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MINISTRY OF EDUCATION AND TRAINING MINISTRY OF INTERIOR NATIONAL ACADEMY OF PUBLIC ADMINISTRATION NGUYEN KIM DUNG POLICIES TO USE ARCHIVES IN VIET NAM Major: Public Management Code: 9340403 SUMMARY OF PUBLIC MANAGEMENT DOCTORAL THESIS HA NOI, 2019 The Works was completed at: NATIONAL ACADEMY OF PUBLIC ADMINISTRATION Scientific supervisors: 1: Assoc Prof Dr Trieu Van Cuong 2: Assoc Prof Dr Nguyen Van Hau Critic 1: Critic 2: Critic 3: Time: at ……… h … day … month … year The dissertation will be defended in front of the Dissertation assessment Council at Academy level Location: Doctorial dissertation defence room - Meeting room… Building ……, National Academy of Public Administration No.: 77 - Nguyen Chi Thanh Road - Dong Da District - Hanoi It is possible to study the dissertation at National Library of Vietnam or library of National Academy of Public Administration INTRODUCTION Rationale In recent years, the archives using policy coming into being in Viet Nam has created favorable conditions for individuals and organizations wishing to access and use archives for certain purposes, contributing to promotion of socio-economic development, ensurance of political stability, national security and defense, social order and safety However, in the current period, the policy has revealed many inadequacies so it has not fully promoted the value of archives In particular, documents expressing the archives access policy, both widespread access and limited access, are not well spelt, making it difficult for readers to access many highly valuable documents in service for research and other legitimate needs Regulations on the forms of archives usage are not proactive nor have grasped the society’s information needs for the propaganda purpose in order to increase the people's understanding of archives and bring them to the public in a wider approach Especially, if the archives are considered a cultural heritage of a country, they must be secured during use However, sanctions on violations of archives protection have not been specified Today, the advent of the Fourth Industrial Revolution (4.0), known as the Digital Revolution with such technologies as the Internet, social networks, cloud computing, mobile, etc has brought about important achievements, being applied to all areas of the social life, incl archives using activities Yet, with the ability to spread quickly thanks to technology applications, archives usage also faces many challenges in terms of confidentiality, copyright, illegal information copying and forging, and so on Thus, for archives usage to promote its effectiveness, the State needs to issue specific regulations, both professional and legally relevant in terms of archives and archives protection Currently, this matter remains a void in the policy of archives usage In view of the shortcomings existing in the archives using policy in Viet Nam, the author believes that improvement of the archives using policy in order to promote the effectiveness of archives in the current context is an essential requirement For that reason, the author has undertaken the content “Policy to use archives in Viet Nam” as the study topic for his doctoral thesis Aims and objectives of the study 2.1 Aims Systematize the theoretical contents of the archives using policy; Analyze and assess the policy of archives usage in Viet Nam in association with its practical situation; Point out the current limitations and shortcomings of the policy to identify problems to be solved; Propose solutions to improve the archives using policy in Viet Nam in order to promote the value of archives 2.2 Objectives The thesis focuses major objectives as follows: - First, present an overview of domestic and foreign researches on issues related to the thesis topic; - Second, present the scientific fundamentals of the archives using policy; - Third, analyze and assess the current situation of the archives using policy in Viet Nam; -Fourth, propose solutions for improvement of the archives using policy to promote the value of archives in Viet Nam in the current period and the coming years Target and scope of the study 3.1 Target of the study The target of the study are the policies on archives usage in Viet Nam 3.2 Scope of the study - Regarding the space: The author has selected the archiving agencies at the Central and provincial levels as the space for the study - Regarding the time: The study focuses on the archives using policies available in Viet Nam since 1986 - Regarding the content: The author has investigated into such policies that promote the value of archives as: Policy on archives access; Policy on organization of archives usage and Policy on archives protection The contents of Vietnamese archives using policies have been studied, their practices have been assessed, thereby, proposing solutions to improve the contents Research Methodology 4.1 Methodology The study has been approached by means of the Marxism-Leninism, Ho Chi Minh Ideology and the Party’s viewpoints, guidelines on archival work, thereby perceiving, evaluating and proposing issues related to the archives using policy in Viet Nam The thesis has employed both the theories of Public policies, Public Administration Management under the reformation and development model and the practical research on the State’s ability to provide public services In addition, the researcher has also selected a practical approach based on the results of representative research surveys to analyze and evaluate the contents of the thesis 4.2 Research methods a Information and data collecting methods - Methods of studying secondary documents: Summarizing and inheriting the research results from books, textbooks, scientific topics, doctoral theses, master theses, articles and many other sources related to the research content; Studying the Party's policies and guidelines, the State's policies and laws, and documents on the State management of archival work - Methods of sociological investigation: Developing the content of survey questionnaires and sending the survey forms to the archiving agencies at the Central and local levels to carry out the survey content as required by the thesis The total number of copies issued is 34 with 34 copies collected (including archiving agencies at the Central and 30 archiving agencies locally) - Method of expert utilization: The author has formulated the questionnaire and sent it to the experts, with 15 copies delivered and 15 copies collected b Information and data processing methods Mathematical statistics and use of computer software are employed to process the research results, make tables and map the research results c Analyzing and assessing methods The analysis of the current situation of archives usage from the information collected, summarized and field surveyed has enabled the researcher to have an objective view of the archives using policy in Viet Nam today, thereby proposing solutions suiting the practical situation and orientation for future development d Historical and logical methods The author has made use of his knowledge of history to present the archives using policy in Viet Nam by different historic periods, aimed at ensuring logics of the research contents Research questions and scientific hypothesis 5.1 Research questions - What is included in the archives using policy? - What are the shortcomings of the archives using policy in Viet Nam currently? - What should be done to improve the archives using policy in Viet Nam currently? 5.2 Scientific hypothesis The regulations of the existing the archives using policy are not specific nor uniform and have certain gaps, which has influenced the effectiveness of the archives using activities without bringing into full play the value of the archives If these regulations are reasonably completed, the effectiveness of archives usage will be enhanced, better serving various purposes of the social life New contributions given in the thesis - The thesis has clarified the concept of archives using policy; factors affecting the content of the archives using policy; criteria for evaluating the archives using policy, serving as the theoretical basis for completing the archives using policy in Viet Nam - The thesis systematically has touched upon the archives usage policies in Viet Nam from three aspects: The policy of accessing archives, the policy of organizing archives usage and the policy of archives protection; analyzed and assessed the current status of these policies to find their advantages and limitations, thereby proposing contents to complete the current archives using policy in Viet Nam Scientific and practical significance 7.1 Scientific significance The thesis has not only contributed to completing the scientific fundamentals, but also provided arguments to supplement and complete the Party’s theory, viewpoints, policies and guidelines on the archives using policy in Viet Nam 7.2 Practical significance The thesis shall provide more theory and practical scientific evidence to the related agencies for reference during implementation and completion of Vietnamese archives using policy in line with the current situation and context Structure of the thesis Apart from the Introduction, the Conclusions, the Reference and Appendix, the thesis is comprised of chapters as follows Chapter Overview of studies related to the thesis Chapter Scientific fundamentals on the archives using policy Chapter Current status of the archives using policy in Viet Nam Chapter Towards completion of the archives using policy in Viet Nam CONTENTS Chapter OVERVIEW OF STUDIES RELATED TO THE THESIS 1.1 Inland and oversea studies related to the thesis The author has classified the related studies into groups as follows - Archives usage - Policies and public policies - Archives using policies From an investigation into the related studies by inland and oversea researchers, the author has observed that the scientific works published in books, teaching materials, doctoral thesises, master dissertations, presentations at scientific conferences, articles in specialized journals and websites have touched various aspects relating to the contents of archives usage, policies and public policies, and archives using policies However, the studies on archives usage have not come up with comprehensive analysis and assessment of archives access, organization of archives usage and archives protection, which are issues directly affecting the effectiveness of archives usage in order to promote the value of archives in the current period Moreover, the studies are published mainly in the form of exchanges and discussions in forums, seminars and specialized journals, accordingly, the content, scope of content and approaches are still fragmented and not highly generalized nor comprehensive 1.2 General assessment of the studies The studies have generally embarked on the issues below - Regulations by countries on the right to widespread access and restricted access to archives; - Regulations by countries on forms of organizing archives usage to promote the value of archives Particularly, in the context of the information society and the vigorous development of the Industrial Revolution 4.0, several studies inland and overseas have touched upon new forms of using archives via the Internet to meet the readers’ needs of looking up information every time everywhere; - Regulations by countries on archives protection, namely, Regulations on archives storehouse building; those on microfilm photocopying for archives safety; and those on protection of archives’ integrity during usage Especially, owing to scientific and technological development, archives digitalization for the safety of the original archives has also been mentioned in the studies 1.3 Issues put forward for further research - The thesis needs to explore a new theoretical system on the archives using policy including: the internal content of the archives using policy, factors affecting the content of the archives using policy, the criteria for assessing the archives using policy to serve as a basis for completing the archives using policy - Analyze the current status of the archives using policy in Viet Nam by means of particular policies, namely, Policy of archives access, Policy of archives usage organization and Policy of archives protection; Evaluate the obtained results via the policies already issued in Viet Nam - Propose contents to complete the archives using policy in Viet Nam in order to promote the value of archives, suiting Vietnamese political, economic, cultural and social conditions and meeting the requirement of international integration Minor conclusion of Chapter The studies inland and overseas have highlighted the theoretical and practical issues of policies, public policies and archives usage These studies are somewhat related to the archives using policy but have not focused on fully studying the archives using policy in Viet Nam It could be said that effective archives usage is sure to push up multiface development of the social life in a positive manner Thus, the State’s intervention by means of policies for archives using activities is an essential requirement to promote the archives’ value in Viet Nam, meeting the needs for information of the society in the current context Chapter SCIENTIFIC FUNDAMENTALS OF THE ARCHIVES USING POLICY 2.1 Archives and archives usage 2.1.1 Archives 2.1.1.1 Concept of archives In Viet Nam, the Law of Archive in 2011 sets “Archives refers to a valuable document serving practical activities, scientific research and history, selected for archiving; Archives means the original, genuine copy; In case the original copy is no longer available, it will be replaced with a legal copy” 2.1.1.2 Features of archives - Archives means the original, genuine copy of a document - Archives normally includes or copies - A lot of archives contain national secrets, corporate secrets and personal secrets - Under the State’s uniform management, archives are registered, preserved, studied and used according to regulations of the law 2.1.1.3 Value of archives Archives are valuable in various fields: politics, economics, culture, education, society, medical, science technology and the State’s management 2.1.1.4 Forms of archives Forms of archives include: Administrative documents, scientific and technological materials, audio-visual materials, archives belonging to individuals, families (hereinafter called ‘personal archives’), and electronic documents 2.1.2 Archives usage 2.1.2.1 Concept of archives usage Archives usage is the work performed by archiving agencies and organizations, or bodies and individuals that use archives in order to promote the value of archives and serve the fields of social life Archives usage is conducted in many different forms on the basis of ensuring the right to access information and the State’s secrets, and safely protecting archives 2.1.2.2 Forms of archives usage Forms of archives usage include traditional forms and those in the time of the Industrial Revolution 4.0 2.2 Public policies and the archives using policy 2.2.1 Concept and features of public policies - Concept Public policies include all decisions related to one another, issued by the State, comprising of objectives and measures to handle a public issue, aiming at pushing the society to develop as per the orientation - Features + On the form of expression Public policies must be presented in a concrete physical form before execution, and document is that physical entity + On the subject of public policies The National Assembly, the Government, ministries, ministerial-level bodies, local governments + On the structure of public policies Two main components: Objectives and measures 2.2.2 Concept of the archives using policy The archives using policy includes all regulations issued by the State to tackle problems arising during archives usage, namely, regulations on archives access, organization of archives usage and archives protection, towards promoting the value of archives to serve the needs of the social life 2.2.3 Factors affecting the content of the archives using policy 2.2.3.1 Policies and guidelines of the ruling Party In Viet Nam, regarding the archives using activities, the Communist Party’s viewpoints act as an important basis for the State to adjust the content of archives usage in line with the objectives of each stage, each period of development 2.2.3.2 Demand for country management in each period - In time of renovation, the orientation for the State construction is specified as the socialist law-based State of the people, by the people and for the people Therefore, all provisions of the policy must also aim at building a socialist law-based State - Issues on protection of the national sovereignty and security in the current period are undergoing complicated movements, therefore, the contents of available policies must also be suitable for the new situation - The Industrial Revolution 4.0 is also exerting a profound impact on the types of archives and forms of archives usage In this context, the content of the archives using policy must also change accordingly, meeting the needs of archives usage in various approaches 2.2.3.3 Capacity of making policies The contents of policies largely depend on the policy making capacity If policymakers often pay attention to and improve the policy-making expertise, then the policies will be highly feasible, enhancing the effectiveness of archives usage On the contrary, if policymakers lack interest in learning to improve their qualification and expertise, they will produce less feasible and ineffective policies 2.2.4 Criteria for evaluating the archives using policy - The uniformity of the policy demonstrates the consistency between the provisions given in the policy content, without any overlapping, duplication or conflicts against each other - The validity of the policy is considered in two aspects: legal validity and practical validity - The effectiveness of the policy is expressed in the benefits it brings to the society, including the results achieved in the policy to create positive changes in social life - The equity of the policy is an important criterion and basis for implementing the principle of "equality and mutual development" set by the Party and the State 2.2.5 Investigation into the archives using policy in some countries and the experiences drawn for Viet Nam From the practices in other countries, some experiences drawn can be applicable to the archives using policy in Viet Nam, including: First, regarding the archives access policy, the State needs to issue clearer regulations on the archives accessing time, the access targets, the conditions for archives access and the responsibilities of archiving agencies for authorizing access to archives First of all, documents with restricted access should be divided into categories: the public archives formed during the operation of the State agencies and units, the personal documents and the documents prone to damage For each of the above mentioned documents, it is necessary to base on the content and its physical properties to specify the accessing time, the form, the procedure for accessing particular documents Second, the policy of archives usage organization needs to include forms of using archives via the Internet and better specify the procedures and conditions to implement other forms of archives usage Regarding the fee for archives usage, the State should issue more specific regulations on the archives using fee, including the provision of free usage for agencies and organizations who are the source depositing in the archiving agencies Third, regarding the policy of archives protection, the State should have provisions on financial support and preservation techniques for personal archives Regarding the purchase and sale of personal archives to foreign result, restricting the right to widespread access to archives The regulations on archives ownership are ununiformed in documents, thus restricting the right to assess archives belonging to individuals and the State Regulations on the right to restricted access Confidential information does not imply it is inaccessible, rather accessible in certain cases as regulated by the State Yet, the regulations to allow for access are too general, making them difficult to apply in practice For documents on the list of restricted access, the current regulations have not yet provided provisions on the procedure, process and access conditions for documents of this type Hence, looking at the content of this policy, we can find that the aim of the policy is to ensure the public’s right to archives access, but the measures put forward to realize this aim have many inadequacies and need improving so that the archives access really comes to life 3.2.3 Policy of archives usage organization The policy of organizing archives usage refers to the State’s regulations on forms of using archives in order to bring the archives to the public in the fastest, easiest and most convenient way The aim of the policy of organizing archives usage is to facilitate the public to access the archives fast, easily and conveniently To realize this aim, the measures put forward are the State’s regulations on forms of using archives, namely, regulations on traditional archives usage and regulations on archives usage in time of the Industrial Revolution 4.0 The current regulations to organize archives usage only focus on the regulations on archives usage in the reading room while other traditional forms of archives usage are sketchy without specific regulations As a result, most of the archiving agencies apply archives usage only in the reading room In time of the Industrial Revolution 4.0, other new forms of archives usage like online reading room, E-publications, use of social networks, online exhibition have been applied in Viet Nam Still, the documents regulating archives usage in the new forms have many gaps, so the forms have not yet been widely in use This fact greatly affects promotion of the archives’ value for the time being 3.3.4 Policy of archives protection The policy of protecting archives refers to the State’s regulations on the right and responsibility of agencies, organizations and individuals in preserving and protecting archives to extend the age, prevent loss and damage, and safeguard integrity of the archives To realize the aim of the policy of archives protection, the measures put 11 forward include the State’s regulations on archives preservation and the State’s regulations on archives protection - Regulations on archives preservation: The guiding documents, manuals on archives preservation in recent years have demonstrated the State's interest in this issue This is an important legal basis for archiving agencies and organizations to well perform their professional duties However, if analyzed adequately, besides the advantages, the legal archiving system also contains some contents that have not been mentioned In detail, there is a lack of enforcement control mechanisms and severe sanctions These factors are considered to be the legal gaps in Vietnamese legal system of archives, leading to arbitrary implementation - Regulations on archives protection: To safeguard archives, it is crucial to regulate unified archives management However, the concept of archives management and ownership has not been clarified, implying loss of archives, illegal archives trading or bringing archives abroad without control The Law on Archives stipulates behaviors prohibited during archives usage, but there is still a lack of measures to handle violations The regulations on E-archives protection against stealing, copying, falsifying information, or dispersing information in contrary to the law on archives protection have come without legal sanctions for violations 3.3 Evaluating the results from implementation of the archives using policy in Viet Nam 3.3.1 Results achieved from Vietnamese policies of using archives - Policy of archives access The policy of archives access has created a legal corridor for the public to have broad access to information in general and information in archives in particular Agencies and organizations possessing information also better define their responsibilities in providing information to the public in accordance with the law - Policy of archives usage organization + The policy of archives access has created an important corridor which facilitates the State to issue the policy of organizing archives usage From that, the archiving agencies can apply and extend many other forms of archives usage, enabling readers to access and use archives easily and conveniently It can be said that a number of regulations in line with the reality have direct impact on effectiveness of archives usage However, using archives in the reading room remains the most applicable form in the Central and local archiving agencies, which is proved in the chart below 12 Chart of archives usage at Central archiving agencies Archives usage in the reading room Quantity of articles Archived publications Exhibitions Chart of archives usage at local archiving agencies Archives usage in the reading Introduction of archives Exhibitions Published publications A look at the chart of archives usage in the archiving agencies at Central and provincial levels shows that the number of turns of people who come to the reading room to use archives counts for a high proportion (over 99% in all), which demonstrates that archives usage in the traditional reading room remains the most applicable form in the archiving agencies while other forms, such as articles published in newspapers, magazines, websites, which introduce or display archives, release publications for archive, holds a small percentage (approx 1% in total) Some localities like Bac Ninh, Lam Dong, 13 Ba Ria- Vung Tau conduct archives usage only in the reading room without applying other forms + Regarding forms of archives usage in time of the Industrial Revolution 4.0 The modern forms of archives usage today employed in the archiving agencies include: introduction of archives via fanpage has been applied in most of the archiving agencies; a number of electronic archives have been published and can be accessed on the website of the State Records and Archives Department; the online reading room has been utilized at the national archives centres while online exhibitions are conducted only at the Central archiving agencies Despite the lack of specific regulations, the archives usage forms that meet the trend of the Industrial Revolution 4.0 have brought certain effectiveness to the archives using activities in our country today - Policy of archives protection + Stores for archives preservation are sufficiently equipped + All Central archiving agencies and 08/30 local archiving agencies already surveyed have been supplied with standard stores as regulated at Circular No 09/2007/TT-BNV on 26 November 2007 on Guide for dedicated archives stores (Circular 09) - Archives digitalization for long lasting preservation and area saving has been implemented at Central and local archiving agencies (Hai Phong, Ha Tinh) but in a large number - To safeguard personal archives and rare precious archives, some archiving agencies have received a number of archives donated by individuals and organizations 3.3.2 Restrictions, inadequacies and causes First, the regulations on archives access have been issued though, the archives accessible are mainly of widespread access type Second, we should be frank to admit that the forms of archives usage available at the archiving agencies are basically passive, normally taking place in the reading room Furthermore, the procedures and process for accessing the archives in the reading room remain incomplete without bringing about convenience and promptness archives users The target comers to archiving agencies for research and archives usage are mainly managers, scientists while pupils and students account for a very small number Modern forms of archives usage satisfying the readers' trend during the Industrial Revolution 4.0 period have been deployed at the archiving agencies but they not highly effective Specifically, the use of online reading 14 rooms at Central archiving agencies and in some localities has not been applied in the true sense of the online reading room because the archives are not always accessible anytime anywhere The digitized documents are still poor, accounting for only a very small amount of the total archives available in the storehouse The form of publishing electronic publications has been implemented, yet the promotion has not been expanded so such a form has not attracted a large number of readers showing their interest Online exhibitions are a form of advanced archives usage employed by many countries but in Viet Nam it is still new Since 2018, the State Department of Records and Archives in coordination with the National Archives Centres have organized only two exhibitions The local archiving agencies have not been able to apply this form The social network of Facebook has been established at the Central and local archiving agencies, but the introduction of archives on social networks appears passive, without exploration of what the society needs and wants so that the right purpose of the archives users can be responded to Third, presently, most of the central and local archiving agencies have arranged archives rooms and storehouses for preserving archives However, many local storehouses not meet the requirements of the dedicated archives storehouse as guided in Circular No 09 Digitizing archives is a new form of preservation but has not yet been commonly applied Information security when deploying the archives digitalizing service has not been paid sufficient attention and stressed, which possibly leads to leakage, loss of data or disclosure of the State secrets Archives trading between individuals and archiving agencies is little Most valuable personal documents are deposited to archiving agencies through donation 3.3.3 Causes of the inadequacies and restrictions First, the order of issuing policies is specified in the Government's Decree No 34/2016/ND-CP dated May 14, 2016, detailing a number of articles and measures to implement the Law on Promulgation of Legal Documents with concrete steps to take Nevertheless, the actual practice reveals many restrictions during coordination among related agencies in the promulgation of policies As a result, some regulations of the archives using policy not appear uniform and consistent in the issued documents, which is also the reason why the archives using policy in our country is not complete and synchronized Second, the policy issuance lacks the participation of the people in general, researchers and managers in particular Therefore, the issued 15 policies are not close to reality, not able to attract and encourage the people to participate in implementing the policies Third, the policy making capacity of civil servants is limited due to lack of awareness of the archives using policy’s role Moreover, practitioners ‘qualifications in archival work have not kept pace with the IT development in the Industrial Revolution 4.0 The need to manage and use electronic archives is and will be an inevitable trend of this era, which requires the policy-making contingent to acquire a higher and higher level of information technology Four, sanctions against violations of the archives using policy are not specific, even with gaps, so the sanctions are not strong enough to deter violation Most regulations only deal with prohibited acts without stipulating relevant sanctions; The regulations for building dedicated storehouses at archiving agencies are only optional and not compulsory Therefore, many localities have not really paid attention to building such a dedicated storehouse to safely preserve archives Archives trading activities can still occur but without a proper control mechanism Thus, it could be noted that the lack of severe sanctions and control mechanism are also causes of the inadequacies visible in the archives using policy of our country today Five, several influential factors have also prevented our archives using policy from working effectively Minor conclusion of Chapter In Chapter of the thesis, the author has given a general description of the process of formation and development of the archiving agencies in Viet Nam, and introduced the rich sources of archives preserved here Besides, the thesis has also studied the current situation of Vietnamese archives using policy with aspects: The policy of archives access, the policy of archives usage organization and the policy of archives protection A thorough investigation into these three contents has provided the researcher a comprehensive view of the archives using policy, which serves as a basis for evaluating the results achieved and the restrictions existing in the policy The restrictions of the policy are analyzed by the author from different causes, of which, the major ones are identified as: The procedure of policy issuance is inadequate, the policy issuance lacks the participation of the people and related stakeholders, the capacity of the policy making contingent is limited and lack of sanctions for policy violations In addition, there are many other causes, among which the preferential treatment for archival work practitioners, financial resources for policy implementation are also considered as some of important causes determining effectiveness of the policy implementation 16 Chapter TOWARDS COMPLETION OF THE ARCHIVES USING POLICY IN VIET NAM 4.1 Context and orientation 4.1.1 Context First, international integration and protection of territorial sovereignty are on-going trends Beside the opportunities, the challenges of international integration are issues that we need to consider and perceive properly International integration in an environment of fierce competition in terms of politics, economics, the dominance of major countries and the complicated extremely unpredictable happenings of the world requires maintenance of the independence, autonomy, sovereignty protection and territorial integrity of the country In the common situation of the world and the country, Vietnamese Archives sector has also engaged in international cooperation and exchange activities in the field of archives usage Since Vietnam Archives became a member of international archiving organizations, Vietnam Archives has had opportunities to interact with countries around the world, thereby enabling Viet Nam to learn the experiences from other countries These valuable experiences serve as the basis for development, promulgation and implementation organization of the archives using policy in Viet Nam for the time being Second, the administrative reformation is a very important factor to promote the socio-economy in order to enhance the validity and effectiveness of the State's operation In the trend of administrative reformation in all areas of social life, the Archives sector is also required to accelerate its reforms Such reforms should stress on clear and specific regulations for archives access; The administrative procedures related to archives usage should be simplified, public and transparent; The quality of archives usage service should be increasingly improved in various and diverse forms of archives usage; Techno-scientific achievements should be applied to enhance the effectiveness of archives usage Third, the IT development in the era of Industrial Revolution 4.0 has a strong impact on the development of nations The IT development and application have created many opportunities for the operation of the Archives sector in general and archives usage in particular In developed countries, thanks to digital technology, archives have been accessed anytime anywhere 17 It is a requirement for the current Archives sector to study advanced achievements from overseas to improve the quality of archives usage in Viet Nam However, in order to undertake this job, the Archives sector also faces many difficulties that need to be addressed, namely hacking, intrusion and data stealing from outside by hackers The accuracy level of information is also affected by the function of the system to be used, which should be regularly upgraded to adapt to the constant change of new technologies 4.1.2 The Party’s orientation on archives usage in Viet Nam today - The document of the 6th National Delegation Congress has alleged to "well perform the archival work, safeguard and effectively use the national archives" - Archives refer to the documents, formed during the operation of agencies, organizations and representative figures, having political, economic, cultural, scientific, historical significance and other meanings, and preserved in archiving rooms and storehouses They present historical and cultural evidence and have high legal validity Therefore, an archived heritage is asserted as a kind of cultural heritage with special value of the nation - To promote the value of archives, the policy of "modernizing the library and archival work" was mentioned by the Party in the 9th National Delegation Congress document This is considered to be an important task set out for the Archives sector - The Party’s 10th National Delegation Congress (April 2006) took place in the context that our country had achieved a lot of important achievements after 20 years of renovation (1986-2006) The task set by the Party for the entire Archive sector in the new period is to "protect and promote the value of archives " - The Politburo's Resolution No 36-NQ/TW dated July 1, 2014 on promoting IT application and development to meet the requirements of sustainable development and international integration set objectives for IT development in the new age From the guiding viewpoint given in this document, the operation of the Archive sector tends to promote IT application to the activities of archival work generally, and archives usage particularly in order to enhance the value of archives to meet the demand for archives usage in the new situation 4.2 Solutions to complete the archives using policy in Vietnam 4.2.1 Solutions to complete the policy of archives access - On the policy of widespread access to archives First, the regulation on widespread access to archives should be promulgated in a synchronized manner in all policy-associated documents, including: Law on Access to Information, Law on Intellectual Property, Law 18 on Protection of State Secrets and Archive Law Second, the regulation on personal archives to be widely accessible 40 years after the owner’s death should determine in detail all components of the personal archives, in which the personal works and the public’s works can be widely accessed as regulated at Clause 1, Article and Article 43 of the 2005 Intellectual Property Law without waiting for 40 years after the owner’s death Third, the regulation on documents that have been declassified or expire to be widely accessible is supplemented according to the normal process and procedures set in the Archive Law Four, declassification of unidentified documents, which are determined by agencies as the State secrets, needs to elaborate in specific plans Five, to avoid difficulties generated while declassifying archives at archiving agencies, it is possible to stipulate that the agency that creates the document should declassify the document by itself before submitting it to archiving agencies - On the policy of restricted access to archives First, it is necessary to clearly define the authority, processes and procedures to access archives containing the State’s confidential information Currently, the Law on Protection of the State Secrets has not clarified this content Second, for the list of archives with restricted access, it is required to further specify the content of the document with restricted access so that the head of the archiving agency can have a legal and scientific basis to approve users of archives with restricted access Also, all archiving agencies can allow for synchronized and uniform access to documents of this type Third, in the list of restricted access to personal archives, it is necessary to supplement the works created by individuals, for which it is "a must to ask for permission and pay royalties, remuneration and other material benefits for the copyright owners ”(Clause 3, Article 20 of the Intellectual Property Law); and the works, if used, will infringe upon the State’s interests, the public interests, the rights and legitimate interests of other organizations and individuals, and other relevant provisions of the law (Article 7, Law Intellectual property in 2005) Four, it is necessary to promulgate the accessing process for personal archives before due time or it is a must to request and pay fee for them as per the Law on Intellectual Property; also the accessing process for archives in the list of restricted access so that the archiving agency can have a legal and scientific basis to approve individuals, organizations and agencies to have easy and convenient access to documents of this type 19 4.2.2 Solutions to complete the policy of archives usage organization - On traditional forms of archives usage First, Complete the regulations on archives usage at the reading room, issuance of copies and archive authentications Second, for forms of archives publication, exhibitions and archives displays, it is required to specify: +Guidelines for publishing publications, exhibitions and archives displays; + Authority to publish publications and organize exhibitions, archives display; + Procedures for publishing publications and organizing exhibitions, archives displays; + Guidance on specific operations of publishing publications and organizing exhibitions, archives displays Third, for the form of bringing archives out of the archiving agency The Law on Archives has provisions for bringing archives out of the archiving agency for work, scientific research and other legitimate purposes (Article 34) However, in order to apply these provisions in practice, it is necessary to clarify in some contents on whether bringing archives abroad or out of the archiving agency for work in the country - On forms of archives usage in time of the Industrial Revolution 4.0 First, the regulations for using archives on social networks should focus to: - Encourage the archiving agencies and organizations to use social networks to announce and introduce archives; - Set specific conditions and guidelines to introduce archives to social networks providing the copyright, confidentiality and timeliness requirements are met - Encourage media businesses and sponsors to participate in coordinating and investing in modern technologies and techniques so that the archiving agencies can provide information to the public fastest and most effectively Second, for use of the online reading room, it is required to promulgate guidance documents and professional instructions, including: The process of building an online reading room; Criteria for archives selection in service for building a list of serviceable documents on wide scaled networks; Standards to be applied to the database; Design of an electronic portal for the reading room; Regulations on the use of online reading rooms based on the same principles as archives usage in traditional reading rooms Third, for online archives exhibition, the State should issue regulations on application software to meet requirements, such as access decentralization; ensurance of information security and authentication; ability 20 to manage the database with large data capacity of many types of data (information level 2, information level 1, including: texts, images, sound, cinema films, etc.); ability to administer and collect fee from readers, conforming to the international and national standards, meeting the service requirements (search service, on-demand content service, online exhibition service, content service on mobile devices, and other telecoms devices) Four, regarding current publishing electronic archival publications, apart from abiding by the usual publishing regulations as proposed above by the author, the State is required to issue regulations on copyright protection in the network environment; publish E-archives on the Internet websites with Vietnamese Internet domain names in accordance with the law; and enact sanctions against violations related to publishing E-archives, such as illegal copying, falsifying the information content 4.2.3 Solutions to complete the policy of archives protection First, supplement regulations on the State and private archives ownership in the Law on Archives, thereby promulgating specific provisions on the rights and responsibilities of agencies in management and use of archives belonging to the State ownership; authority and responsibilities of individuals in use of archives privately owned Specifically, it is necessary to clarify the regulations on transfer, exchange, sale of archives, bringing Stateowned archives and private owned archives to other countries; Collect and supplement the State-owned archives being scattered among the people by means of purchase, sale, transfer, even expropriation if they are prone to damage and need repairing and restoring in the archiving agencies Second, local governments need to strictly implement the Prime Minister's Decision No 1784 on balancing and reasonably allocating the budget for dedicated storehouses construction, ensuring good conditions of the facilities in order to collect and supplement archives as a source to be deposited in archiving agencies on time, also supplement rare and precious archives to enrich the composition of the archives of the State Archive Font Third, it is necessary to promulgate a policy to encourage individuals, agencies and organizations to invest in archiving activities The policy may work as a joint venture between the State Records and Archives Department and private corporations, such as Facebook, Google in document digitization Fourth, in the current circumstance, when the association activities with individuals and private organizations to digitize archives have not yet been carried out, it is necessary to promulgate regulations defining criteria for digitalized archives For example, criteria for the content, frequency and physical condition of the archived document Fifth, it is necessary to promulgate regulations on archives security when 21 hiring archives digitalization service; Set specific requirements and conditions for the units selected to digitize archives through public bidding, and determine their liability if they leak or lose the archives, even disclose the State secrets Sixth, regarding sanctions for violations in archives protection, the following provisions need supplementing - Sanctions for acts of damaging, counterfeiting, falsifying, selling and transferring illegal archives; - Sanctions for organizations and individuals that violate the regulations on protection of the State secrets while using archives Individuals and organizations in the Archive sector, who take advantage of protecting the State secrets to hinder the citizens' access to archives, should be strictly punished Individuals and organizations, who utilize the State secrets to carry out acts of posting and spreading the State secrets on the mass media, social networks and other telecoms services, should also bear severe punishment 4.2.4 Other solutions Firstly, improve the capacity of agencies, cadres and civil servants who are engaged in policy making, Secondly, train and retrain the human resources for the Archive sector, Thirdly, apply science and technology in management and use of Earchives, and Fourthly, provide more measures to propagate and disseminate legislations on archives so that all agencies, organizations and the people understand the significance and value of archives, thereby consciously using and preserving archives in accordance with the regulations set by law in order to long preserve and effectively promote the values of archives Minor conclusion of Chapter As oriented, the solutions to complete the archives using policy in Viet Nam fall into three major groups, namely Solutions to complete the policy of archives access; Solutions to complete the policy of archives usage organization; and Solutions to complete the policy of archives protection in addition to other solutions These groups of solutions need to be implemented in a synchronous manner with the role of the leader identified along with the determination and proper awareness by the State agencies about the need to complete the archives using policy Without these timely actions, it is hard for the policy to be implemented in practice A public administration in the context of the world always evolving and developing with the constructive government needs to guarantee the policies promulgated in line with the rule of social mobilization and development Completing the archives using policy to achieve the target of promoting the archives’ value is an indispensable requirement of that developmental trend 22 CONCLUSIONS Facing the requirements of the new period, the role of archives in Vietnamese society has been increasingly asserted, resonating with an increasingly advanced intellectual level, the demand for exploitation and using archives to serve diverse purposes of social life is becoming an inevitable trend Meeting this legitimate demand has created considerable pressure on the State management agencies in general and the Archive sector in particular The reality shows that the archives usage in Viet Nam in recent years has been facing many difficulties and shortcomings, especially when the policies have not created a favorable environment for promoting the value of archives Upon an overview of the related studies, the author has observed that many studies have investigated into the theory and practice of archives usage, including the contents associated with measures to promote their value However, those works have not been engaged in-depth in the theory and practice of the archives using policy, a factor that plays an important role in creating a legal corridor for effective archives usage Hence, the study entitled “Policy to use archives in Viet Nam” has obtained practical significance both in theory and practice as presented below In theoretical terms, based on the research of theoretical viewpoints by scientists and the practices inland and overseas, the thesis has generalized the major contents of public policies, the archives using policy, its content and aims, factors affecting its content and the criteria to evaluate the policy In practical terms, the author has studied the experiences of the archives using policy implemented overseas, e.g in China, the United States, the Russian Federation, South Korea, Singapore and some other countries to draw lessons for Viet Nam in terms of completion of the policy Moreover, the thesis has also worked on the reality of the archives using policy in Viet Nam from aspects: Policy on archives access, Policy 23 on archives usage organization and Policy on archives management and protection Through these policies, the researcher has surveyed the situation of archives usage at the archiving agencies, thereby evaluating the archives using policy in Viet Nam in terms of achievements, limitations, shortcomings and causes It can be said that in order to promote the value of archives in the present conditions, the State needs to pay attention to formulating and completing the policies to address the inadequacies in archives access, archives usage organization and archives protection The shortcomings in the policy were objectively analyzed and assessed by the author, thereby giving personal viewpoints on completion of the policy The author's viewpoints are formed on the basis of analyzing the context of the economic, political and social situations inland and overseas; the Party's orientation towards completing the policies Thereby, the groups of solutions proposed by the author include Solutions to complete the policy of archives access; Solutions to complete the policy of archives usage organization; Solutions to complete the policy of archives protection and other solutions Among those groups of solutions, the solutions to complete the archives access policy should be prioritized and stressed on because it is a premise for promoting the value of archives If right from the outset, the policy on archives access is limited and confined, other policy solutions not make any sense since expanded access to archives directly affects the forms of using and protecting archives However, in order for the aim of promoting the archives’ value to be effective, all groups of policy solutions should be implemented synchronously and scientifically, which is a crucial and compulsory requirement to deal with the existing shortcomings and restrictions in archives usage 24 AUTHOR’S PUBLICATIONS Nguyen Kim Dung- Thai Ha (2017), “Background Knowledge of Archives_ The most important basis for research and implementation of thematic archiving activities”, Vietnam Archives Magazine, (No 04), April 2017 Nguyen Kim Dung (2018), “Some theoretical studies on policies to use archives”, Vietnam Archives Magazine, (No 02), February 2018 Nguyen Kim Dung (2018), “Research on policies to access information from archives in Viet Nam today”, Vietnam Archives Magazine, (No 05), May 2018 Nguyen Kim Dung (2018), “The role and factors affecting policies to use archives in Viet Nam today”, State Management Magazine, (No 272), September 2018 ... regulations on protection of the State secrets while using archives Individuals and organizations in the Archive sector, who take advantage of protecting the State secrets to hinder the citizens'... of archives in Viet Nam in the current period and the coming years Target and scope of the study 3.1 Target of the study The target of the study are the policies on archives usage in Viet Nam... copies collected b Information and data processing methods Mathematical statistics and use of computer software are employed to process the research results, make tables and map the research results
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