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MINISTRY OF CULTURE, MINISTRY OF EDUCATION AND SPORTS AND TOURISM TRAINING HANOI UNIVERSITY OF CULTURE ******** LE THI THANH HUE QUALITY MANAGEMENT OF LIBRARY AND INFORMATION SERVICES AT UNIVERSITIES IN VIETNAM Major: Library and Information Science Code: 62320203 SUMMARY OF DOCTORAL THESIS IN LIBRARY AND INFORMATION SCIENCE HANOI, 2023 The thesis was completed at: HANOI UNIVERSITY OF CULTURE MINISTRY OF CULTURE, SPORTS AND TOURISM Supervisors: Assoc Prof Dr Nguyen Thi Lan Thanh Reviewer 1: Assoc Prof Dr Nguyen The Dung Ho Chi Minh City University of Culture Reviewer 2: Assoc Prof Dr Tran Thi Quy University of Social Sciences and Humanities, Vietnam National University Hanoi Reviewer 3: Assoc Prof Dr Truong Dai Luong Ha Noi University of Culture The thesis will be defended at the Doctoral Thesis Examination Committee at the level of University at Hanoi University of Culture No 418, La Thanh Street, Dong Da, Hanoi At …, on date … month … year 20… The thesis can be found at: - National Library of Vietnam - Library of Hanoi University of Culture INTRODUCTION Rationale Facing the pressure of meeting the standards for quality accreditation and learner competition, universities in Vietnam are increasingly strengthening university governance to gradually improve training and research quality Among them, the quality of library is always one of the top concerns of education managers and leaders, and university libraries in the process of effort to improve service quality, which contributes to the development of education in Vietnam Towards ensuring the requirements of standardization and improvement of quality and effectiveness of library and information service quality management at universities in Vietnam, the thesis studies and investigates the reality of library and information service quality management, identifies the models of library and information service quality management being implemented, analyzes limitations and causes in quality management of library and information services at universities in Vietnam, thereby researches and proposes appropriate solutions to contribute to improving the effectiveness of library and information service quality management at universities in Vietnam Research purposes and tasks 2.1 Research purposes Analyze and identify the current situation of library and information service quality management at universities in Vietnam, and propose solutions to improve the effectiveness of library and information service quality management at universities in Vietnam 2.2 Research tasks - Clarify the theoretical and practical basis for quality management of library and information services at universities; - Survey, analyze and evaluate the practice of quality management of library and information services at universities in Vietnam; - Research and propose solutions to improve the effectiveness of quality management of library and information services at university libraries in Vietnam Object and scope of research 3.1 Research object The thesis studies quality management of library and information services 3.2 Research scope The thesis studies the quality management of library and information services at universities in Vietnam (Case study with 23 university libraries representing regions, specialized and multidisciplinary universities, public and private universities) from 2017 to present Research questions and scientific hypothesis 4.1 Research questions How effective is the quality management of library and information services at universities in Vietnam? Which model is being implemented for quality management of library and information services at university libraries in Vietnam? Which quality management model is more dominant in quality management of library and information services at universities in Vietnam? What solutions are needed to improve the effectiveness of quality management at universities in Vietnam? 4.2 Research hypothesis Although the majority of university libraries in Vietnam have implemented quality management of library and information services, it has not been effective because the implementation is not complete, comprehensive and thorough The quality management model of library and information services at universities in Vietnam is mainly spontaneous, no quality management model has been applied effectively However, the service quality management model under ISO standards is a more advantageous and effective model because it is quite consistent with the trend of applying ISO in quality management at universities and the practice of university libraries in Vietnam today If university libraries in Vietnam apply the service quality management model according to ISO 21001:2018 and appropriate solutions to improve the effectiveness of quality management, the implemented library and information services will be guaranteed to be always managed, controlled, adjusted and improved to meet the quality objectives set by university libraries 4.3 Research theory Research on quality management of library and information services at universities in Vietnam is based on the quality management theory by William Edwards Deming, the management theory by H Fayol, the service theory by Zeithaml, and the library and information service theory by M.K Buckland Research approach and methods 5.1 Research approach The thesis approaches in the interdisciplinary direction of management science and library science on service quality management 5.2 Research methods In addition to the general methodology, the thesis uses the following specific research methods: Method of information analysis and synthesis; Method of comparison and contrast; Questionnaire method; Interview method; Observation method; Modeling method Scientific contributions 6.1 Scientific significance The thesis systematizes and enriches the theoretical and practical issues of quality management of library and information services at university libraries 6.2 Practical significance The thesis clarifies the current situation and proposes solutions to improve the effectiveness of quality management of library and information services at universities in Vietnam The research results help university leaders, and university library managers in Vietnam have theoretical and practical basis in policy making, organization, implementation and improvement of library and information service quality management The thesis is a useful reference for researchers, officials and lecturers working in university libraries, training institutions in Library and Information Science Structure of the thesis Chapter Literature review, theoretical and practical basis on service quality management at university libraries Chapter Current situation of service quality management at university libraries in Vietnam Chapter Solutions to improve the effectiveness of service quality management at university libraries in Vietnam Chapter LITERATURE REVIEW, THEORETICAL AND PRACTICAL BASIS ON LIBRARY AND INFORMATION SERVICE QUALITY MANAGEMENT AT UNIVERSITIES 1.1 Literature review In the field of library and information science, quality management has also been researched and implemented into practice The theoretical issues mentioned include the philosophies of quality management, principles and implementation of quality management, theoretical issues of library quality management, library and information services, quality and methods of library and information service quality assessment in the world and in Vietnam The practical issues that have been researched consist of the implementation process, barriers to implement quality management; quality and methods of quality assessment at university libraries in Vietnam Studies have also mentioned some quality management models, models and methods of library and information service quality assessment, and application of library and information service quality assessment and management models in some specific libraries or in some specific services of libraries around the world There has not been any research that have studied the library and information service quality management at universities in Vietnam as well as provided an appropriate library and information service quality management model to be applied at universities in Vietnam in the current context 1.2 Theoretical basis of library and information service quality management 1.2.1 Basic concepts * Services In this thesis, services are understood as the results created from suppliers’ activities that interact with customers through the use of internal or external resources of suppliers to satisfy the needs of customers Basically, services have three components, including basic service, support service, and full service * Library and information services: In order to be consistent with the approach of the thesis as well as to ensure that the conceptual content is reflected most fully and accurately, library and information services can be fully defined as follows: Library and information services are the results created from library activities that interact with users through the use of internal and external resources of libraries to satisfy the needs of library users * Quality On the basis of viewpoints of quality, it can be understood that quality is not only considered based on customers’ perception of products and services provided, but also on the process of creating and providing products and services * Service quality In this thesis, service quality is understood as follows: Service quality is determined by the ability to satisfy the needs of users and the impact of services on service users * Library and information service quality The thesis defines the concept of library and information service quality as follows: Library and information service quality is determined by the ability to satisfy the needs of library users and the values that the services bring to service users * Management The thesis is approached in the direction of inheriting previous studies and research practices to understand that: Management is the impact of managers on the managed objects through planning, organizing, implementing, evaluating and adjusting activities to achieve the set management objectives * Library and information service quality management The thesis gives the following definition: Library and information service quality management is a coordinated activity to orient and control the quality of library and information services, including quality planning, implementation, control, quality assessment and quality improvement * Quality management system The thesis gives a definition from the point of view of ISO that: Quality management system is an activity whereby an organization defines its objectives and identifies the processes and resources needed to achieve the desired results * Library and information service quality management system In this thesis, the library and information service quality management system is understood as libraries’ activities, including planning of the desired service quality policies and objectives, and identification of the processes and resources needed to achieve the service objectives set out 1.2.2 Contents of library and information service quality management * Service quality planning - Build service quality policies - Build service quality goals * Implementation organization - Make an implementation plan - Set up work implementation processes * Service quality control and assessment - Quality control - Quality assessment * Service quality improvement 1.2.3 Types of library and information services Based on the functions and tasks of services at university libraries today, there are the following basic library and information services: - Document circulation service - Document delivery service - Selective dissemination of information - Library media service - User training service - Information consulting service: Support and consulting service of learning and research information; Information answering service - Convenience service 1.2.4 The role of library and information service quality management at universities - Raise awareness and skills of library leaders and staff - Create opportunities to improve and promote the effectiveness of library resources - Strengthen international integration, sustainability and competitiveness of university libraries 1.2.5 Factors affecting library and information service quality management * External factors - Mechanisms, and policies - Users - Socioeconomic, political, and cultural conditions * Internal factors - Human resources - Facilities, equipment, technology - Information resources 1.2.6 Service quality model and service quality management model * Service quality model - Gronroos’ service quality model - Parasuraman’s service quality model * Service quality management model - Total quality management model - TQM - Quality management model of European Foundation for Quality Management - EFQM - ISO quality management model * General assessment of service quality management models Quality management models are aimed at improving the capacity of organizations, enhancing the ability to satisfy the needs of customers with certain advantages and disadvantages In particular, the ISO 9001:2015 and ISO 21001:2018 models are the models approved in the TCVN, which can be effectively applied in library and information service quality management at universities in Vietnam 1.2.7 Criteria for evaluating the effectiveness of library and information service quality management - The criteria for evaluating the effectiveness of service quality planning are the relevance of quality policy (with users’ expectations about service quality) and the achievement of quality objectives set out - The criteria for evaluating the operational effectiveness are determined by the degree of completion of plans, and compliance with the established processes, procedures, regulations, forms, etc - The effectiveness of service quality control and assessment is determined by the degree of inspection, monitoring and assessment of service quality - The effectiveness of service quality improvement is determined by the degree of improvement, and service quality management documentation Operational effectiveness is calculated under the following formula: V (performance) R (effectiveness) = V (planning) 1.3 Practical basis of library and information service quality management at universities 1.3.1 Characteristics of university libraries, and library and information service quality management at universities in Vietnam * Characteristics of university libraries - Regarding the organizational structure of university libraries The organizational structure of university libraries is specified in Article 5, the Model Regulations on organization and operation of university libraries issued on March 10, 2008, and Articles 48-49, the Law on Libraries A university library is a unit in the organizational structure of a university, including library leaders, and professional departments (or groups) - Regarding the functions and tasks of university libraries In general, university libraries perform the following functions: Collect, supplement, process and exploit information sources for management, training and research activities at university Specific functions and tasks are most recently prescribed in Article 4, the Law on Libraries 11 Work Plans of libraries In some university libraries, quality objectives are only agreed orally but not in writing In addition, the quality objectives have not been uniformly implemented in all services of university libraries, and no specific objectives have been defined for each service 2.2 Implementation organization 2.2.1 Planning The percentage of university libraries that have made a plan to implement quality objectives is quite high compared to activities of building quality policies and objectives (about 61.9% - 82.4%) In which, library media service and user training service have a rate of planning higher than other services The planning of goal-oriented tasks is implemented in many different ways by university libraries 2.2.2 Process establishment Survey data shows that 44.4% - 66.7% of libraries build operation processes for services provided to users Particularly, support and consulting service of learning and research information, information answering service, convenience service, and user training service are the services that have less operation processes built When building operation processes, most university libraries involve the entire staff 2.2.3 Implementation According to the interviews and observations, it is shown that most university libraries have created and provided the planned services based on academic year plans, quarterly and monthly plans; however, the implementation of operation processes, and documents of the developed quality management system is not really serious and thorough In addition, some universities, when performing services, have customized under the subjective reality of leaders or employees, but have not adhered to the plans and documents built 2.3 Quality control and assessment of library and information services 2.3.1 Service quality control Only 50% - 61.1% of university libraries in Vietnam have implemented quality inspection and control activities for the services provided Besides, 12 inspection and control are mainly carried out in the form of report in meetings Quality inspection and control have not been specified, and there is no clear and specific inspection and control mechanism 2.3.2 Service quality assessment Most university libraries investigate and assess service quality through sociological surveys using questionnaire and direct interview with users at library The survey is conducted periodically or non-periodically every year according to university program or library’s own program However, the investigation and assessment has not been conducted synchronously and specifically for the entire library and information services University libraries in Vietnam also conduct self-assessment and external assessment under the higher education accreditation program, but there are still many university libraries that not meet the standards in quality accreditation The research results also indicate that the quality of library and information services at universities in Vietnam has not been appreciated, and has not yet met users’ expectations about service quality 2.4 Quality improvement of library and information services 2.4.1 Improvement of service quality management Survey results show that only 38.9% - 55.6% of university libraries have improved service quality management In which, document circulation service, support and consulting service of learning and research information, information answering service, convenience service have a relatively low improvement rate (38.9 % - 44.4%) This indicates that university libraries have not paid much attention to operational improvement to enhance service quality, which leads to the lack of effectiveness and efficiency in the chain of service quality management activities at university libraries 2.4.2 Improvement of service quality management documents Survey data on improvement of system documentation implemented by university libraries from 16.7% to 44.4% show that university libraries have not paid much attention to improvement of system documentation University libraries pay less attention to document building, but only implement it in practice, under direct instructions or in meetings Building documents mainly focuses on operation processes Some libraries have built a document system that is incomplete or is complete but has not been regularly reviewed and edited, leading to outdated and unsuitable documents 13 2.5 Current situation of factors affecting quality management of library and information services 2.5.1 External factors External factors such as mechanisms, policies, characteristics and needs of users have had a direct influence on the quality management of library and information services 2.5.2 Internal factors Internal factors such as human resources, facilities, and technological equipment have also had a significant influence on the practice of quality management of library and information services at universities in Vietnam 2.6 Identification of library and information service quality management models At the time of the survey, only 02 quality management models, ISO and spontaneous models, are applied in 15/23 university libraries surveyed in Vietnam with different levels: 2.6.1 ISO service quality management model - Level 1: The basic level includes implementation, control, assessment, and improvement - Level 2: The full level includes quality planning, implementation, control, assessment, and improvement 2.6.2 Spontaneous service quality management model - Level 1: The essential level includes quality implementation, assessment, and improvement - Level 2: The basic level includes quality implementation, control, assessment, and improvement 2.7 Overall assessment of the quality management effectiveness, and quality management of library and information services 2.7.1 Regarding the effectiveness of quality management of library and information services The research results show that the effectiveness of quality management of library and information services at universities in Vietnam is not high because of the lack of control in service quality management; the quality management model has not been completed and fully implemented, and is not suitable for the current practice of university libraries in Vietnam However, the ISO quality management model has more advantages and brings higher management effectiveness than the spontaneous model 14 2.7.2 Regarding the quality management of library and information services * Strengths – reasons Strengths: - Service quality planning activities have been implemented, basically in accordance with the expectations of users and stakeholders - Organization and implementation activities have been clearly planned through work plans, operation procedures have been built and announced at unit meetings or published in writing and disseminated to all employees - Inspection and control activities at university libraries have been carried out through report at unit meetings, and some university libraries have applied information technology (KPI) in controlling work plans Many universities have conducted quality surveys and evaluations, including paying attention to user feedback on service quality - Quality improvement activities have been carried out based on improvement recommendations from external review, on the basis of analysis of user expectations, or initiatives from university libraries based on selfassessment results Improvement has been made to activities and documents including the service quality management documentation system - Some university libraries have applied ISO in university library quality management including service quality management, which brings higher efficiency than libraries applying the spontaneous service quality management model Causes: The introduction of the Law on Libraries has created favorable conditions for university libraries to have a basis for implementing activities of service supply, service quality management, investment and improvement towards improving service quality to bring satisfaction to users Several State documents on promoting the application of science and technology, digital transformation programs for the library sector, etc., have created an important legal corridor for universities to invest in libraries, helping university libraries have opportunity to improve and enhance service quality The shift of university libraries to modern libraries, and digital transformation of the library sector has facilitated the development and improvement of library and information service quality at universities 15 In addition, the majority of university libraries’ employees have bachelor’s degree or master’s degree in library and information science, and information technology, which is a great advantage for university libraries in Vietnam when implementing library and information service quality management activities * Limitations – causes Limitations: - The service quality policy has only been built in writing by a few university libraries applying ISO, but has not been widely published among staff and has not been disseminated to stakeholders Most university libraries have not yet built a quality policy - In most university libraries, service quality objectives have not been documented and published separately and widely among staff and stakeholders - The plans and processes for implementation are mainly agreed upon by university libraries at professional meetings, but have not been issued in writing The contents of plans, operation processes, and quality management documents have not been strictly and thoroughly implemented, are still customized and subjective, and have not adhered to the planned contents - Quality control at university libraries has not been focused, implemented seriously and thoroughly, closely followed and referred to quality objectives, and there is no mechanism to check and monitor the implementation of plans and operation processes - Most university libraries have not paid due attention to quality assessment, have not conducted quality self-assessment and accreditation activities The self-assessment is only based on the service data reports without analyzing, processing and identifying subjective improvement activities of libraries - Quality improvement has not been focused on by many university libraries Improvement activities have not been implemented synchronously and comprehensively, and there have been no reports on evaluation of improvement activities Especially, improvement of documents of the quality management system has not been paid attention to - The majority of libraries themselves implement quality management activities in their own way and spontaneously without following any 16 available model Therefore, the effectiveness of service quality management at university libraries is not high; the effectiveness and efficiency of the quality management system is not high and does not meet practical requirements Causes: The issues such as lack of mechanisms and policies, lack of facilities and tools for quality management, limited knowledge and capacity for quality management of libraries are the factors that cause difficulties for university libraries in implementing service quality management activities as well as pose great challenges for university libraries in Vietnam in ensuring effectiveness of service quality management In addition, most library staff and many university library leaders not have a clear understanding of service quality management, implementation of service quality management at libraries, as well as necessary and sufficient factors to implement service quality management at university libraries This is a significant obstacle in the implementation of service quality management at university libraries in Vietnam Sub-conclusion Most university libraries in Vietnam have implemented service quality management activities at different levels, in which at least one library and information service quality management activity has been implemented University library staff and leaders are all aware of the importance and purpose of service quality management activities in improving the quality of library and information services; however, the contents of service quality management activities at university libraries are not fully and comprehensively understood Therefore, service quality management activities at university libraries are mainly carried out spontaneously Only a few university libraries have applied ISO in service quality management at different levels Accordingly, the service quality management effectiveness as well as the library and information service quality at universities in Vietnam is not high In addition to the advantages and opportunities, university libraries in Vietnam also face many difficulties and challenges that require managers at all levels to have a clear strategy in promoting and ensuring the effectiveness of library and information service quality management at universities in Vietnam 17 Chapter SOLUTIONS TO IMPROVE THE EFFECTIVENESS OF LIBRARY AND INFORMATION SERVICE QUALITY MANAGEMENT AT UNIVERSITIES IN VIETNAM 3.1 Perfection of the library and information service quality management model 3.1.1 Proposal basis - Theoretical basis The proposed model of library and information service quality management at universities in Vietnam should be considered on the basis of the theory of library and information service quality management, and the characteristics of service quality management models to ensure that the proposed model meets the requirements of science and feasibility - Practical basis The proposed model applied to university libraries in Vietnam needs to be consistent with the characteristics and nature, and be built on the basis of the library and information service practice as well as the practice of quality management of library and information services at universities in Vietnam today - Legal basis University libraries in Vietnam are currently governed by legal documents in organization of library and information activities, especially the Law on Libraries Therefore, the proposed contents should ensure compliance with current legal regulations 3.1.2 Proposed model Based on the analysis of the theory of quality management, the practice of library and information service quality management, the legal basis and the general context of universities, and university libraries in Vietnam, the thesis proposes to perfect the library and information service quality management model for universities in Vietnam as follows: 18 Diagram 3.1 The library and information service quality management model This is a typical model of university libraries The application of this model is in line with the universities’ trend of promoting quality management, in which many universities have applied ISO This is also consistent with the trend of standardization in service quality management in Vietnam 3.1.3 Conditions to ensure model implementation - Management mechanism: Management and coordination units include the Ministry of Education and Training, the Ministry of Culture, Sports and Tourism, the governing ministry, and Universities - Support resources: Including human resources, facilities, equipment and technology 3.2 Group of solutions for building a library and information service quality management system 3.2.1 Process of building a service quality management system * For university libraries that have not yet applied ISO in service quality management: