TTLA: Risk management in storage (through practice in Vietnam)

1. Full name of the researcher:Tran Thanh Tung2. Gender: Female

3. Date of birth: February 2, 1977 4. Place of birth: Hanoi

5. Decision on recognition of PhD students No. 2999/QD dated December 30, 2013 of Hanoi National University

6. Changes in the training process:

- Decision No. 4619/QD-XHNV, dated December 29, 2016 of the University of Social Sciences and Humanities on extending the study time of PhD students of course QH-2013-X

- Decision No. 3350/QD – XHNV dated December 29, 2017 of the President of the University of Social Sciences and Humanities on extending the study time of PhD students

- Decision No. 2122/QD – XNNV dated November 29, 2017 on changing and adjusting the title of the doctoral student's thesis

7. Thesis topic: Risk management in storage (through practice in Vietnam)

8. Major: Archival Studies 9. Code 62 32 03 01

10. Scientific advisor: Associate Professor, Dr. Vu Thi Phung

11. Summary of new results of the thesis

Firstly, the thesis has systematized the theoretical basis of risk management in general and researched the construction of a theoretical basis system of risk management in storage.

Second, based on the theory of risk management in archiving, the thesis surveyed and evaluated the current status of activities related to risk management in archiving in Vietnamese archival agencies and organizations, thereby giving comments and assessments.

Third, implementing the research method of risk management theory, the thesis has identified and clarified the types of RR that cause damage and loss in storage in Vietnam; analyzed and clarified the factors that increase RR in storage.

Fourthly, the thesis applied quantitative methods to measure the impact level of RRs, factors that increase RRs causing losses in storage. The database was used on the basis of a survey of 27 central and local archival agencies and organizations with 320 responses from archival staff.

Fifth, based on the clarified contents, the thesis proposes solutions for QTRR in archiving. The proposed solutions include 02 groups: professional solutions and solutions on organization and management.

12. Practical application:

The solutions proposed in the thesis will be useful suggestions for archives agencies and organizations in Vietnam towards a safe management process, effective prevention, and timely resolution of incidents and unfortunate phenomena that cause unexpected losses and damages in archives.

13. Further research directions:

One is: Research, develop and perfect criteria for assessing and measuring risks to build a list of risks in archives agencies and organizations in Vietnam.

Second: Research solutions to manage risks for other types of archives such as electronic archives, films, photos, recordings, etc.

Third: Research and perfect specific technical measures and solutions to effectively develop the risk prevention process.

Fourth: Research and develop to help archival agencies and organizations issue a handbook on risk response in archival in Vietnam.

14. Published works related to the thesis

- Tran Thanh Tung: “Risk prevention - Necessity in organizing archive management”,Vietnam Archives Magazine No. 8, 2015, pp.23-27.

- Tran Thanh Tung "Research by international and Vietnamese scholars on risk identification and risk potential in storage",Vietnam Archives Magazine No.August 2016, pp.28-34.

- Tran Thanh Tung "Risks to archival documents - Perspective from archive management organizations",Archives MagazineNo. 7, 2017, pp. 5-10.

- Tran Thanh Tung "Applying risk management theory as an approach in Archival research in Vietnam",Scientific conference ""Orientation for the development of Vietnamese Archival Studies in the context of regional and international integration"at University of Social Sciences and Humanities, November 2017, pp.128-130

INFORMATION ON DOCTORAL THESIS

1. Full name: Tran Thanh Tung2. Sex: Female

3. Date of birth: 02.02.19774. Place of birth: Hanoi

5. Admission decision number: No. 2999/2013/QD-XHNV-SĐH dated December 30, 2013 of University of Social sciences & Humanities.
6. Changes in academic process

- Decision No. 4619/QD-XHNV dated December 29, 2016 of University of Social sciences & Humanities on extension of study time for Ph.D candidates in QH-2013-X course.

- Decision No 3350/QD-XHNV dated October 29, 2017 of University of Social sciences & Humanities on extension of study time for Ph.D candidates in QH-2013-X course.

- Decision No. 3122 /QĐ-SĐH dated November 29, 2017 of University of Social sciences & Humanities on changing the thesis title.

7. Official thesis title: Risk management in archives (actual survey in Vietnam)
8. Major: Archival Science9.Code: 62.32.24.01

10. Supervisors: Assoc.Prof. Dr. Vu Thi Phung
11. Summary of the new findings of the thesis

Firstly, the Thesis has systemized the theoretical basis of risk management in general and studied to build the theoretical system of risk management in archives.

Secondly, based on the theoretical framework of risk management in archives, this Thesis has examined and evaluated the current practice of risk management activities in archives at the Vietnamese archival organizations and given some evaluation comments.

Third, by applying the research methodology of risk management theory, the Thesis has identified and clarified the types of rinks occurring and causing losses in archives at the Vietnamese archival organizations; analyzed the factors increasing risks in archives.

Fourthly, the Thesis has applied quantitative methods to measure the impact of risk, the factor increasing risk and potential causing losses in archives. The used database is based on the results of the survey to 27 archival organizations from the central to the local with 320 questionnaire responses of archival staffs.

Lastly, on the basis of the clarified contents, the Thesis has proposed the solutions on risk management in archives. The proposed solutions are divided into 2 groups: professional solution and supporting solution.

12. Practical applicability, if any:

We hope the proposed solutions in this thesis are the ideas suggestions would be helpful for archival organizations in Vietnam to tend to safely manage, effectively avoid and promptly overcome unexpected damage happening in archives

13. Further research directions, if any:

- Firstly, to study, formulate and perfect the criteria for risk assessment and measurement so as to draw up lists of risks in archives in Vietnam.

- Secondly, to research solutions to risk management for other types of archives such as electronic and audio-visual archive

- Thirdly, to study and complete specific measures and techniques in order to bring into full play the efficiency of the risk prevention process

- Fourthly, research to create handbooks to cope with risks in archival organizations.

14. Thesis – related publications:

- Tran Thanh Tung (2015): “Risk provision – the necessity in archival management and organization”,Vietnam Records and Archives Journal, Vol. 8, pp. 23-27;

- Tran Thanh Tung (2016): “Research of international and Vietnamese scholars on risk identification and risk sources in archives”,Vietnam Records and Archives Journal, Vol. 8, pp. 28 – 34;

- Tran Thanh Tung (2017): "Risk with archival materials – from archival work management organizations' perception",Vietnam Records and Archives Journal, Vol. 7, pp. 05-10;

- Tran Thanh Tung (2017): “Applying the theory of risk management as an approach in archival study in Vietnam”,Scientific workshop “Development orientation of Vietnam archival science in the context of regional and international integration”, University of Social Sciences and Humanities, Nov. 2017, pp. 128-130.