电子文件管理研究中心

学术动态｜国外近期电子文件管理理论研究与实践透视（内附摘要中文翻译）

  • 2023-11-03

本期学术动态论文主要选自The American Archivist、Archival Science、Records Management Journal等国际期刊，论文主题涵盖理论研究和实践透视两类。理论研究聚焦人工智能技术对文件管理职业的影响、电子文件的概念等问题；实践进展则介绍了发展中国家以及高等院校的电子文件管理情况。

一、电子文件管理理论研究

1.与人工智能竞争——文件和信息管理行业能否经受住挑战?

作者及机构：谢雪莉[1];李思怡[2];Han， Ruohua[3]（[1]中国人民大学电子文件管理研究中心;[2]上海大学，中国;[3]伊利诺伊大学，美国）

期刊：Records Management Journal

DOI：10.1108/RMJ-08-2021-0033

引文格式：谢淑玲， 思怡 ， 韩旭 .与人工智能竞争——记录和信息管理行业能否经受住挑战？[J].记录管理， 2022,32（2）：151-169.

摘要：

【目的】

本研究旨在报道一项关于文件与信息管理（RIM）行业在人工智能（AI）发展中的能力研究。

【设计/方法】

本研究以演绎法为基础，从牛津大学的研究中提取了人工智能（AI）的不敏感指标，即创造性智能和社会智能，并将其应用于ARMA International所制定的当前RIM核心能力模型中。通过人工编码和语义分析的主要研究方法，同时呈现了统计和定性结果。

【发现】

目前整个RIM行专业对AI具有一定的抵抗力，但并非完全免疫。因为免疫的部分与易受AI影响的部分交织，并且一些RIM理论和原则的规定尚未准备好应对AI的判断和调整，因此要实现对AI的免疫，现有的能力模型需要重新设计。此外，还需要策划各利益相关者之间的合作，以便在未来面临不利组织决策时能够提前采取行动。如果专业性使我们目前对AI具有一定的抵抗力，那么专业的团结将确保我们未来对AI具有免疫力。

【创新/价值】

据作者所知，本文是国际RIM社群中首个类似的研究。它提供了有关AI不敏感性的详细评估数据，以及关于整个RIM社区的有针对性建议。

关键词：

档案管理；人工智能；信息管理；能力；专业知识；专业技能

Abstract：

【Purpose】

The purpose of this study is to report on a study that focused on the records and information management (RIM) profession’s competencies with respect to the development of AI.

【Design/methodology/approach】

Designed as deductive, the study distilled artificial intelligence (AI) insusceptibility indicators, creative intelligence and social intelligence, from the Oxford study and applied them to the current RIM core competencies developed by ARMA International. Manual coding and semantic analysis served as the primary inquiring methods, and both statistical and qualitative results are presented.

【Findings】

The RIM profession as a whole is currently AI-resistant, yet it is not AI-proof. To be AI-proof, the existent competencies model needs to be redesigned as the AI-resistant parts are mingled with AI-prone ones, and the prescriptions of some RIM theories and principles are not ready for AI judgements or adjustments. It requires also strategizing collaborations among all stakeholders so that we can be one step ahead of future unfavorable organizational decisions. If our professional nature renders us AI-resistant for now, then it is our professional unity that will ensure us AI-proof in the future.

【Originality/value】

To the best of the authors’ knowledge, this paper is first of its kind within the international RIM community. It provides detailed assessment data on AI insusceptibility and targeted suggestions regarding the RIM community as a whole.

Keywords：

Records management; Artificial intelligence; Information management; Competency; Professional knowledge; Professional skill

2.文件DNA：将数字文件重新定义为未来的证据基础

Record DNA: reconceptualising digital records as the future evidence base

作者及机构：McLeod, Julie[1]；Lomas, Elizabeth[2]（[1]诺森比亚大学 [2]伦敦大学，英国）

期刊：Archival Science

DOI：10.1007/s10502-023-09414-w

引文格式：McLeod J, Lomas E. Record DNA: reconceptualising digital records as the future evidence base[J]. Archival Science, 2023,23(3): 411-446.

摘要：社会面临的一个重要问题是数字证据基础（evidence base）的可用性在多大程度上面临风险，因为在数字时代，文件的概念已经受到冲击。文件的性质和实际情况已不再一致。解决数字技术对文件管理以及确保其未来可用性所带来的挑战，不是仅由文件和档案领域的专家学者可以独自应对的。本文认为这是一个“巨大的挑战”，需要广泛的视角、专业知识和交叉研究来解决。本文讨论了一个国际跨学科研究网络的研究结果，该网络旨在通过扎根理论方法批判性地探索数字文件的性质，以及数字时代对未来证据基础的可用性和功能性的影响。一系列不同的数字文件愿景以及一系列广泛的研究问题出现，构成了未来协作（交叉）研究议程的基础。

关键词：数字文件；概念；数据；证据

Abstract： A major issue facing society is the extent to which the usability of the digital evidence base is at risk because, in the digital era, the concept of the record has been eroded. The nature and reality of a record are no longer agreed. Addressing the challenges that the digital presents for managing records and assuring their future usability is not one that records and archives scholars and professionals can tackle alone. This article argues that this is a ‘grand challenge’ which requires a broad range of perspectives and expertise and convergence research to resolve. It discusses findings from an international multidisciplinary research network established to critically explore, through a grounded theory approach, the nature of a digital record and the implications of the digital era for the usability and functionality of the future evidence base. A series of different visions of a digital record emerged alongside a wide-ranging set of research questions that form the basis of an agenda for future collaborative (convergence) research.

Keywords： Digital records; Concepts; Data; Evidence

3.数字环境下艺术品的认证和保存

Certification and preservation of artworks in digital environments

作者及机构：Damiani, Concetta（坎帕尼亚大学，意大利）

期刊：Italian journal of Library Science, Archival Science and Information Science（JLIS.IT）

DOI：10.36253/jlis.it-467

引文格式：Damiani C. Certification and preservation of artworks in digital environments[J]. JLIS.IT, 2022,13(2):189-202.

摘要：反思艺术家的文献遗产需要考虑档案、法律、历史艺术和博物馆学等因素。如果已经对模拟艺术品及相关文档进行了研究，那么将创作视角转移到数字环境中则需要应对一个动荡的现实：在数字艺术和加密艺术的平衡中，当代艺术的表达和表现方式要求在作品的制作和管理方面有新的视角。在这种几乎完全涉及文档结构和技术数字组成部分的角色和关系的重新定义中，文档系统扮演着重要的角色。

关键词：档案；艺术家；区块链；认证；保存；NFT

Abstract： Reflecting about the documentary heritage of artists requires the consideration of archival, legal, historical-artistic and museological factors. If the analogue productions of artifacts and the correlated documentation have been studied, transferring the creative perspective into a digital environment asks to face a reality in turmoil: the ways of expressing and representing contemporary art, in balance between digital and crypto art, require new visions in the production and management of works. In this redefinition of roles and relationships, which almost exclusively concern the documentary structure and the technological and digital components, document systems assume a primary role.

Keywords： Archives; Artist; Blockchain; Certification; Preservation; NFT

4.数字处理：探索谜团

Digital Processing: Exploring the Enigma

作者及机构：Erin Faulder[1]; Laura Uglean Jackson[2]（[1]康奈尔大学 [2]北科罗拉多大学，美国）

期刊：The American Archivist

DOI：10.17723/2327-9702-85.1.146

引文格式：Erin Faulder, Laura Uglean Jackson; Digital Processing: Exploring the Enigma[J]. The American Archivist, 2022, 85(1):146-172.

摘要：在过去几十年里，档案工作者一直在寻找管理原生数字馆藏资料的解决方案。虽然在归集和数字保存领域取得了不小的进展，但在数字处理领域仍然存在着明显的差距。如何精确地定义原生数字处理的概念以及它所包含的相关因素，成为了一个难题。在2016年斯坦福大学举行的原生数字存档与交换（BDAX）非正式会议之后，一个由十位档案工作者组成的小组共同制定了数字处理框架（Digital Processing Framework），以阐明档案工作者在处理原生电子文件时的工作内容。本文考察了当前专业数字处理的前景，并对上述制定框架小组的成果进行了反思。论文阐述了四个使原生数字处理变得神秘而富有挑战性的问题：定义数字处理的范围；最低限度数字处理和数字保存之间持续存在的紧张关系；数字处理功能的术语混淆；两个探究领域的融合，借用和共享已成为数字处理的语言和实践。鉴于此，文章提出建议以进一步定义和指导原生数字处理。

关键词：原生数字；处理；整理；描述；数字保护；电子文件

Abstract：Archivists have spent the past several decades seeking solutions for managing born-digital collection materials. While progress has undoubtedly been made in the areas of acquisition and digital preservation, a recognizable gap exists in the area of processing. Defining what, exactly, born-digital processing is and what it entails is a conundrum. Following the 2016 Born Digital Archiving & eXchange (BDAX) unconference at Stanford University, a group of ten archivists produced the Digital Processing Framework to articulate what archivists do when processing born-digital archival collections. This article examines the current professional digital processing landscape and reflects on the framework group’s lofty endeavor. It frames four issues that make born-digital processing enigmatic and challenging: defining the scope of digital processing; the ongoing tensions between minimal processing and digital preservation; confusion in terminology about the functions in digital processing; and the convergence of two fields of inquiry that borrow and share language and practice that have become digital processing. It concludes by recommending further actions and explorations for defining and guiding born-digital processing.

Keywords： Born-digital; Processing; Arrangement; Description; Digital preservation; Electronic records

二、电子文件管理实践透视

5.南非公共部门云电子文件管理框架研究

A framework for management of digital records on the cloud in the public sector of South Africa

作者及机构：Amos Shibambu; Ngoako Solomon Marutha（南非大学，南非）

期刊：Information Discovery and Delivery

DOI：10.1108/IDD-10-2020-0128

引文格式：Shibambu A, Marutha, N.S. A framework for management of digital records on the cloud in the public sector of South Africa[J]. Information Discovery and Delivery, 2022, 50(2):165-175.

摘要：

【目的】本文旨在研究南非云电子文件管理框架。

【设计/方法/方法】本文采用定性案例研究，通过半结构化访谈和文献分析法，从南非国家政府部门的监管文件、文件管理工作人员和首席信息官处收集数据。

【发现】研究表明尽管当前已经出现了云计算，但由于尚未开发出用于管理和处理电子文件的专属云，政府仍在努力应对手工纸质文件带来的挑战

【实际意义】自云计算出现以来，技术的进步给文件的管理和处置带来了巨大的变化。云计算所具备的牵引力影响了文件在云存储中的管理和处置方式。目前，南非政府按照《南非国家档案和文件服务法（1996）》的规定对政府场所内的文件进行管理和处置。因为文件多是纸质、缩微胶卷和视听格式的，南非国家档案和文件局作为政府文件的监管机构负责执行该法律。希望本研究中提出的建议和框架可以协助政府和相关部门更好地采用和推行云计算系统对文件进行管理和处置，从而有助于解决诸如文件丢失、文件损坏以及文件检索时间过长等问题。

【社会影响】在南非，电子文件被安全地存储在诸如硬盘和USB等存储介质中。然而除了存储介质面临着数字过时的问题外，由于信息受限于可以访问档案馆藏的群体，全球对信息的访问和获取受到限制和阻碍。另一种选择是在云中对文件进行管理和处置。本研究中的框架和建议将有助于改善信息、档案和文件管理政策以及向全社会提供的服务。本文提出的框架可以作为一种理论，用于构建该领域的未来研究，并作为指导其他未来研究和政策制定者的资源。

【原创性/价值】本研究为南非云端电子文件的管理提供了框架，同时建议通过颁布《云法案》的方式，打破对国家遗产访问的时空限制。此外，研究基于是数字管护中心生命周期模型（Digital Curation Centre Life Cycle Model）。

关键词：云计算；南非；电子政务；云存储；文件管理；档案处置

Abstract：

【Purpose】The purpose of this paper is to investigate a framework for management of digital records on the cloud in South Africa.

【Design/methodology/approach】 This qualitative case study used semi-structured interviews and document analysis to collect data from regulatory documents, records practitioners and chief information officers in the national government departments in South Africa.

【Findings】 This study reveals that despite the advent of cloud computing, government is still struggling with manual paper-based records challenges, as they have not developed a government-owned cloud in which to manage and dispose records.

【Practical implications】Technological advancements have brought about dramatic changes to the management and disposition of records since cloud computing emerged. The traction gained by cloud computing influences how records are managed and disposed in the cloud storage. Currently, the South African Government manages and disposes records in the government premises as stipulated by the National Archives and Records Service of South Africa Act (1996). This is enforced by the National Archives and Records Service of South Africa, which is the government records regulator because records are on paper-based, microfilms and audio-visual formats. It is hoped that the recommendations and framework proposed in this study may assist the government and related sectors in the adoption and implementation of the cloud computing system for records management and disposal. This may assist in resolving challenges such as missing files, damaged records and archives and long turnaround time for retrieval of records.

【Social implications】In South Africa, the digital records are securely stored in storage mediums such as hard drives and USBs, to mention but a few. In addition to digital obsolescence faced by the storage mediums, global access to information is hindered because information is limited to those who can visit the archival holdings. The alternative option is to manage and dispose of records in the cloud. The framework and recommendations in this study may also assist in improving information, archives and records management policies and service delivery to the community at large. The framework proposed may be applied as a theory for framing future studies in the same area of cloud computing and used as a resource to guide other future studies and policymakers.

【Originality/value】This study provides a framework for management of digital records on the cloud in South Africa. It also proposes the promulgation of the Cloud Act to promote unlimited access to state heritage, regardless of time and location. This study is framed on the Digital Curation Centre Life Cycle Model.

Keywords： Cloud computing; South Africa; E-government; Cloud storage; Records management; Records disposal

6.电子文件管理系统的互操作性：对安卡拉各大学的评估

Interoperability in electronic records managements systems: An evaluation of the universities in Ankara

作者及机构：Meltem Dişli; Özgür Külcü（法尔茅斯大学，英国）

期刊：Information Development

DOI：10.1177/02666669211007913

引文格式：Dişli M, Külcü Ö .Interoperability in electronic records managements systems: An evaluation of the universities in Ankara[J]. Information Development, 2022, 38(4):589–598.

摘要：本研究旨在从技术和组织的角度，评估高校电子文件管理系统（ERMS）在互操作性背景下的应用。为此，对土耳其安卡拉各大学的行政人员展开调查，共有104人参与调查。根据所获得的数据，得出以下结论：大学的文件管理程序是采用分布式方式进行的，而不是在单一单位下收集。大学各机构之间的官方通信大多是通过注册电子邮件（REM）进行。虽然电子文件管理系统的互操作性没有太多法律和技术障碍，但在组织和行政方面的问题较多。在研究结果的范围内，对高校管理者和系统开发者提出了一些建议。本研究对处于ERMS转型发展阶段的高校具有一定的指导意义。

关键词：互操作性；官方通信；高校文件；电子文件管理系统；机构间电子文件共享

Abstract：In this study, it is aimed to evaluate the electronic records management systems (ERMS) used in universities in the context of interoperability from a technical and organizational perspective. For this purpose, a survey was applied to the administrative staff of universities in Ankara, Turkey and 104 people participated in the survey. In the light of the data obtained, it was concluded that the records management procedures in universities are carried out in a distributed manner and are not gathered under a single unit. Official correspondence between institutions in universities is mostly carried out by registered electronic mail (REM). It was determined that while there are not many legal and technical obstacles to the interoperability of electronic records management systems, there are more organizational and administrative problems. Within the scope of the results, some suggestions have been made to university administrators and system developers. The study may guide universities in the transition and development stages to ERMS.

Keywords：interoperability; official correspondence; university records; electronic records management systems; e-records sharing between institutions

（本文为学生研究员自主翻译，内容仅供参考，资料来源于网络，如有侵权请联系删除）

文案：李桂英  张直前  李泊泳  贺谭涛

校对：许晓彤、张茜雅

排版：樊华

审核：钱毅

本期学生研究员风采

李桂英

贺谭涛

张直前

张茜雅

李泊泳

樊华

电子文件管理研究中心 © 2010 - 2025 All Right Reserved