智慧档案馆建设方案

一、项目背景    近几年，智慧档案馆建设在全国快速推进，对智慧档案馆的认识也深化。2019 年，国家档案局局长陆国强在全国档案局长馆长会议上的报告指出我国要加速智慧档案馆（室）建设，探索大数据、区块链、人工智能等新一代信息技术在档案管理中的应用，推动智慧档案馆（室）建设向智慧化方向发展。智能库房、自动编研、自动鉴定、单套管理为主要特征的智能化智慧档案馆成为当前建设中的新要求。 2021 年全国档案工作的总体要求是：以习近平新时代中国特色社会主义思想为指导，全面贯彻党的十九大和十九届二中、三中、四中、五中全会精神，坚持稳中求进工作总基调，以推动档案事业转型发展、高质量发展为主题，以贯彻实施档案法和档案事业发展“十四五”规划为抓手，围绕中心、服务大局，真抓实干、守正出新，补短板、强弱项、破难题、提质量，坚持系统观念，全面推进档案治理体系和档案资源体系、档案利用体系、档案安全体系建设，强化科技和人才支撑，更好履行全国档案事业宏观管理和中央档案保管利用两种职能，确保档案事业“十四五”开好局、起好步。 XXX市智慧档案馆建设是在《“十四五”全国档案事业发展规划》《湖北省档案事业发展“十四五”规划》总体战略部署下，立足于国家档案局“十三五”规划所取得的伟大成果，从中充分汲取有关经验与教训，站在“两个一百年”奋斗目标的历史交汇点上，依照湖北省档案局出台的《湖北省智慧档案馆建设指导规程》（2016）开展的一项探索与实践并行、创新与压力并存的区级智慧档案馆建设试点工作, 为XXX市档案馆未来高质量发展打下坚实基础。二、建设目标 1、实现本馆电子档案及相关数字资源的全程管控和集中管理   1993 年首批“金”字工程启动，1997 年《国家信息化“九五”规划和 2010 年远景目标构建了信息化建设框架。在政府政策连续推动下，信息技术应用迅速向各行各业扩散开来，许多领域正在逐步实现业务活动电子化、无纸化。特别是“政府上网工程”的正式启动， 使政务电子文件以迅雷不及掩耳之势海量产生。2007 年度，中国科协重点课题《我国电子文件管理机制研究》研究小组针对 49 家中央和国家机关及其直属企事业单位的调查表明：中央和国家机关及其直属单位电子文件数量占全部文件数量的 72.7%。     电子政务的推行，重在提高行政效率，提升公众服务能力，对电子文件的管理重在当下，而电子文件长期保存则是档案管理的职责。“失忆政府”的形成，不是政府机关的行动不力，而是档案馆的服务意识不强、数字化管理的能力不足。建设智慧档案馆，是档案馆当好政务电子文件管家的必须之举，是实现从文件生成到档案管理数字化对接的战略举措。档案信息化建设是这个时代给予档案工作的重任，而智慧档案馆建设则是档信息化中的核心内容之一，它是档案信息化成果的集大成体现者。 2、实现基于政务平台的电子公文单套归档和电子档案单套管理    党的十九大报告提出“转变政府职能，深化简政放权，创新监管方式，增强政府公信力和执行力，建设人民满意的服务型政府”，以及“运用互联网技术和信息化手段开展工作”等要求，这是对各级政府深化体制改革，切实转变政府职能，提升服务能力的总体要求。遵循这一总体要求，目前我国的政府机关档案管理正由传统的实体管理模式向信息化、电子化管理模式发展。当前，综合性档案馆所从事的已不再是单纯的档案保管工作，而是要在整合、集成、管理档案信息资源的基础上，为相关政务活动和公共服务提供必要的公共信息，充分发挥“为党管档、为国守史、为民服务”的神圣职责。 本市档案馆建设智慧档案馆时，应顺应时代潮流，高度重视本市政府机关电子政务工作发展的现状与趋势，建设符合中国档案事业十四五规划的，符合电子文件单套制归档与电子文件单套制管理要求的，符合未来“智慧档案馆”相关功能需求的数字档案管理与应用系统，并能够与政府机关电子政务平台实现良好的对接，实现对政府电子公文的全程管理、实时监控与前端控制。 3、建设符合智慧档案馆发展方向的先进智慧档案馆    智慧档案馆是智慧档案馆的发展与提升，是基于智慧管理技术的新型信息化形态档案馆。其中，狭义的智慧档案馆特指各级档案馆实体的智慧化，管理的重点对象是馆藏的档案，关注的重点是馆藏档案信息资源的管控利用。而广义的智慧档案馆，则是包含了档案局的一些行政管理职能，管理的范围除了本身馆藏，还包含了其行政区域的档案的收、管、存、用、监督、培训等。    在智慧档案馆建设过程中，应秉承智慧档案馆三要素为核心。一是以档案全文数据为核心，包括其他各种档案业务和档案工作数据的大数据；二是以数据挖掘与主动推送技术为核心，包括数据采集、数据感知、数据存储、数据传输等的数据处理及主动推送技术；三是可以将档案实体、档案装具、档案环境、档案业务系统、档案人员、档案利用者连接起来的物联网系统。所以，也可以说“智慧档案馆=档案数据十数据挖掘与推送技术+物联网”。综上所述，智慧档案馆这一概念自被提出以来，即作为智慧档案馆发展的未来方向存在，相比传统智慧档案馆，智慧档案馆在各方面都提出了更高的建设要求。在资源构建上，智慧档案馆强调高质量完成的档案信息化工作基础上， 深度挖掘各类型档案资源之间的内在关系，实现电子档案数据之间的有机互联，从“档案数字化”迈进到“档案数据化”；在平台搭建上， 智慧档案馆强调与其他相关联平台的实时对接，在完成对诸多类型电子文件的前端控制、全程管理、实时监督等功能的基础上，为各类档案用户提供基于线上平台的实时档案服务；在档案资源管理上，智慧档案馆强调对档案资源进行实时的更新与备份，并保证对档案资源流的实时监控，一旦监测到任何非正常数据流动，即能够采取相应的措施及时应对，时刻保证档案资源的真实性、完整性、可用性与安全性不受到侵犯。三、总体架构设计   智慧档案馆建设包括五大层次和三大保障体系： 基础层：包括机房、网络、服务器、存储备份设备、档案数字化设备、基础软件等基础设施。 数据层：包括档案核心资源总库、档案资源管理库、开放档案资源库、非保密档案资源数据库、涉密档案资源数据库、档案专题数据库。 平台层：包括数据采集工具、即时通讯工具、格式转换工具、文件检测工具，以及基础组件平台、系统管理平台、全文检索平台、信息发布平台、应用安全平台、系统配置平台。 应用层：是本项目建设的智慧档案馆应用系统，包括收集整理、档案管理、档案利用、智能库房管理、系统管理五大功能模块。 接入层：是系统终端用户，本项目面向档案馆内部工作人员、省直机关、立档单位、社会公众提供服务。 制度规范体系：包括馆内档案管理制度与标准规范两个部分的建设。 安全保障体系：包括网络安全、系统安全、数据库安全、信息安全、设备安全、信息介质安全和计算机病毒防治等方面。 实施保障体系：包括人才、资金、标准化体系和项目管理等方面。

### 1. Project Background
Over the past few years, the construction of smart archives has advanced rapidly across China, and the understanding of smart archives has deepened. In 2019, Lu Guoqiang, Director of the National Archives Bureau, pointed out in his report to the National Conference of Directors of Archives Bureaus and Curators of Archives that China should accelerate the construction of smart archives (rooms), explore the application of new-generation information technologies such as big data, blockchain, and artificial intelligence in archives management, and promote the development of smart archives (rooms) towards intelligence. Intelligent smart archives characterized by intelligent storage rooms, automatic compilation and research, automatic appraisal, and single-copy management have become new requirements in current construction.

The general requirements for national archives work in 2021 are as follows: We will guide our work with Xi Jinping Thought on Socialism with Chinese Characteristics for a New Era, fully implement the spirit of the 19th National Congress of the Communist Party of China and the meetings of the 2nd, 3rd, 4th, and 5th Plenary Sessions of the 19th Central Committee, adhere to the general principle of pursuing progress while ensuring stability, take promoting the transformation and high-quality development of archival undertakings as our central task, take implementing the Archives Law and the 14th Five-Year Plan for Archival Undertakings Development as our starting point, focus on the center and serve the overall situation, work steadfastly and innovate while upholding fundamentals, make up for shortcomings, strengthen weak links, solve difficult problems, and improve quality. We will adhere to a systems approach, comprehensively advance the development of the archives governance system, archives resource system, archives utilization system, and archives security system, strengthen scientific and technological and talent support, better fulfill the two functions of macro-management of the national archival undertakings and preservation and utilization of central archives, and ensure that the archival undertakings start off on the right foot during the 14th Five-Year Plan period.

The construction of the smart archives in XXX City is a pilot project for district-level smart archives construction that combines exploration and practice, as well as innovation and pressure, carried out under the overall strategic deployment of the 14th Five-Year Plan for National Archival Undertakings Development and the 14th Five-Year Plan for Archival Undertakings Development of Hubei Province, based on the great achievements of the 13th Five-Year Plan of the National Archives Bureau, drawing fully on relevant experience and lessons, standing at the historical juncture of the Two Centenary Goals, and in accordance with the *Guiding Regulations for the Construction of Smart Archives in Hubei Province (2016)* issued by the Hubei Provincial Archives Bureau. It will lay a solid foundation for the future high-quality development of the Archives of XXX City.

### 2. Construction Objectives
#### 2.1 Achieve full-process control and centralized management of the electronic archives and related digital resources of the archives
The first batch of "Golden" Projects was launched in 1993, and the National Informatization "9th Five-Year Plan" and the 2010 Vision Target in 1997 constructed the framework for informatization construction. Driven by continuous government policies, the application of information technology has rapidly spread to all walks of life, and many fields are gradually realizing the electronization and paperlessness of business activities. Especially with the official launch of the "Government Online Project", a huge amount of government electronic documents has been generated at an unprecedented rate. A 2007 research group of the key project of the China Association for Science and Technology, *Research on the Mechanism of Electronic Documents Management in China*, conducted a survey on 49 central and state organs and their directly affiliated enterprises and public institutions, showing that the number of electronic documents of central and state organs and their directly affiliated units accounted for 72.7% of the total number of documents.

The implementation of e-government focuses on improving administrative efficiency and public service capabilities, the management of electronic documents focuses on the present, while the long-term preservation of electronic documents is the responsibility of archives management. The phenomenon of "government amnesia" is not due to the inaction of government agencies, but the weak service awareness of archives and insufficient digital management capabilities. The construction of smart archives is a necessary move for archives to act as stewards of government electronic documents, and a strategic measure to realize the digital docking from document generation to archives management. Archives informatization construction is the heavy responsibility given to archival work in this era, and the construction of smart archives is one of the core contents of archives informatization, and it is the epitome of the achievements of archives informatization.

#### 2.2 Achieve single-copy archiving of official electronic documents and single-copy management of electronic archives based on the government affairs platform
The report to the 19th National Congress of the Communist Party of China put forward requirements such as "transforming government functions, deepening the reform of decentralization and streamlining administration and improving regulation and services, innovating regulatory methods, enhancing the credibility and execution of the government, and building a service-oriented government that satisfies the people", and "using Internet technology and informatization means to carry out work", which are the overall requirements for governments at all levels to deepen institutional reform, earnestly transform government functions, and improve service capabilities. Following these overall requirements, the archives management of China's government agencies is currently developing from the traditional physical management mode to an informatized and electronized management mode. At present, comprehensive archives are no longer engaged in simple archives preservation work, but on the basis of integrating, integrating, and managing archives information resources, provide necessary public information for relevant government affairs activities and public services, and fully fulfill the sacred duties of "managing archives for the Party, guarding history for the country, and serving the people".

When constructing the smart archives, the Archives of XXX City should follow the trend of the times, attach great importance to the current situation and trends of the development of e-government work of local government agencies, build a digital archives management and application system that conforms to the 14th Five-Year Plan for China's archival undertakings, meets the requirements of single-copy archiving of electronic documents and single-copy management of electronic documents, and meets the functional requirements of future "smart archives", and can achieve good docking with the government e-government platform, so as to realize the whole-process management, real-time monitoring and front-end control of government electronic documents.

#### 2.3 Build an advanced smart archives that conforms to the development direction of smart archives
Smart archives are the development and upgrade of traditional smart archives, and are a new type of informatized archives based on smart management technologies. Among them, the narrow-sense smart archives specifically refer to the intelligentization of physical archives at all levels, with the focus of management being the collected archives, and the focus being on the control and utilization of archived archives information resources. The broad-sense smart archives include some administrative management functions of the archives bureau, and the scope of management includes not only the collected archives, but also the collection, management, storage, utilization, supervision, training, etc. of archives in its administrative region.

In the process of smart archives construction, we should adhere to the three core elements of smart archives. First, take the full text data of archives as the core, including big data of various other archival business and archival work data; second, take data mining and active push technology as the core, including data processing and active push technologies such as data collection, data perception, data storage, and data transmission; third, the Internet of Things system that can connect archive entities, archive containers, archive environments, archive business systems, archive personnel, and archive users. Therefore, it can also be said that "Smart Archives = Archive Data + Data Mining and Push Technology + Internet of Things".

To sum up, since the concept of smart archives was proposed, it has existed as the future direction of the development of smart archives. Compared with traditional smart archives, smart archives put forward higher construction requirements in all aspects. In terms of resource construction, smart archives emphasize that on the basis of completing archival informatization work with high quality, deeply excavate the internal relationships between various types of archival resources, realize the organic interconnection between electronic archive data, and move from "archives digitization" to "archives datalization"; in terms of platform construction, smart archives emphasize real-time docking with other relevant platforms, and on the basis of completing functions such as front-end control, whole-process management, and real-time supervision of various types of electronic documents, provide real-time archive services based on online platforms for all types of archive users; in terms of archive resource management, smart archives emphasize real-time update and backup of archive resources, and ensure real-time monitoring of the archive resource flow. Once any abnormal data flow is detected, corresponding measures can be taken to respond in time, and the authenticity, integrity, availability and security of archive resources are always guaranteed not to be infringed.

### 3. Overall Architecture Design
The construction of smart archives includes five major layers and three guarantee systems:
1. **Basic Layer**: Including infrastructure such as computer rooms, networks, servers, storage and backup equipment, archives digitization equipment, and basic software.
2. **Data Layer**: Including the core archives resource general database, archives resource management database, open archives resource database, non-confidential archives resource database, confidential archives resource database, and archive thematic database.
3. **Platform Layer**: Including data collection tools, instant messaging tools, format conversion tools, document detection tools, as well as basic component platform, system management platform, full-text retrieval platform, information release platform, application security platform, and system configuration platform.
4. **Application Layer**: It is the smart archives application system constructed in this project, including five functional modules: collection and sorting, archives management, archives utilization, intelligent storage room management, and system management.
5. **Access Layer**: It is the system terminal users. This project provides services for internal staff of the archives, provincial directly-administered agencies, file-holding units, and the general public.

**Three Guarantee Systems**:
1. **Institutional Norm System**: Including the construction of two parts: internal archives management systems and standards and specifications.
2. **Security Guarantee System**: Including network security, system security, database security, information security, equipment security, information medium security, and computer virus prevention, etc.
3. **Implementation Guarantee System**: Including talents, funds, standardization system, project management, etc.

搜集汇总

背景与挑战

背景概述

该数据集详细介绍了智慧档案馆的建设方案，包括项目背景、建设目标和总体架构设计，旨在通过现代信息技术实现电子档案的全程管控和集中管理。数据集属于科学研究和技术服务业领域，提供了智慧档案馆建设的全面技术方案和实施框架。