政府機關電子檔案風險評鑑指標之研究

A Study on Risks and Evaluation Criteria of Electronic Records in Government Agencies in Taiwan

現今對於電子形式之檔案管理已非常普及且為持續發展的議題，本研究旨在對於我國政府機關越來越廣泛使用的電子檔案環境，如何有系統辨識政府機關電子檔案所面臨的風險。本研究首先透過閱讀國內外與電子檔案管理相關的文獻，經彙整電子檔案風險評鑑的做法與評估指標後，整理產生初步的73項電子檔案風險管理指標，依其內容屬性分為9個構面，分別是人員與員工異動、檔案歷經轉換階段、未授權的使用、策略管理、檔案定位與關聯性、資訊系統、電子檔案的清理、電子檔案的損毀、電子郵件與社群軟體訊息。接續進行疊慧問卷調查邀請檔案學或檔案管理背景學者專家針對評估指標表示意見，經3回合疊慧問卷研究，最終產出經過驗證的電子檔案管理風險評鑑指標共63項，並且維持前述9個構面分類。本研究歸納電子檔案風險指標評估過程，提供後續運用與編制指標之參考。

The management of electronic records is a ubiquitous and developing issue. The purpose of this study is to identify the risks of Taiwan government agencies migrating hard copies to electronic form. By reviewing various related studies, this study had gained basic understandings about evaluating the risks of electronic records in government agencies and the criteria being used. This study modifies and integrates these criteria in order to apply them into further study. First, 73 criteria were discovered and were grouped into 9 categories. These categories are staff and employee rearrangement, transfer of electronic records, unauthorized access, strategic management, relevance-based electronic record positioning, information system, disposal of electronic records, corruption of electronic records, and email and social media messages. Subsequently, a Delphi survey was conducted to query the opinions of archival scholars and experts in order to reach a consensus. By a 3-rounds Delphi investigation, 63 criteria had been verified and therefore created with the groupings of 9 categories as mentioned before. This study accordingly proposes results and suggestions for future reference in applying and formulating these criteria.