【作者】 马翀；

【导师】 郭莉珠；

【作者基本信息】 中国人民大学 ， 档案学， 2008， 博士

【摘要】 本文以濒危档案文献遗产的界定作为研究起点,围绕濒危档案文献遗产保护的现实问题和相关理论,构建了档案文献遗产分级保护模型,并以此为基础对档案文献遗产的全国性调查,濒危档案文献遗产的抢救性保护和预防性保护进行了论述,进而将三者共同组成我国濒危档案文献遗产的保护策略。论文共分八章。第一章导论包括研究背景、研究现状、选题意义、论文内容、研究方法、创新之处、研究局限与拓展。作为四大文明古国之一,我国存世的档案文献遗产数量巨大;然而目前我国能用于档案文献遗产保护的资源和经费则较为有限,因此数量巨大的档案文献遗产和有限的保护资源之间的矛盾成为保护工作中的主要问题。想要从一定程度上缓解该矛盾,只能在分级保护的理念下,早日找到最急需保护的档案文献遗产,并给予有效的针对性保护措施,提高有限资源的利用价值。而濒危档案文献遗产即濒临消失的档案文献遗产,其具有最为急迫的保护需求。可见,对濒危档案文献遗产保护策略的研究具有很强的理论和实践意义。从目前国内外的研究情况来看,主要存在着两个问题:其一,国内缺乏对濒危档案文献遗产保护的系统性研究;其二,无论是国内还是国外的研究者,其研究重点始终放在保护的技术层面上。因此,以濒危档案文献遗产为研究对象,涵盖保护技术和保护管理两方面的系统化保护策略,尚有待于进一步研究。第二章濒危档案文献遗产的界定和划分档案文献遗产是我国历史文化遗产的重要组成部分,由于涵盖了大量真实可信且便于识读的历史信息,其价值不言而喻。因此,对其的保护也愈加重要。“濒危”既是反映一种状态——存在消失的危险并具有较大的可能;同时也表示一种程度——即濒临彻底消失的距离。从符号学角度出发,档案文献遗产是制成材料和承载信息的结合体,对其的濒危界定也应该从两方面出发。因此,濒危档案文献遗产是指制成材料濒临彻底损坏,或者所承载信息相对稀缺,或者二者兼而有之,濒临消失,急需保护的档案文献遗产。在界定濒危档案文献遗产之后,如能将其从海量档案文献遗产中划分出来,就基本为档案馆确定了各种资源的优先使用对象。由于之前从两方面对濒危档案文献遗产进行了界定,因而也需要从两方面对其进行划分:其一,制成材料濒危的档案文献遗产。在调研基础上,同时参考中华人民共和国文化行业标准《古籍特藏损坏定级标准》,通过对10项指标的量化,提出了制成材料濒危的划分依据。其二,信息濒危的档案文献遗产。参考文物和图书界的相关划分依据,结合档案价值判定标准,总结了信息濒危的划分原则,并初步提出了档案文献遗产信息濒危的划分依据。第三章我国濒危档案文献遗产的保护现状我国濒危档案文献遗产的现状总结是提出针对性保护策略的前提和基础。通过问卷调查和实地调查,笔者收集到了大量的原始数据和研究素材,并对其进行了整理和分析,通过实证研究对我国濒危档案文献遗产保护的基本现状和主要问题进行了总结。我国档案文献遗产存世数量巨大,保存较为集中。目前存世档案文献遗产中绝大多数为清代档案和民国档案,明清以前形成的档案文献遗产极少。调查显示,清代中期以前档案文献遗产使用的载体材料主要为各种手工纸,以竹纸最多,字迹材料主要是为墨汁和印章;从清末到整个民国时期是档案载体和字迹材料大变革的时期,机制纸和各种字迹材料使用逐渐趋于普遍。另外,档案文献遗产的各种损坏情况均有不同程度的出现。档案纸张的发黄、变脆、残缺、污染、虫蛀、霉蚀,以及印章的褪色和扩散较为普遍。其中,损坏严重的档案文献遗产也不在少数。目前我国档案文献遗产保护形式尚不容乐观,主要问题有:家底不清,缺乏长期保护策略,相关法规不健全,保护经费投入不足,缺少针对性保护措施,欠发达地区档案馆保护条件较差,人才队伍建设滞后等。第四章档案文献遗产濒危原因分析档案文献遗产的损坏和濒危并不是某一单一因素造成的,而是众多影响因素共同作用的结果。其中,档案制成材料的内因是其濒危的决定因素,而环境因素、时间因素、社会因素和管理因素等外在原因将起到加快或减缓濒危进程的作用。档案文献遗产本身制成材料的耐久性是影响其濒危与否的内在因素,而纸张载体的纤维结构、制造过程以及字迹材料的色素成份和附着形式是造成其老化速度和损坏进程的关键因素之一。环境因素和时间因素是导致档案文献遗产濒危的自然外因。其中,时间因素是绝对而不可逆转的,而档案文献遗产保存环境的好坏决定着其老化和损坏的快慢和严重程度。社会因素和管理因素是导致档案文献遗产濒危的人为外因。造成很多档案文献遗产濒危的主要原因并不是来自于自然因素,而是由于社会的漠视、历史的变迁、保护的不足和管理的疏忽等人为因素。第五章档案文献遗产分级保护模型分级保护的理念是濒危档案文献遗产提出的基点,通过对不同档案文献遗产采取针对性和个性化的保护策略才能更好的利用有限的保护资源,缓解保护中的主要矛盾。本文构建的档案文献遗产分级保护模型并不止是单单对档案文献遗产进行分级而已,而是涵盖了濒危档案文献遗产保护的整个流程,为濒危档案文献遗产的保护策略提供了可靠的理论依据。该模型包括四个主要模块,分别是:档案文献遗产的全国性调查模块、档案文献遗产的等级划分模块、濒危档案文献遗产抢救性保护模块和濒危档案文献遗产预防性保护模块。其中,全国性调查模块为等级划分和保护实施提供了相应的数据支持和参考依据,是其他各个模块的基础;等级划分模块是分级理念的具体体现,是模型的核心,串联着其他各个环节和模块;抢救性保护模块和预防性保护模块是分级模型构建的目的,也是分级之后具体保护措施的实施环节,二者分别针对制成材料濒危和信息濒危,但又相互联系,具有动态平衡的关系。第六章档案文献遗产的全国性调查从国内外的相关经验来看,全国性调查是一切文化遗产保护的前提和基础。档案文献遗产全国性调查主要分为两个方面:其一,档案文献遗产个体情况的调查;其二,对档案馆保护状况的调查。通过对档案文献遗产个体情况的调查可以对档案文献遗产的构成特点、信息内容、载体组成、保存状态、损坏程度等一系列问题有一个全面、深入而系统的认识,为濒危档案文献遗产的划分提供数据支持。而通过对档案文献保护状况的调查,一方面可以分析目前濒危产生的原因,另一方面可为之后的抢救性保护和预防性保护提供借鉴和参考,为制订档案文献遗产保护策略奠定基础。另外,本文引入了社会调查方法为档案馆的调查工作,提供了相应的调查方法和流程;并通过统计学原理,介绍了调查中样本量计算和误差控制的方法。第七章濒危档案文献遗产的抢救性保护濒危档案文献遗产的抢救性保护的对象主要是已经存在损坏,具有一定的保护时效性,急需抢救的档案文献遗产,其主要分为管理层面和技术层面两个方面。抢救性保护的工程化管理是指根据濒危档案文献遗产的具体情况,按工程化管理的思想对抢救性保护的各个环节进行全程管理,主要包括:制订抢救方案,建立信息平台,建立抢救档案,制订抢救与修复方法标准,规范抢救与修复工作流程,建立抢救与修复验收与评估机制,完善档案保护教育培训及资质认证制度。抢救性保护的技术层面即根据濒危档案文献遗产的状况,实施针对性的个性化保护操作,其主要包括:濒危档案文献遗产的治理、濒危档案文献遗产的修复和濒危档案文献遗产的数字化。第八章濒危档案文献遗产的预防性保护濒危档案文献遗产的预防性保护是指通过环境的控制,特殊管理的实施和社会因素的影响,使濒危档案文献遗产处于一个良性保存环境,避免原有损坏的恶化,降低新损坏情况出现的可能,进而延长其保存寿命。保存环境的优劣是档案文献遗产濒危与否的重要影响因素,只有通过对档案库房温湿度、光照、空气质量和生物污染的综合控制,才能将档案文献遗产保持在较为理想和稳定的状态,达到濒危档案文献遗产技术层面的预防性保护。总的来说,预防性保护的管理层面它又分宏观和微观两个层面。其中,宏观层面是站在国家的角度,为濒危档案文献遗产提供相应的法律保证、政策支持和标准规范;而微观层面是将档案馆作为管理的实施者,对濒危档案文献遗产进行特殊的管理措施和方法。预防性保护的社会层面主要是在社会大环境下,通过提高全民的保护意识,激起人们对文化遗产的保护热情,增强人们对档案文献遗产保护的决心,从而加大资源的投入,增强人才培养,推进保护研究。更多还原

【Abstract】 This article takes the research beginning by the concept of archives documentary inheritances, and constructs the archives documentary inheritances cascade protection model based on the correlation theories and practices of the endangered archives inheritances. Then I have studied the related content of archives documentary inheritances protection, including nationwide investigation, salvage conservation and preventive conservation.This paper has 8 chapters.Chapter 1 IntroductionChapter 1 includes the background of study, current situation of study, meaning of the subject, framework of paper, studying method, innovation, and restriction or extension of study.As one of the ancient nations, China has the massive archives documentary inheritances. However, the resources which could use in the archives inheritance protection are very limited now. So the contradiction between the massive archives inheritances and the limited protection resources becomes in the subject matter of the archives inheritances protection. The best means to alleviate this contradiction is to find the archives documentary inheritances which are most urgently needed protection, and provides the individuation protective measures. The endangered archives documentary inheritances mean the archives in imminent vanishing or thorough damage, which have the most urgent demand to be protected. Therefore, the study of the endangered archives documentary inheritances protection strategy is very meaningful in the theory and practice.At present, although the domestic and foreign scholars have researched some related studies, there are still two main issues. First, the domestic related domain lacks to the systematic study of the endangered archives documentary inheritances. Second, the domestic and foreign research concentrates in the preservation technology, neglecting the management research of protection slightly. Consequently, the protection strategy study of the endangered archives documentary inheritances including the preservation technology and the preservation management, is still waited for further studies.Chapter 2 the Definition and Division of the Endangered Archives Documentary InheritancesThe archives documentary inheritances are the important component of Chinese history cultural heritage so that should be protected as better as possible.The endangered condition means the greatly possibly thorough damage and vanishing. On the other side, the endangered condition means the degree to thorough damage and vanishing. In semeiology, the archives documentary inheritances include carrier materials and information. So the endangered condition of the archives documentary inheritances includes the endangered carrier materials and the endangered information. In summary, the endangered archives documentary inheritance is the one, the carrier materials of which damage seriously, or the information of which are very scarce. Obviously, the archives documentary inheritances in each endangered condition are in imminent vanishing, and need to protect immediately.If the endangered archives documentary inheritances could be divided from the massive archives documentary inheritances, the archives will determine the privileged operation object of all kinds of protection resources. Similarly, the division also has two aspects. First, the division of the endangered carrier materials. Through quantifications of 10 targets, I proposed the division basis which the carrier materials are in imminent danger in investigation and study foundation. Second, the division of the endangered information. Reference the related division basis of relic and ancient book, I proposed the division principle and the division basis initially.Chapter 3 the Present Protection Situation of the Endangered Archives Documentary Inheritances in ChinaThe present situation summary of the endangered archives documentary inheritances is the premise and foundation of the pointed protection strategy. Through questionnaire survey and on-the-spot investigation, the author have collected the massive primary data and the research source material, which is very important to the present situation summary.The quantity of archives documentary inheritances is huge in our country. And most of them are republican archives and Qing Dynasty archives. In the archives documentary inheritances preservation in archives, extremely few of them form before Ming and Qing Dynasties. The investigation showed that the most commonly carrier materials of archives documentary inheritances are the hand made paper and ink in Qing Dynasty, and all kinds of carrier materials have the varying degree use in Republic of China time. Moreover, various kinds of damage have been discovered. And what is most common includes turns yellow of paper, the embrittlement of paper, deformities of paper, blotch of paper, mildew, moth-eaten, fading and diffusing of seals. Many archives documentary inheritances damage seriously enough to endangered condition.At present, the situation of archives documentary inheritances protection is unoptimistic. And the main problems include lack the investigation and the long-term protection strategy, not system law and standard, funds investment insufficiency, lack the pointed protection and so on.Chapter 4 the Origin Analysis of the Endangered Archives Documentary InheritanceThe present endangered situation is not created by single factor, but is the combined action result by numerous reasons. The internal cause of the carrier material durability is the determining factor. And the external factors including environmental factor, time factor, social factor and management factor, accelerate or slows down the damage advancement being in imminent danger.Paper’s fiber structure and the process of manufacture decide the durability of carrier materials. And the pigment ingredients and adheres forms decide the durability of handwriting material’s.The environmental factor and the time factor are the natural external factors to cause archives documentary inheritances in imminent danger. The preserved environment decided that the damaged condition and endangered situation. The social factor and the management factor are the artificial external factors of endangered archives documentary inheritances. Many time, the archives documentary inheritances’damage is not as a result of the natural cause, but the human factor including the society ignores, the historical vicissitude, the protection insufficiency, the management negligence and so on.Chapter 5 the Cascade Protection Model of Archives Documentary InheritancesThe cascade protection is the foundation of the individuation protection strategy, which could enhance the use factor of the limited protection resources, and alleviate the principal protection contradiction. The cascade protection model this article described has contained the entire process of the archives documentary inheritances protection, which provides the reliable theory basis for the protection strategy of endangered archives documentary inheritances.This model includes four modules which are the nationwide investigation module, the rank division module, the salvage conservation module and the preventive conservation module.The nationwide investigation module provides the primary data and the source material for the study of the rank division and the individuation protection, which is the foundation of other various modules. The rank division module is the core of the entire model , which manifests the cascade protection idea. The salvage conservation module and the preventive conservation module is the aim to construct the cascade protection model, which is the implementation of the protection strategy. What the salvage protection in view of is the endangered carrier materials of archives documentary inheritances. And the salvage protection views the endangered information of archives documentary inheritances. What more important is that they are the dynamic balance.Chapter 6 the Nationwide Investigation of Archives Documentary InheritancesThe domestic and foreign related experience demonstrated that the nationwide investigation is the foundation of all cultural heritage protection. The nationwide investigation of archives documentary inheritances mainly includes two aspects. First, the investigation of archives documentary inheritances’damaged condition and information situation. The individual investigation in view of damage condition and information situation provides the data for the division of the endangered condition for archives documentary inheritances.Second, the investigation of protection situation and measures of archives. The investigation of protection situation and measures of archives provides the reference for the origin analysis and the protection of endangered archives documentary inheritances.This article has utilized the statistics principle and the social investigation method for each kinds of investigation of archives to design the method and the flow.Chapter 7 the Salvage Conservation of Endangered Archives Documentary InheritancesThe objects of salvage protection are the seriously damaged archives documentary inheritances, which need to protect urgently. The salvage protection divides into the salvage protection technology and the salvage protection management.The project management of salvage protection means the flow management including every link according to the project management’s thought. And the project management of salvage protection this article elaborated has 7 different sects, which respectively is making the salvage plan, creation the message platform, establishment the salvage file, consummating the salvage standard, standard the work flow of salvage, establishment the salvage appraisal mechanism, consummating the education training and the qualifications authentication system.The salvage protection technology means implementation individuation protection operation according to the endangered condition of archives documentary inheritances, which includes curative conservation, restoration and digitization.Chapter 8 the Preventive Conservation of Endangered Archives Documentary InheritancesThe preventive conservation means putting the endangered archives documentary inheritances in a good preserved environment, so as to reduce the possibility of damage and extent the preservation life of archives documentary inheritances.The preserved environment is the important effect factor causing archives documentary inheritances in imminent danger and vanishing. So we should put the archives documentary inheritances in the reasonable and stable preserved environment through integrated surrounding control, which includes the humiture control, the illumination control, the air quality control and the biology contamination control.The protection management of preventive conservation includes the macro-management and the micro-management. Standing in the national altitude, the macro-management of protection management means the corresponding law, policy and standard. And the executor of micro-management is archives. The archives will serve the purpose of preventive conservation through the special management.The preventive protection’s social aspect refers to raising the protection consciousness, increasing investment, enhancement the specialized training, and advancement the protection research.更多还原