:電子檔案取用方法之四 90
圖4-8:使用者服務發展策略 90
圖4-9:組織策略與檔案管理關係 91
圖4-10:電子檔案管理系統高階功能需求模式 95
圖4-11:檔案集合層級關係 95
圖4-12:組織業務系統檔案管理方法 97
圖4-13:組織業務系統檔案需求確認步驟 97
圖4-14:ICA規範變革重點 101
圖4-15:電子文書檔案管理系統架構及功能 102
圖4-16:美國檔案管理政策與時間表 109
圖4-17:美國ERA四項基本功能 114
圖4-18:英國公共部門資訊原則 119
圖4-19:英國政府機關業務分類表訂定關係 122
圖4-20:英國數位連續體確保資訊資產之樣貌 125
圖4-21:英國管理數位連續體步驟 125
圖4-22:英國數位連續體行動計畫 126
圖4-23:英國定義數位連續體需求 127
圖4-24:英國評估及管理數位連續體風險 127
圖4-25:英國維護數位連續體 128
圖4-26:澳洲數位連續體主要推展要項 138
圖4-27:澳洲建置 EDRMS之規範 139
圖4-28:美國、英國、澳洲電子文書檔案管理重要特性 151
圖5-1:我國文書、機關檔案與國家檔案之關係 155
圖5-2:我國文書、機關檔案與國家檔案管理模式 158
圖5-3:我國機關檔案與國家檔案編目描述層級關係 159
圖5-4:我國文書檔案電子化重大發展歷程 164
圖5-5:我國檔案管理模式與關鍵模式特性關係示意圖 170
圖5-6:我國檔案法令與作業手冊運作關係 171
圖5-7:我國機關檔號與國家檔號之關係 173
圖5-8:我國機關檔案管理作業手冊規範關係與重點 176
圖5-9:我國機關檔案管理制度與ISO-15489稽核事項關係圖 180
圖5-10:我國文書及檔案管理電腦化作業規範重點關係圖 181
圖5-11:我國文書檔案管理電腦化規範與ISO-16175規範差異對照表 194
圖5-12:我國文書檔案管理現況強弱事項 204
圖6-1:文書檔案互動整合模式I2 DRA 207
圖6-2:文書檔案互動整合模式I2 DRA之方程式 208
圖6-3:文書檔案互動整合模式I2 DRA之概念形成要項與重要工具 209
圖6-4:文書檔案互動整合模式I2 DRA之產生要項 211
圖6-5:文書檔案互動整合模式I2 DRA之維護要項 212
圖6-6:文書檔案互動整合模式I2 DRA之取用要項 213
圖6-7:文書檔案互動整合模式I2 DRA之價值交互關係 215
圖6-8:文書檔案互動整合模式I2 DRA之特性 218
圖6-9:I2 DRA與全程生命週期模式及紀錄連續體模式之比較分析 221
圖6-10:我國政府檔案雲架構示意圖 234

表次
表1-1:本研究中英文名詞用詞對照表 12
表2-1:檔案傳統理論與新典範理論比較表 37
表2-2:歐美檔案理論發展脈絡比較表 47
表2-3:生命週期模式與管理人員責任關係表 54
表2-4:生命週期不同區分模式比較表 58
表2-5:生命週期新舊模式與紀錄連續體模式比較表 67
表4-1:美國RMSA檔案管理自我檢核事項 112
表4-2:英國檔案管理自動化自我評估工具 131
表4-3:澳洲EDRMS功能項目及說明 140
表4-4:澳洲建置EDRMS主要考量事項 141
表4-5:澳洲EDRMS檢核清單 144
表4-6:澳洲CHECK-UP2.0資訊檔案管理策略檢核重點 145
表4-7:澳洲CKECK-UP2.0資訊檔案管理實務規範檢核重點 146
表4-8:澳洲CHECK-UP 2.0計分基準 147
表5-1:我國文書、機關檔案、國家檔案適用法令一覽表 157
表5-2:行政院組織改造前後檔案管理局職掌異動情形 163
表5-3:我國檔案檔案管理模式與關鍵模式比較表 169
表5-4:我國機關檔案與國家檔案(紙質類)編目描述時機與欄位比較表 173
表5-5:我國機關檔案管理作業手冊與ISO-15489規範重點之比較 179
表5-6:公文電子交換附件格式與電子檔案格式對照表 186
表5-7:我國文書及檔案管理電腦化作業規範與ISO-16175功能需求對照表 190
表5-8:我國與美國、英國、澳洲發展情形比較表 200
表6-1:I2 DRA與生命週期新舊模式及紀錄連續體比較表 223


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檔案管理局(民99b)。機關檔案管理作業手冊。台北市:檔案管理局。
檔案管理局(民100)。機關檔案編目作業指引。台北市:檔案管理局。
檔案管理局。取自:http://www.archives.gov.tw/
檔案管理局出版品。取自:http://www.archives.gov.tw/Book/Public.aspx?cnid=1656
檔案管理局年報。取自:http://www.archives.gov.tw/Publish.aspx?cnid=1424
檔案管理局電子文書檔案服務中心。取自:http://www.archives.gov.tw/Publish.aspx?cnid=1840
檔案管理局國家檔案服務成果報告。取自:http://www.archives.gov.tw/Publish.aspx?cnid=1464

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