Establishing the Risk Assessment Indicators of Electronic Records and Empirical Analysis of an Institution

• Main Author: Chiao-Min Lin
• Format: Article
• Language: English
• Published: National Taiwan University 2020-06-01
• Series: Journal of Library and Information Studies
• Subjects: risk assessment; archives authenticity; archives integrity; archives accessibility; electronic records management
• Online Access: https://jlis.lis.ntu.edu.tw/files/journal/j50-4.pdf

The purpose of this study is to construct a risk management model of electronic records in accordance with archival appraisal elements and the theoretical framework of risk management. The Delphi method was taken to generalize the expert consensus of electronic record risks, which can provide the basis for archival agencies to self-check their risk factors. In addition, considering the feasibility of promoting into practical, this study implemented an empirical case study to recommend a risk classification structure. The complete mode of electronic records risk management, according on the base of case study, was including of risk identification, risk assessment and implement strategy were addressed. The result proposed 63 risk indicators for agencies to carry out electronic records risk assessment. The study applied the risk assessment checklist to conduct risk identification and assessment surveys of individual cases, most of which fell in low risk areas. According to the risk management theory, the risk management strategy of electronic records was proposed. For risk indicators with risk values between 3 and 4, it was recommended to adopt a prevention strategy, risk indicators with a risk value of 4 or higher, and adopted a prevention and mitigation strategy to deal with them. Finally, the risk management framework of electronic records was proposed. The contribution of this study was to accomplish a risk checklist and set up the practice assessment model for the archival agencies as a reference to put risk management into practice. (Article content in Chinese with English extended abstract)