GB/T 44108-2024Management requirement of enterprise statistical survey electronic account (English PDF)

3 Terms and definitions

3.1 Electronic account: an enterprise statistical electronic account file that serves as evidence and can be queried, traced, managed and preserved, covering all business areas of the enterprise and recording and tracking business data in digital form. 3.2 Electronic account file: the digital-format information records formed, handled, transmitted and stored by computers and other electronic equipment while the enterprise performs its statutory duties or handles statistical business through statistical survey.

3.3 Enterprise statistical electronic account management system: the software system that meets the basic functions of capture, arrangement, archiving, management, storage, use, maintenance and disposal of statistical electronic accounts and generates the statistical account files. 3.4 Metadata: the data describing the content, logical structure, background of formation and management process of the electronic account file and the electronic account. 3.5 Business system: the computer information system that forms or manages the activity data of an institution, the examples given being enterprise network management, office automation, electronic commerce, financial, human resource, product data management, website and electronic mail systems.

3.6 to 3.11 Capture, store, archiving, registration, conversion and migration are defined as the methods and processes of capturing and of storing the files, accounts and their metadata; the submission of systematically arranged files and metadata of evidential, reference and preservation value to the enterprise account management department; the act of assigning a unique identifier when an electronic account enters the management system; the change of an electronic account from one carrier to another or from one format to another; and the transfer of an electronic account from one system to another, the last two while maintaining authenticity, integrity and usability.

4 Principles

4.1 Authenticity: the content, logical structure and background of formation of the electronic account file and the electronic account stay consistent with their original state at the time of formation.

4.2 Reliability: the content of the electronic account file fully and correctly expresses the transaction, activity or fact it records. 4.3 Integrity: the content, logical structure and background information of the file and the account are complete and have not been damaged, altered or lost.

4.4 Usability: the file and the account can be retrieved, presented or understood. 4.5 Traceability: the original data of the file and the account and the course of their change can be recorded, retrieved and verified.

5 Basic requirements

5.1 The capture, arrangement, archiving and management of electronic account files and the storage, use, maintenance and disposal of electronic accounts are brought into the information technology development plan so that they connect with the other systems. 5.2 The enterprise manages files and accounts centrally and in accordance with the principles of Clause 4.

5.3 The enterprise identifies the account management department, establishes management rules and assigns responsibilities. The account management department draws up the archiving, management, storage, use, maintenance and disposal rules, states the functional requirements for the management system coupled with the business system, builds the system and runs the training, guides the file-forming or file-handling departments and carries out the archiving, storage, use, maintenance and disposal work. The file-forming or file-handling departments capture, arrange, manage and transfer the files. The information technology department builds the file-related functions in the business system, takes part in building the management system and gives technical support. The confidentiality department supervises the confidentiality management of classified files during archiving, storage, use, maintenance and disposal, including encryption, access control and periodic review. The business system management department maintains and updates the business systems related to the electronic accounts so that the systems stay stable and the data accurate.

5.4 The account management department states the archiving scope, time, procedure, interface and format for each category of file and its metadata. 5.5 Each department follows the rules, applies the necessary technical means and monitors the whole process of capture, arrangement, archiving and management of files and of storage, use, maintenance and disposal of accounts. 5.6 The work is carried out on a secure network and on offline storage media.

5.7 In confidentiality and security management the account management department states the confidentiality level and scope of the data, sets confidentiality measures for each level, builds an access control mechanism, establishes data backup and recovery mechanisms, strengthens network security protection so that account data cannot be obtained or altered illegally, and applies security control and supervision to the storage devices holding important data.

6 Electronic account management system

6.1 The electronic account file functions built into the business system meet the daily needs of enterprise statistical work for capture, management, reporting, storage, use, maintenance and disposal. The business system carries a built-in file classification scheme and retention period table with the corresponding tool guides; names and stores electronic files and their component files automatically by rule, keeping the links between related files and the close association between files and metadata; identifies and attests data, files, metadata and process files so that they can be recognized and verified during capture, management, reporting, storage and other lawful use, and supports data checking and verification; generates archiving packages of files and metadata and supports archiving in several formats; provides an interface to the electronic account management system and can push electronic files and metadata to it; and can track and audit all operations on the files captured and accumulated.

6.2 The enterprise statistical electronic account management system has data management functions including management of the enterprise statistical data dictionary and the building of a core indicator dictionary and core ledger content; security management including identity authentication and permission management and log auditing, with multi-level authentication and role-based permission control; system setting and management functions including system parameter and user management; data import and export supporting several formats such as Csv, Excel and Json; visualization of data and reports; unified identification of data, files and reports, the identifiers following national and international coding rules and being unique within the system and when used by other systems; and attestation of data, files, process data and operation logs, together with backup and recovery of expenditure data, files and report forms.

6.3 The statistical information infrastructure and information security facilities keep the system running and meet the working needs of electronic account management; for enterprises above the designated size the system meets networked operation requirements. The account management department is equipped with local area network and internet infrastructure whose performance suits the statistical work, with hardware, basic software and storage, backup, traceability and attestation facilities matching the system, and with security facilities including antivirus software and firewalls meeting GB/T 20988-2007.

6.4 The account management department establishes the security management duties, requirements and operating rules for the system; manages the dedicated offline storage media and their users, kills viruses periodically and monitors the logins and operations of unauthorized users; and draws up and applies an emergency response plan for the system, stating the division of responsibilities and the safeguards and setting up prevention and early warning, emergency response and reward and penalty mechanisms.

7 Capture and arrangement of electronic account files

7.1 The file-forming or file-handling department is advised to establish capture rules, and it captures the files and their component files completely, keeps the content consistent with the state at formation and backs the files up periodically. The electronic account data file set is formed by the business system or by software able to attest records, and the statistical task is completed through the management system. The account management department may capture and verify the data, verification being either non-independent, where the inspector may see the coder's code and check it against the coding frame before reaching a conclusion on the batch inspected, or independent, where the inspector codes the object before seeing the coder's code and then compares the two.

7.2 Arrangement keeps the links between related files and establishes the association between files and metadata. The file-forming or file-handling department completes the arrangement of electronic and paper files on the basis of the business system, working through the management system or by hand, and during arrangement associates the files with their corresponding metadata on the basis of the business system.

8 Management of electronic account files

8.1 Files of every category that reflect the statistical activity of the unit and have reference and preservation value are archived together with their metadata; enterprises that report accounts also archive and back up the statistical report forms they have reported.

8.2 Archiving is carried out through the business system and the management system. The departments count and verify the category, year of formation, retention period, number of items and number of metadata records; they identify the authenticity, reliability, integrity and usability of the files, the pass rate having to reach 100 %; the files and the offline storage media have to be free of viruses and undamaged and to work normally; and the departments fill in the archiving registration form by batch or by archiving year, following Annex A.

8.3 After archiving, the account management department establishes management rules and appoints a person to take charge; it determines the data archiving interface in the light of the business system, the network environment in which the management system runs and the actual situation of the enterprise, and puts that interface in writing.

8.4 The archiving format is open, not tied to particular software or hardware, consistent in display, convertible and easy to use. 8.5 The clause headed retention period of electronic account files states only that archiving of electronic account files sets a confidentiality period according to the confidentiality principle.

9 Use and maintenance of electronic accounts

9.1 Storage, use and maintenance follow the applicable confidentiality rules. 9.2 The account management department sets the use permissions of each user in the management system according to post and responsibility, and 9.3 users retrieve, browse, verify, copy and download accounts, account components and metadata within the permissions granted.

9.4 Offline storage media holding electronic accounts are not lent out and are used within the monitored area of the account department. 9.5 Where accounts are made available online, strict technical and management measures are applied. 9.6 Where account data are supplied externally, the content stays consistent and is not modified, and the source of the account and the means of verifying its authenticity are supplied with it.

9.7 Maintenance is carried out through the management system across the whole management process and covers metadata capture, backup, conversion and migration; the management processes to be recorded are registration, format conversion, migration, appraisal, destruction and transfer. 9.8 When the system is upgraded or updated or account formats are converted, the newly created background and structural metadata, including the system description, format information and technical parameters, are captured automatically.

9.9 Metadata are managed through backup, format conversion and migration, covering both the metadata received at archiving and those created afterwards. Account data are not modified; modification of title, responsible party, file number, date, person, retention period and classification level follows the management rules and is recorded in the log file, and the association between an account and its metadata is maintained. 9.10 Electronic accounts carry an identity mark such as an electronic signature, and the records of browsing, retrieval, copying, downloading and destruction are archived and kept for not less than 2 years.

10 Storage and disposal of electronic accounts

10.1 Electronic accounts are stored and managed by level according to their classification level. 10.2 The enterprise provides storage devices matching the account system. 10.3 The enterprise draws up a backup scheme and strategy for the accounts in the light of its own information technology development, on the basis that the content stays authentic, complete, usable and secure.

10.4 A request to destroy an electronic account is made by the account management department according to the retention period table of the enterprise and is carried out only after review and approval. 10.5 Declassification review is carried out jointly by the account management department and the confidentiality department, with other functional departments consulted where necessary, and the declassification opinion is carried out only after review and approval.