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Quản lý tài liệu quý hiếm tại các thư viện ở Việt Nam.Quản lý tài liệu quý hiếm tại các thư viện ở Việt Nam.Quản lý tài liệu quý hiếm tại các thư viện ở Việt Nam.Quản lý tài liệu quý hiếm tại các thư viện ở Việt Nam.Quản lý tài liệu quý hiếm tại các thư viện ở Việt Nam.Quản lý tài liệu quý hiếm tại các thư viện ở Việt Nam.Quản lý tài liệu quý hiếm tại các thư viện ở Việt Nam.Quản lý tài liệu quý hiếm tại các thư viện ở Việt Nam.Quản lý tài liệu quý hiếm tại các thư viện ở Việt Nam.Quản lý tài liệu quý hiếm tại các thư viện ở Việt Nam.Quản lý tài liệu quý hiếm tại các thư viện ở Việt Nam.Quản lý tài liệu quý hiếm tại các thư viện ở Việt Nam.MINISTRY OF CULTURE, SPORTS AND TOURISM MINISTRY OF EDUCATION AND TRAINING HANOI UNIVERSITY OF CULTURE NGUYỄN THỊ NGỌC MAI MANAGEMENT OF RARE DOCUMENTS IN LIBRARIES IN VIETNAM Major Library and Inform.
MINISTRY OF CULTURE, SPORTS AND TOURISM MINISTRY OF EDUCATION AND TRAINING HANOI UNIVERSITY OF CULTURE NGUYỄN THỊ NGỌC MAI MANAGEMENT OF RARE DOCUMENTS IN LIBRARIES IN VIETNAM Major: Library and Information Science Code: 62320203 SUMMARY OF DOCTORAL DISSERTATION HANOI, 2023 The dissertation has been completed at: HANOI UNIVERSITY OF CULTURE MINISTRY OF CULTURE, SPORTS AND TOURISM Scientific Supervisor: Assoc Prof Dr Trần Thị Minh Nguyệt Reviewer 1: Assoc Prof Dr Nguyễn Thế Dũng Ho Chi Minh City University of Culture Reviewer 2: Dr Nguyễn Hoàng Sơn Vietnam National University, Hanoi Reviewer 3: Assoc Prof Dr Trương Đại Lượng Hanoi University of Culture The dissertation will be defended at the University level Board of Assessment at Hanoi University of Culture 418, La Thanh Street, Dong Da District, Hanoi at … on … …, 2023 The dissertation can be found at: - The National Library of Vietnam - Library and Information Center, Hanoi University of Culture INTRODUCTION Rationale of the study In today's society, rare documents preserve irreplaceable values with the mission of connecting traditional and modern values, contributing to the cultural identity of each nation Throughout the world, rare document collections have become an essential and proud part of many libraries These collections are carefully preserved, and made available to users in a variety of forms using advanced information technology applications In Vietnam, libraries not only manage general documents but also rare documents with the goal of preserving and promoting the cultural heritage values of the nation The libraries in Vietnam have diligently collected, selected, stored, preserved, and served rare documents However, the management of rare documents in Vietnamese libraries currently faces many shortcomings in terms of policies, collection development, professional processing, long-term preservation conditions, organization of exploitation, and cooperation and collaboration between libraries These shortcomings put the rare document treasures of libraries at risk of decay With awareness of these issues, the PhD student has chosen the topic "Management of rare documents in libraries in Vietnam" as the dissertation topic with the goal of researching theoretical and practical foundations and finding solutions to improve the quality of management of rare documents in libraries, contributing to promoting the valuable cultural heritage treasures of Vietnam during its development and integration period Literature review In the world and in Vietnam, research works related to the topic can be grouped into the following directions: - Research on the content of managing rare documents in terms of the concept of documents, rare documents, and the content of managing rare documents - Research on aspects of managing rare materials such as developing rare document collections, organizing rare documents, preserving rare documents, applying technologies in exploring rare documents, collaborating in managing rare documents, and training specialized library staff - Research on tools to support the management of rare documents: many standards and guidelines have been developed and issued to guide the selection of materials for special collections, cataloging, presentation of data on online systems, preservation, security, access, digitization, organization of digital resources, statistics and measurement, quality, and the capacity of specialized staff to manage rare documents The overview of research results worldwide and in Vietnam shows that the management of rare documents and the trend of applying new technologies have been thoroughly researched by foreign authors in many aspects Vietnamese authors have researched on the quantity, value, collection, preservation, and initial steps towards organizing products, services, applying new technologies, and proposing solutions for managing rare documents The literature review helps identify gaps in the research on the management of rare documents in Vietnam, such as: + The requirements for managing rare documents in Vietnam have not been clarified + The current situation of managing rare documents in libraries in Vietnam have not been assessed completely + No research has mentioned a comprehensive system of solutions to improve the quality of managing rare documents in Vietnam Research objectives and tasks - Research objectives: Based on the theoretical research on the management of rare documents, investigating and evaluating the current situation of rare document management in libraries in Vietnam, the dissertation proposes solutions to improve the quality of rare document management in Vietnamese libraries in the current period - Research tasks: + Systematize and improve the theoretical basis of rare document management, especially the characteristics of rare document management in Vietnam + Survey and evaluate the current situation of rare document management in libraries in Vietnam + Propose a system of solutions to improve the quality of rare document management in libraries in Vietnam Research subject and scope - Research subject: The management of rare documents in libraries in Vietnam - Research scope: To be in line with the time and research requirements, the research scope is limited to the management of rare documents produced before 1945 in libraries in Vietnam during the current period (from 2016 to 2021) Research questions and scientific hypothesis - Research questions: + What are the characteristics and requirements of managing rare documents in Vietnam? + What is the current situation of managing rare documents in libraries in Vietnam? + In the current context of Vietnam, what solutions are needed to improve the quality of managing rare documents in libraries in Vietnam? - Scientific hypothesis: + Due to the characteristics of Vietnam's current period, managing rare documents in libraries requires specific requirements to meet the needs of users and to promote the cultural and historical values of rare documents + The libraries in Vietnam hold quite rich collections of rare documents, but the quality of management is not high due to decentralized and manual implementation, lack of standardization and limited cooperation among libraries + If the centralized-decentralized management model is applied based on the application of modern IT achievements, while implementing a synchronized system of solutions such as collection development, processing, storage, preservation, and exploitation, then the quality of management of rare documents in Vietnamese libraries will be improved, meeting the needs of users and social requirements in the new period Methodology and research methods - Methodology: The dissertation employs the dialectical and historical materialist methodology to approach and solve the problem of managing rare documents in libraries in Vietnam - Research methods: The study uses various research methods, including synthesis and analysis, field observation, sociological survey, and statistics The research conducts surveys through questionnaires and interviews with library managers, librarians, library users, and consults with some experts on rare documents both inside and outside the country Scientific and practical significance of the dissertation On a scientific level, the dissertation contributes to systematizing and enriching the theoretical and practical issues of managing rare documents in libraries in Vietnam On a practical level, the dissertation clarifies the current state of managing rare documents in libraries in Vietnam and proposes specific solutions to improve the quality of this work in the current context Structure of the dissertation In addition to the Introduction, Conclusion, References, and Appendices, the dissertation is divided into 03 chapters: Chapter 1: Theoretical and practical foundations of managing rare documents in libraries in Vietnam Chapter 2: The current situation of managing rare documents in libraries in Vietnam Chapter 3: Solutions to improve the quality of managing rare documents in libraries in Vietnam Chapter THEORETICAL AND PRACTICAL FOUNDATIONS OF MANAGING RARE DOCUMENTS IN LIBRARIES IN VIETNAM 1.1 Common issues regarding rare documents 1.1.1 Document Document is a general term referring to information recorded on a specific material that can be preserved and used 1.1.2 Rare document 1.1.2.1 Definition of rare document Rare document refers to original documents that are exemplary and unique in terms of their scientific, historical, and cultural value in both form and content, created during a significant period of history, and have a small number of copies, making them difficult or impossible to find again if damaged or lost 1.1.2.2 Characteristics of rare documents As a special type of document, rare documents have the following characteristics: In terms of form, rare documents have unique languages, writing styles, physical forms, production techniques, types, structures, and bibliographic information In terms of content characteristics, rare documents reflect the main aspects of politics, economics, culture, society, and science of the period in which the documents were created In terms of time, the time of rare documents depends on the milestones in the document’s history in relation to the history of writing, printing, publishing, and society In addition, rare documents also have other characteristics such as place of creation and the level of dissemination of the documents 1.1.2.3 Some related terms Some terms closely related to "rare documents" include: documentary heritage, ancient documents, documents of special collections, and restricted-use documents 1.2 Rare document management 1.2.1 Concept of document management Library document management is a part of library management, which involves managing all processes in the lifecycle of a document, from developing the collection, processing, storing information, organizing repositories, preservation, to organizing the exploitation of documents to meet the needs of library users 1.2.2 Characteristics and content of rare document management Rare document management involves managing the entire lifecycle of rare documents It emphasizes various aspects such as: - Collecting, acquiring, and collaborating, sharing resources; - Preserving documents; - Exploiting the information content, improving the values of the documents; - Requiring professional expertise of library staff Managing rare documents has its own unique characteristics Developing collections requires attention to collecting and sharing resources due to the difficulty of finding and acquiring rare documents Processing documents must cover specific information of rare documents Storing information requires a diverse, comprehensive, standardized, and integrated tool system Organizing repositories and preserving the documents must ensure strict conditions to maintain the long-term stability and integrity of the documents Document exploitation must focus on diversifying services, providing remote and online access, and promoting collaboration 1.2.3 Factors influencing the management of rare documents The policies of the state agencies have a direct impact on the management of rare and valuable documents Appropriate policies and mechanisms will promote the practice of managing rare documents Library users and their needs, influenced by technologies, are a factor that impacts and demands changes in the management of rare documents Standards for managing rare documents contribute to standardizing and unifying rare document management activities, creating conditions for linking and sharing resources Rare document librarians - the subjects of rare document management activities - have a direct impact on the quality of rare document management Facilities and technology infrastructure are essential factors in ensuring the quality of rare document management 1.2.4 Criteria for evaluating the quality of rare document management The theories of quality, library management, and rare document management, along with international standards for library performance assessment, show that the evaluation of the quality of rare document management needs to be based on criteria including: (1) The ability to develop rare document collections (2) The scientific level in processing rare documents (3) The degree of ensuring the retrievability of rare document collections (4) The level of preservation of rare document collections (5) The ability to meet the needs of users to exploit rare documents Each criterion can be achieved at a high, medium, or low level based on the degree of compliance with accompanying indicators 1.2.5 Rare document management models 1.2.5.1 Types of library document management models Large-scale document management models include: decentralized, completely centralized, and centralized-decentralized In a centralized-decentralized model, documents are stored and accessed in a decentralized manner, while data about the documents is centrally managed and accessed This model helps manage largescale document collections, maintain separate collections, and still ensure connectedness and increase the ability to meet user needs The models for managing documents in a library include: collection-centric model, user-centric model, and collaborative access model In a user-centric and collaborative access model, users are provided with relevant information at the right time regardless of where the documents are stored 1.2.5.2 Implementation of rare document management models in countries and regions around the world Two models for managing rare documents have been applied: decentralized and centralized-decentralized Currently, in response to changes in user needs, information environment and technologies, the management of rare documents worldwide has shifted from a decentralized model to a centralized-distributed model, with the emergence of numerous digital library platforms that enable largescale management and access These platforms are the result of collaboration between libraries and cultural agencies on the basis of investment by the state and cultural institutions 1.3 Characteristics of rare documents, target users, and requirements for rare document management in libraries in Vietnam 1.3.1 Characteristics of rare documents in libraries in Vietnam 1.3.1.1 Formal characteristics Rare documents in libraries in Vietnam are diverse in form The language of the documents is quite rich, mostly in Han Nom and French The types of documents are diverse (books, newspapers, maps, paintings, photographs, pamphlets, records, village regulations, etc.) The materials used to make the documents are mainly paper and wood Document production techniques include handwriting, woodblock printing, and movable type printing The bibliographic information and structure of the documents are specific, especially for Han Nom documents 1.3.1.2 Content characteristics Rare documents in Vietnamese libraries are characterized by rich content and high value, considered as invaluable cultural assets of the nation These documents reflect the country's historical development in all aspects: culture, society, science, history, etc under feudal and colonial regimes Rare documents have a predominance of social science content, with limited content about science and technology 1.3.1.3 Time of appearance of rare documents in Vietnam Based on the history of writing, history of documents, and history of society, the milestone of 1945 and earlier can be used to determine rare documents in Vietnam 1.3.1.4 Some other characteristics In addition to the basic features, rare documents in Vietnam also have some characteristics such as the risk of destruction, high rarity, and characteristics of copyright and intellectual property 11 Chapter THE CURRENT SITUATION OF MANAGING RARE DOCUMENTS IN LIBRARIES IN VIETNAM 2.1 Development of rare document collections 2.1.1 Policies and plans for developing rare document collections Libraries have planned to develop information resources, but have not fully focused on collection development policies, and even if they exist, the policies not cover the development of rare document collections in the library: only 35.7% of surveyed libraries have collection development policies that include rare documents 2.1.2 Acquisition methods Many various methods such as receiving upon establishment, collecting, receiving as gifts, and collaborating have been implemented to acquire rare documents Among them, collecting is the method that is most emphasized However, the methods of acquisitions are carried out less proactively, less linked, and not systematically 2.1.3 Document appraisal Document appraisal during the collecting process has been carried out by many libraries, but the collecting and appraising criteria are still simple and have only been identified in 57.1% of surveyed libraries 2.1.4 Evaluation of the quality of rare document collection development The ability to develop the collection is at a medium level due to incomplete policies on developing the collection, unsystematic activities of collection, acquisition, collaboration, and resource sharing, limited budget for collecting and simple criteria for document appraisal 2.2 Processing of rare documents 2.2.1 Technical processing The technical processing of rare documents is carried out in 100% of the surveyed libraries However, the traditional methods still persist and there are still some rare document collections that have not been technically processed in 7.1% of the surveyed libraries 2.2.2 Descriptive cataloguing Libraries have not agreed on applying cataloging standards for documents in general and rare documents in particular 93.3% of surveyed libraries have cataloged rare documents, mostly with brief 12 cataloging The level of detail and cataloging information is not consistent and does not cover all the specific information of rare documents Some rare collections have not been cataloged yet 2.2.3 Subject cataloguing Libraries have conducted indexing, classifying, abstracting, and annotating for rare documents However, the content processing of rare documents is inconsistent and not standardized - Indexing: Most libraries have indexed rare documents based on uncontrolled terms - Classification: For Latin documents, libraries classify them using common standards such as BBK, DDC, 19-class classification, and geographic document classification, Other types of rare documents are classified in their own ways, such as TVVNCHN with Han Nom documents, TVKHXH with maps, photos, etc - Abstracting, annotating: 100% of libraries have abstracted rare documents using indicative abstracts Only TVVNCHN provides detailed content abstracts, while other libraries either provide brief abstracts or inherit abstracting results from bibliographies 2.2.4 Evaluation of the quality of rare document processing Rare documents have been given attention in terms of technical, formal, and content processing by libraries However, the level of scientific processing is only average 2.3 Information storage for rare documents 2.3.1 Card catalogs In some libraries, card catalogs for rare documents still exist, but they have stopped being updated, so they are not comprehensive and not cover the entire collection of rare documents 2.3.2 Bibliographies Libraries have many bibliographies that reflect their collections of rare documents, such as bibliographies for Han-Nom documents, and other rare documents Currently, in some libraries, bibliographies are being used as important tools for searching and introducing rare documents, and sometimes they are the only way to access rare documents However, compiling bibliographies of rare documents, that is mainly carried out in larger central libraries, is still fragmented and does not fully reflect the entire collections of rare documents in the libraries 2.3.3 Databases 100% of surveyed libraries have built a bibliographic database, with nearly 35.7% having a full-text database reflecting rare 13 materials However, the creation and operation of these databases varies among library groups Some larger central libraries have a good database system, while the majority of library bibliographic database systems are incomplete and not cover all rare materials The processing of information input into the database is not yet guaranteed Some libraries have started building full-text databases for on-site and online access, but these databases are not yet synchronized, have little linkage, and not cover all rare materials About 28.6% of libraries have not yet created metadata for digital materials 2.3.4 Evaluation of the quality of information storage for rare documents Rare documents in libraries can be accessed through a fairly diverse system of tools, but the level of assurance for retrieval capability only reaches an average level 2.4 Storing and preserving rare documents 2.4.1 Storing rare documents According to the survey, 100% of the libraries have placed rare documents in closed stacks where the documents are arranged to save space, limit access, and facilitate preservation However, some collections are still not well-organized and arranged properly 2.4.2 Preservation of rare documents 2.4.2.1 Preventive conservation Libraries have taken some proactive measures such as: Organizing separate departments to manage and carry out preservation activities (28.6% of libraries); Developing preservation plans; Establishing regulations to educate users and library staff on awareness and responsibility (100%); Striving to ensure environmental conditions and preservation equipment (nearly 60%); Limiting access to original documents (100%); Emergency planning (50%) 2.4.2.2 Conservation and restoration Libraries recognize that restoration is an urgent requirement All surveyed libraries are equipped with basic equipment and materials for cleaning, repair, and restoration of documents, but the level of investment and readiness for restoration is uneven and not truly guaranteed 2.4.2.3 Reformatting documents and preserving their reproductions Libraries have reformatted rare documents by photocopying (28.5%) and photographing on microforms (43%) Digitization of 14 rare documents has been implemented by 71.4% of libraries and achieved certain results The proportion of rare documents digitized in libraries is not consistent Digitization has not been carried out according to strategies, plans, and standards The preservation of copies still faces many difficulties, and digital preservation has started to receive attention from 57% of libraries 2.4.3 Evaluation of the quality of preserving rare documents The libraries have implemented many positive measures to preserve rare documents, but the level of scientific preservation is currently only at an average level 2.5 Exploitation of rare documents 2.5.1 Forms of access 2.5.1.1 Onsite access Onsite access is the main form of accessing rare documents 85.7% of libraries ensure the conditions for serving users in the system of reading rooms, but the level of assurance is uneven The number of users accessing rare documents onsite is not high 2.5.1.2 Remote access 65.3% of surveyed libraries have provided remote access forms such as accessing via the Internet, receiving and responding to requests via phone, mail, email, text messages, etc with varying levels of service 2.5.2 Rare document services - Onsite reading service: 100% of libraries allow onsite reading through closed stacks All libraries limit access to original copies - Digital library service: Many libraries have provided digital library services with forms such as online catalog searching (100% of surveyed libraries), full-text database searching in the library (36%) / online (21%), online reference (36%), etc Online interlibrary searching is still in its early stages, with only 14.3% of libraries currently utilizing it - Reprographic service: The surveyed libraries all provide reprographic service and charge according to legal regulations The user's self-service for reprographics is not standardized across libraries - Reference service: Only 50% of libraries provide reference services such as receiving requests, guiding sources of information and products, and services - On-demand information service: Currently, only 35.7% of libraries are able to provide information on demand services 15 - Document translation service: Translation service is mainly carried out in specialized research institutes Most other libraries cannot implement it due to a lack of specialized staff - Other services: Some libraries provide services such as library usage instruction, cataloging, database construction, restoration, preservation, and appraisal of rare documents 2.5.3 Marketing rare document collections When creating products and services, libraries have somewhat considered researching the needs of users of rare documents, but they have not focused on it properly The basic products and services for rare documents in libraries are all free The library charges for things such as issuing library cards, fines, and some service charges The convenience of products and services has been initially considered but still not satisfactory The message about rare document products and services has been shared through many forms and channels However, libraries not have a strategic plan and full attention, so the effectiveness of communication work is still modest 2.5.4 Evaluation of the quality of rare document exploitation Libraries have organized the exploitation of rare documents according to various forms with a fairly diverse service system However, the ability to meet users' needs is not high 2.6 Current situation of factors influencing the management of rare documents 2.6.1 Policies of the government The policies of management agencies are gradually being improved, reflecting the correct viewpoint of the state towards the management of rare documents However, the mechanisms and policies of management agencies need to be further adjusted to specify and create better conditions for managing rare documents in libraries 2.6.2 Library users The demand for exploiting rare document collections is not high, mainly focusing on a core group of users Users want to access online services to save time and conveniently exploit the collections 2.6.3 Applied management standards The applied standards are not uniform and there are no specific standards for rare materials 16 2.6.4 Specialized library staff Personnel in charge of rare documents mostly have a bachelor's degree or higher, have been working in the profession for a relatively long time, and have received some continuing training However, the library staff is still quite passive, with 54.7% lacking library information expertise, unaware of the language of rare documents, and receiving little training on preservation, services, and digital libraries 2.6.5 Facilities and technology infrastructure The current facilities and technology infrastructure still faces many difficulties The conditions for document preservation are not very good, with only 42% being fully ensured The facilities of reading rooms in over 85% of libraries meet basic requirements The server and workstation system is well-invested in 100% of libraries have used library management software, but the software is not standardized 2.7 Evaluation of the quality of rare document management 2.7.1 General evaluation The quality of management of rare documents in Vietnamese libraries is not high and is unevenly distributed among surveyed libraries Synthesizing the results of evaluating each stage of rare document management helps conclude that the quality of management of rare documents in Vietnamese libraries is at an average level 2.7.2 Strengths and reasons • Collections of rare documents with large quantities have been built and developed, which become memory banks of Vietnam and the world • Positive activities have been applied to preserve rare document collections • A system of digitized rare document collections has been initially formed in libraries Reasons for strengths - The state has proper policies on preserving and promoting cultural heritage, including rare documents - Libraries have a full understanding of the value and importance of managing rare documents - Many generations of library staff and scholars have contributed to managing rare documents 17 - Some libraries have been proactive in using available budgets to improve the quality of rare document management 2.7.3 Limitations and causes • Insufficient effort has been made to develop rare document collections through linkage and resource sharing among libraries • Rare documents have not been thoroughly processed in a standardized manner • The information storage systems for rare documents are incomplete • The preservation conditions not meet requirements • The organization of document exploitation has not fully met the requirements of users Causes of limitations - Decentralized management model - Incomplete mechanisms and policies - Lack of standards for managing rare documents - Products and services for exploiting rare documents are created on a low level of application of information technology and have not originated from researching the needs of users - Human resources, budget, facilities and IT infrastructure have not been sufficient Sub-conclusion Rare documents are managed by the libraries in Vietnam through their library operations, such as collection development, processing, information storage, organization of repositories and preservation, and user services Currently, the management of rare documents in Vietnamese libraries has achieved some encouraging achievements However, the quality of rare material management in libraries is not high and does not correspond to the potential of libraries, nor does it meet the requirements of the country at present The development of rare materials through cooperation has not been strongly promoted, materials have not been thoroughly processed, information storage systems are incomplete, preservation environments are not guaranteed, and user services not meet the needs of users The reasons for these limitations are due to a decentralized management model, incomplete mechanisms and policies, a lack of rare document management standards, low levels of information technology application, incomplete research on user needs, insufficient human resources, budgets, and inadequate technological infrastructure 18 Chapter SOLUTIONS TO IMPROVE THE QUALITY OF MANAGING RARE DOCUMENTS IN LIBRARIES IN VIETNAM 3.1 Transforming the model of managing rare documents 3.1.1 Basis of model proposal and requirements for rare document management model in libraries in Vietnam 3.1.1.1 Basis of model proposal - Theoretical basis: Experts around the world have shown that transforming the model of managing rare documents is an objective and urgent requirement The centralized-decentralized model, with collaborative access to rare documents, meets current demands for managing rare documents - Practical basis: + The centralized-decentralized model is widely applied in developed countries + The centralized-decentralized model meets the requirements for managing rare documents in Vietnamese libraries and addresses the current shortcomings in managing rare documents - Legal basis: The current legal framework is favorable for implementing the centralized-decentralized model in Vietnamese libraries 3.1.1.2 Requirements for rare document management model in libraries in Vietnam The model needs to meet the requirements of managing rare documents in Vietnamese libraries, ensuring interoperability, compliance with legal regulations, and addressing existing limitations in practice 3.1.2 Proposal for managing rare documents in libraries in Vietnam using a centralized-decentralized model The dissertation proposes the implementation of the centralizeddecentralized model to enhance the management quality of rare documents in Vietnamese libraries