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论文编号：	12674
作者编号：	1120160835
上传时间：	2021/6/20 17:47:23
中文题目：	灰色文献书目控制研究
英文题目：	Research on Bibliographic Control of Grey Literature
指导老师：	柯平
中文关键字：	灰色文献；书目控制；资源组织；文献生命周期
英文关键字：	Grey Literature; Bibliographic Control; Resource Organization; Literature Lifecycle
中文摘要：	灰色文献是图书馆情报学的研究领域，自该概念明确提出至今，灰色文献仍然是信息社会中难以应对的一种文献类型。在数字时代，灰色文献大量产生，并成为开展公共政策、系统评估、学术研究等工作的证据来源。从各国国内以国家图书馆为首的机构对灰色文献进行的研究和实践，到近年来各项国际交流和合作项目的开展，灰色文献受到全球图书情报机构的日益重视。但是长久以来，我国的灰色文献仍缺乏研究力度，而且主要集中于图书馆的实践层面。 书目控制概念自上个世纪40年代提出至今，便存在微观和宏观两种研究视角。作为以文献为对象进行调节和控制的程序与方法，在当前国内外的灰色文献实践领域中，书目控制被证明是推动灰色文献形成有序化体系的行之有效的程序。 基于以上现实背景，本论文综合运用访谈法、文本编码分析和案例研究法等方法对灰色文献书目控制进行研究分析。本文的基本逻辑框架为：立足于相关概念和理论辨析，通过专家访谈探究灰色文献整体控制的相关要素，以此确定面向灰色文献的书目控制的属性空间；通过具体文献类型的实践调研，明确灰色文献书目控制的属性和维度并进行赋值。 本文的主要研究内容有： 首先，梳理相关理论，界定本研究中灰色文献概念、书目控制概念和灰色文献书目控制概念。本研究是从宏观层面开展的书目控制研究，包括对文献源和文献流进行的整序和控制。灰色文献书目控制即为以灰色文献为控制对象，覆盖灰色文献生命周期，通过创造和变更条件，目的是为推动大量的有用但无序的灰色文献成为有序的灰色文献交流系统。 其次，以灰色文献整体为对象开展专家访谈，并对访谈资料进行编码分析。通过识别灰色文献书目控制的影响因素和条件；利益相关者角色和作用及其相互关系，以此明确灰色文献书目控制形式的属性和维度。 再次，以具体灰色文献类型开展案例研究，本文经过辨析选取连续性内部资料性出版物和会议文献代表灰色文献整体，并于灰色文献产生阶段和流通阶段分别对相关利益主体实施调研，共计调研五个文献产生机构和两个文献组织机构。在对两类文献当前实践情况分析的基础上，明确了相关书目控制形式。 研究发现，面向灰色文献开展的书目控制有其基本因素和条件，即灰色文献本身和灰色文献利益相关者，一方面，包括竞争情报、知识产权、功能性、产生惯例等在内的灰色文献特性对是否开展以及如何开展控制形式具有关键影响作用，另一方面，利益相关者的角色、作用、需求和组织化程度也会影响控制形式的开展。同时，信息技术为书目控制开展的支持条件。作为书目控制主要表现的书目控制形式并非独立地发挥作用，而是存在书目控制形式的属性空间，包括控制内容、控制范围、控制阶段、控制效果、控制意义等。这说明，在确定某一控制形式之前，需要首先明确所控制的文献类型、利益主体范围、文献专业范围、文献阶段等内容，这是鉴于灰色文献的复杂性所赋予的书目控制以弹性的适应方式。在灰色文献的产生领域，目前存在文献产生主体面向来源主体的内部秩序依从要求；强制性规定和默认型惯例共存的文献形式规范；出于管理实用性或外部吸引的需求而进行的不同形式的文献组织；针对文献意识形态的审查监管等。在灰色文献的流通领域，要基于合作利益建立文献通道；明确灰色文献的知识产权和使用许可；文献组织者设立以文献产生者情况为主要判断依据的文献选择标准；传统编目格式和元数据格式并存等。
英文摘要：	Grey literature is a field in library and information science. In the information society, grey literature has always been a type of literature that is difficult to deal with since it was clearly put forward. In particular, a huge amount of grey literature generated in the digital era becomes part of the source of evidence for public policy, systematic reviews, and research. Both the research and practice of grey literature by institutions headed by the national libraries in various countries to the various international exchanges and cooperation projects in recent years indicate that grey literature has received increasing attention from libraries and information institutions worldwide. But for a long time, researchers about grey literature in our country are overlooked and mainly limited to the practical aspect of library and information science. Back to 1940s, the concept of bibliographic control was put forward, then regulating and controlling literature from both macro and micro perspectives. Bibliographic control is a procedure and method of regulating and controlling literature that has proved to be an effective procedure to promote an orderly system of grey literature. Based on the above background, this dissertation uses interview, text coding analysis and case study method to research and analyze the bibliographic control of grey literature. The basic logical framework is: adopt expert interviews to explore the relevant elements of the control of overall grey literature to determine the attribute space of the bibliographic control of grey literature. Furthermore, this research conducts practical research on the specific document types to clarify and assign the attributes and dimensions of the bibliographic control of grey literature. The specific research contents of this dissertation are as follows: First, sort out related theories and define the concept of grey literature, bibliographic control and bibliographic control for grey literature in this study. This dissertation focuses on the bibliographic control of grey literature from a macro level, including the ordering and control of document sources and document flow. Taking the grey literature as the control object, the bibliographic control of grey literature aims to promote a large useful but disorderly grey literature system to become an orderly system by creating and changing conditions covering the grey literature life cycle. Secondly, conduct expert interviews with the overall grey literature as the object and code analyse the interview data. By identifying the influencing factors and conditions of the bibliographic control of grey literature and their mutual relations, the attributes and dimensions of the bibliographic control form of grey literature are clarified. Third, carry out the case study with specific types of grey literature. This dissertation selects continuous internal publications and conference documents to represent the grey literature and conducts investigations on relevant stakeholders during the grey literature generation stage and circulation stage. Five production institutions and two organization institutions were investigated. Based on the analysis of the two types of literature's current practice, the relevant bibliographic control form is clarified. The study found that the basic factors and conditions of bibliographic control for grey literature are the grey literature itself and the grey literature stakeholders. On the one hand, the grey literature characteristics including competitive intelligence, intellectual property rights, functionality, and production practices have a key influence on whether and how to develop the control form. On the other hand, the role, function, demand and degree of organization of stakeholders will also affect the development of control forms. Besides, information technologies support the implementation of bibliographic control. The form of bibliographic control cannot function independently, but there is an attribute space of the form of bibliographic control, including control content, control scope, control stage, control effect, control meaning, etc. This finding shows that it is necessary to clarify the types of documents to be controlled, the scope of interest subjects, document specialty, and life cycle before determining a certain form of control. The bibliographic control given is adapted in a flexible manner given by the complexity of grey literature. In the field of grey literature production, there are internal order compliance requirements of the subject of literature production facing the source subject, review and supervision of grey literature ideology; document format specifications in which mandatory regulations and default conventions coexist; different forms of documentation organization for managing practicality or externally attractive needs. In the field of grey literature communication, grey literature delivery channels should be established based on the benefits of cooperation; the intellectual property rights and licensing of grey literature should be clarified. Furthermore， document organizers can set up a set of selection criteria, and traditional catalog formats and metadata formats coexist.
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