IN SEARCH OF EXCELLENCE: LIBRARY ASSESSEMENT FOR SUCCESS 追求卓越：图书馆的绩效评估 Karen T. Wei 陈同丽 美国伊利诺伊大学亚洲图书馆馆长 2010年5月 中国 天津 烟台 上海 图书馆绩效评价的方法、效果、存在问题。

Characteristics of U.S. Public Libraries 前言：美国公共图书馆的特征 Libraries enrich lives Libraries welcome everyone Libraries offer open and easy access Libraries belong to the local community Libraries have challenges 图书馆丰富生活 图书馆欢迎每个人 图书馆提供开放和 方便的阅览 图书馆属于当地社 区 图书馆面临挑战 图书馆丰富生活：图书馆的教育使命 （课余协助，技术培训，终身学习）；提供信息 （企业，地方政府以及 消费者信息); 提供公共场地 (聚会场所, 社区信息); 提供各种娱乐 (DVD, 游戏, 讲故事); 寻找家谱资料 图书馆欢迎每个人 (不分年龄,种族, 族裔背景, 是否残疾, 或新移民,不同的宗教政治或语言) 图书馆提供开放和方便的阅览 (开架式阅览, 88%的公共图书馆免费提供数据库的使用, 容易申请图书馆卡, 网上服务，自行借书，送书到家，下班后还书等服务) 图书馆属于当地社区 (其经费84%以上来自地方的税收，尽量保持图书馆免费服务，有足够的儿童图书，也有足够的参考书资料，还有友好的知识渊博的图书馆员等) 图书馆面临挑战 (不同的用户群体,新移民, 资金不足但需求增加, 80%的公共图书馆电脑设施不足, 57%的公共图书馆频宽不足, 大多数美国的公共图书馆建筑老旧，平均25-50年旧, 不像国内，经常建新馆)

Outlines 大纲 Definition and purpose 评估的定义与目的 Culture of assessment 评估的文化 Why libraries perform assessment 为什麽执行 评估 Evaluation models 评价的模式 Areas need to be assessed 评估的范围和领域 Assessment practices and methods 评估的方法 Tools used for assessment评估的工具 Case studies 范例

What is assessment? 什麽是评估？ Assessment is the gathering of meaningful or purposeful data that will provide information that informs, improves, or confirms. 评估是有意义的或有目地的收集一些数据; 这些数据包括了能帮助提升或肯定图书馆 服务品质的信息。

Purpose of assessment 评估的目的 Making decisions 做决定 Defending the decisions 为决定辩护 Providing the “evidence” for: 提供证据 Development of services and programs 拓展服务和项目 Improvement of services and programs 改善服务和项目 Informed decision making 明智的决定 Accountability to show others that the services and programs are effective 有责任向他人展示服务和项目的有效性 Demonstration of value or worth of an information service to the user’s life or work 示范信息服务对读者生活及工作的 价值

Why assess? 为什麽执行评估 Planning 规划 Improvement 改进 Decision making 决策 Accountability Values & worth 规划 改进 决策 负责任 经济 效益

Library assessment 图书馆的绩效评估 所有的评估方法都是用来加强决策…..我们需要 数据来帮助我们做政策规划，人员分配，馆藏 建设，和提供服务计划的决定，以期最大限度 的发挥图书馆资源和服务的效益。 “All methods of evaluation lead to enhanced decision making…. Data are needed for decisions about developing policies, allocating staff, building collections, and planning service delivery.”

Public Library Assessment 公共图书馆绩效评价 图书馆服务的绩效评价可以帮助我们在管理 中，能够有足够的数据、事实、调查和分 析来帮助我们做出明智的决定，从而最大 限度地发挥图书馆资源和服务的效益。 “Decisions are based on facts, research, and analysis, and where services are planned and delivered in ways that maximize positive outcomes and impacts for customers and stakeholders.”

Culture of assessment 评估的文化 一个有利评估的组织环境 这系统和结构是基于不断的评估和评价 图书馆职员有不断的衡量，评价和评估的活动 一种以客户为中心并有系统使用评估的 文化 为了改善全体职员为客户服务的能力，改进为 客户服务的成果及对服务质量的改善 价值观和奖励成果 An organizational attitude or environment that facilitates evaluation 一个有利评估的组织环境 The systems and structures that are based on continuous assessment and evaluation 这系统和结构是基于不断的评估和评价 Has measurement, evaluation & assessment activities 图书馆职员有不断的衡量，评价和评估的活动 A culture that is customer focused and uses assessment systematically一种以客户为中心并有系统使用评估的文化 To improve staff capabilities for customer service, better outcomes for customers and improved service quality 为了改善全体职员为客户服务的能力，改进为客户服务的成果及对服务质量的改善 Values & rewards results 价值观和奖励成果

Evaluation model 评价的模式 Resources Capability Utilization Impact 资源 潜力 应用 影响 Resources: Input measures 投入评估 Capability: Process measures 过程评估 Utilization: Output measures 产出评估 Impact: Outcome measures 效果评估

Measurement and Evaluation 衡量与评价 Input measures: resources allocated (annual budget, size of collection, number of staff) 投入评估：资源分配（年度预算，馆藏规模，人员数量） Process measures: transform resources into activities (quantify time or cost to perform specific task or activity such as ordering, receiving, cataloging) 过程评估：把资源转化为活动（完成某项任务比如订书， 收书，编目所需的时间或费用）

衡量与评价 （续） Output measures: how inputs and processes are utilized (annual circulation, number of reference questions answered, number of users served) 产出评估：投入和过程中的应用（年流通量，咨 询问题总数，服务对象人数） Outcome measures: difficult to assess, relates to both individual served and to community 效果评估：难以估计，与服务对象的人数以及社区 有关

Measurement and Evaluation 衡量与评价 U.S. Institute of Museum and Library Services 美国 联邦博物馆和图书馆服务总署2006 年资料 图书馆服务 馆藏 工作人员 运行资金来源 运行资金开支 新馆建设，旧馆更新,馆舍维修 服务区域面积 二、评价的内容-What need to be assessed? • 图书馆的资源，比如藏书量（size） • 图书馆的传统服务：编目、咨询（size, cataloging, circulation) • 图书馆使用情况-借阅量：网络资源的使用. (headcount, use) • 用户对图书馆的满意程度User satisfaction • 图书馆服务的效果Outcome of the library service • 图书馆服务的经济效益value of library services

What to measure? 需要评估什麽？ Client satisfaction 客户满意度 用户满意度 图书馆对教学的影响 Collections and usage 馆藏及其使用 馆藏的广度与方便存取 图书馆对研究的影响 图书馆的设施和空间 Strategic alignment 策略与务实协调 通晓行情 图书馆业务成本和服务效率 组织能力

What to measure? 需要评估什麽？ 图书馆使用者和非使用者 图书馆藏书 电子资源 参考服务 技术服务 馆际互借 图书馆在线系统 客户服务 书目指导及信息素养 Library users and nonusers Physical collection Electronic resources Reference services Technical services Interlibrary loan Online systems Customer service Bibliographic/library instruction and information literacy

Assessment practices & methods 评估的方法 Needs assessment Quality improvement Performance measurement Outcome measurement 需求评估 质量改进 工作表现衡量 成果衡量

Needs assessment 需求评估 定义：找出差距或需要 卓越的公共图书馆是通过本地的条件来评 估当地社区对图书馆的需求 服务的角色或社区的反应 – 界定图书馆能 为公众提供何种服务以满足对当地社区的 特定需求 本地规划过程 - 选择并对服务回应区分优 先次序

Quality improvement 质量改进 目的: 努力改善图书馆的服务，项目或过程 全面质量管理 (Total Quality Management) 质量管理原则 (Quality Management Principles) 组织承诺， 赞助 注重过程 员工参与 客户至上 学习型组织 受数据的驱策 Dudden (2007). Using Benchmarking, Needs Assessment, Quality Improvement, Outcome Measurement, and Library Standards, p. 105-7.

Performance measurement 工作表现衡量 定义：工作表现评估是用于回答本地问 题的措施： 你准备做什麽? 你达成了这项任务吗？ 三种基本的衡量： 受到某种服务或项目服务的用户人数 用户对图书馆服务如何满足他们需求的意见 图书馆采用衡量尺度来决定所需的服务单位 或服务事务

Outcome measurement 成果衡量 IMLS 界定成果是要对用户有利益的： 具体而言，就是项目参与者的图书馆 技能，知识，态度，行为，条件，或 生活状况因而获得成就或改变 文献理念 图书馆和图书馆员如何 帮助用户？ 如何塑造成果 示范结果系列

Outcome measurement: Public library outcomes and service responses 结果衡量：公共图书馆的成果和服务反应 基本的素养 商业及职业信息 公众聚会场所 社区推介 消费者信息 文化意识 当前的主题和标题 正规学习辅助支持 一般信息 政府信息 信息素养 终生学习 当地的历史和族谱 The New Planning for Results by Sandra Nelson for the Public Library Association 2001《讲求成果的新规划》鼓励每个图书馆发展自己的目标，以反映社会需要 为市民服务：基本识字 (basic literary)，企业和职业信息，商品 (commons)，社会推介 (community referral)，消费者信息 (consumer information)，文化意识 (cultural awareness)，当前主题和标题 (current topics and titles)，正规学习的支持 (formal learning support)，一般信息，政务信息 (government information)，信息素养 (information literacy)，终身学习 (life-long learning)，当地的历史和家谱 (local history and genealogy)

Tools used for assessment 评估的工具 The Public Library Service: IFLA/UNESCO Guidelines for Development 2001 公共图书馆服务：国 际图联/联合国科教文 组织发展准则 Sections include: role and purpose, legal and financial framework, meetings the needs of users, collection development, human resources, management and marketing Management tools discussed include: community needs analysis, monitoring and evaluation, performance measurement

Tools Used for Assessment 评估的工具 Public Library Data Service Statistical Report http://www.ala.org/ala/mgrps/divs/pla/plap ublications/pldsstatreport/ 公共图书馆数据服务统计报告 Designed to meet the needs of public library administrators and others, including media outlets, for timely and relevant library-specific data that supports a wide variety of management decisions.  Published annually, the PLDS Statistical Report collects information from more than 800 public libraries across the United States and Canada on finances, library resources, annual use figures and technology.  In addition, each annual PLDS report contains a special survey highlighting statistics on one service area or public library topic. 2009 includes a special survey on library facilities The current edition will help library managers identify top performing libraries, compare service levels and technology usage and provide documentation for funding requests.  The “Statistical Report 2009” is available for purchase in both print and database subscription The Public Library Data Service (PLDS) Statistical Report, a project of the Public Library Association, is designed to meet the needs of public library administrators and others for timely and effective library-specific data that illuminates and supports a wide variety of management decisions. Since its beginning in 1988, PLDS reports have also been used extensively by the press to better understand public libraries. Published annually, the PLDS report presents exclusive, timely data from more than 800 public libraries across the United States and Canada on finances, library resources, annual use figures, and technology. In addition to these valuable topics, each year's edition contains a special survey highlighting statistics on one service area or topic. The 2008 report contains a special survey on public library finance.

Tools Used for Assessment 评估的工具 U.S. State Standards – each different 美国各州的标准-每个州都不同 Standards for Illinois Public libraries以伊利诺伊州公共图书馆的标准为例 Data and statistics used with planning process to establish case of library support at local level Categories for basic library statistical data at national level Reporting unit and target population, human resources, collection resources, infrastructure, finances, services Who uses the standards Guide for librarians, library staff, and board trustees during budget preparation and strategic planning. Reveal library strengths and weaknesses. How are standards used Review, reflect, and refine library’ s service philosophy and strategic planning Director uses to share library’s progress as well as recommend changes to library board Library staff meetings focus on standards to enhance staff’s understanding of library’s service philosophy Serving our Public 2.0: Standards for Illinois Public Libraries Basic essential standards: operate in compliance with Illinois library law, have organized collection of information, have written library policies approved by library’s governing body, have fixed location with posted regular hours of services, have trained paid staff to management the collection and provide access to it, be supported in part of in whole by public funds, have an identifiable library materials budget and 24 core standards Chapter topics: governance and administration, personnel, facilities, technology, access, collection management and resource sharing, public services including reference and reader’s advisory services, programming, marketing, promotion, collaboration

i.e. library’s jurisdiction population is 8,500, the library wishes to achieve the “growing” level, the library population is 5000-9999, and basic is 2 FTE, but to be “growing”, the library needs to the number of additional FTEs needed to reach the growing, is .5 per 1,000 population. Multiple by 8.5 x 1000 x .5 =4.25 So, the library will need to have 2 + 4.25 =6.25 FTE.

Resources: input measures 资源：投入评估 Book collection: Example: The Library’s jurisdictional population is 38,000 The library wishes to achieve the “established” level The library’s population is in the 25000-49000 range. Therefore, the ‘base’ for the library is 70000 The established level for this range is 2.75 volumes per capita Multiply 2.75 x 38000 =104500 Add this 104500+70000=174500 May ask a question: What kind of measure this is? Resources: input measures 资源：投入评估 Capability: processing measures 潜力：过程评估 Utilization: output measures 应用：产出评估 Impact: outcome measures 影响：效果评估

Tools used for assessment 评估的工具 U.S. Institute of Museum and Library Services and National Center for Education Statistics 美 国联邦博物馆暨图书馆服务总署与国家教育 统计中心数据 http://harvester.census.gov/imls/compare/index.asp 这是对全美 9000多个公共图书馆进行统计。提 供的数据可以是个别馆的，也可以是在州和国家 为层次的 也可以选择公共图书馆进行数据比较并形成报告 Nationwide descriptive statistics on public libraries are collected and disseminated annually through a voluntary census, the Public Libraries Survey. The survey is conducted by the U.S. Census Bureau for the Institute for Museums and Library Services (IMLS). Statistics are collected from over 9,000 public libraries. Data are available for individual public libraries and are also aggregated to state and national levels. Compare Public Libraries - Use site to create reports comparing one library of interest to other libraries

Tools used for assessment 评估的工具 Hennen’s American Public Library Ratings (HAPLR)美国公共图书馆评价系统 http://www.haplr-index.com 经费 馆藏的经费比例 人均图书经费 工作人员 (每千人) 期刊 (每千人) 图书 流通费用 人均访问次数 馆藏借还 流通时间 流通 参考 每小时流通量 每小时访问人次 每次访问流通量

The table below compares the HAPLR rating data for the 1999 edition to that of the 2008 and 2009 editions.  美国公共图书馆评价系统 Data 1999 Edition 2008 Edition 2009 Edition From 2008 Edition 10 Year Average Number of Libraries                   8,752                  9,076                   9,080 0.0% 0.4% Population served        259,463,453       285,579,896        291,302,705 2.0% 1.2% Staff (Full time equivalent)               117,741              136,014               140,438 3.3% 1.9% Collection Expenditure $840,956,250 $1,142,839,506 $1,259,636,602 10.2% 5.0% Total Expenditure $5,551,991,409 $8,632,693,011 $9,578,451,862 11.0% 7.3% Book Volumes        709,424,788       803,013,857        805,008,471 0.2% 1.3% Periodical Subscriptions            1,854,165           1,820,422            1,832,775 0.7% -0.1% Hours Open          33,098,377         35,915,538          36,181,122 0.9% Visits     1,012,614,319    1,320,647,162     1,381,561,074 4.6% 3.6% Reference        284,416,840       303,914,504        294,442,201 -3.1% Circulation     1,641,514,552    2,008,090,565     2,098,751,934 4.5% 2.8% Expenditure per capita $21.40 $30.23 $32.88 8.8% 5.4% Percent Budget to materials 15.1% 13.2% -0.7% -1.3%  Materials Expenditure Per capita $3.24 $4.00 $4.32 8.1% FTE staff per 1000 population                     0.45                    0.48                     0.48 0.6% Periodicals per 1000 population                     7.15                    6.37                     6.29 -1.2% Book Volumes per Capita                     2.73                    2.81                     2.76 -1.7% 0.1% Operating Expenditure per circulation $3.38 $4.30 $4.56 6.2% 3.5% Visits per capita                     3.90                    4.62                     4.74 2.6% 2.2% Book Collection turnover                     2.31                    2.50                     2.61 4.3% Circulation per FTE Staff Hour                     6.70                    7.10                     7.18 Circulation per Capita                     6.33                    7.03                     7.20 2.5% 1.4% Reference per capita                     1.10                    1.06                     1.01 -5.0% -0.8% Circulation per hour                   49.60                  55.91                   58.01 3.7% 1.7% Visits per hour                   30.59                  36.77                   38.18 3.8% Circulation per visit                     1.62                    1.52                     1.52 -0.6%

Tools used for assessment 评估的工具  美国星级图书馆(America’s Star Libraries): 评价图书馆所在的社区, 组织结构, 资金, 图书 馆的领导与管理 依据下列数据 (IMLS 2006): 人均流通次数 人均访问次数 参加图书馆各种活动人次 计算机的使用 全美国 256 个图书馆被评为三星,四星和五星级 图书馆 建议各图书馆馆长依据此星级标准衡量本馆工作 始于 2008 年 (LJ)

Tools used for assessment 评估的工具 Special Awards 特别奖项 Library Journal 图书馆学刊www.libraryjournal.com Library of the Year 年度最佳图书馆奖 Movers & Shakers 推动者和热门人物 Carnegie/New York Times I Love My Librarian Award 由卡内基/纽约时报主办-我喜爱的图书馆员奖 http://www.ilovelibraries.org/ Local outlets – newspapers, etc.地方渠道，报刊新闻 Movers & Shakers - 50 or more up-and-coming individuals from across the United States and Canada who are innovative, creative, and making a difference. From librarians to vendors to others who work in the library field, Movers & Shakers 2010 will celebrate the new professionals who are moving our libraries ahead. Carnegie Corporation of New York awarded the American Library Association $489,000 to support the Award. Administered by the ALA’s Public Information Office and Campaign for America’s Libraries, the award encourages library users to recognize the accomplishments of librarians for their efforts to improve the lives of people in their community. http://www.ilovelibraries.org/ Local outlets – newspapers, etc

Tools used for assessment 评估的工具 数据收集和分析法 Surveys 问卷调查 Focus groups 焦点小组 Observation 观察 Interviews 访谈 Mining the automated systems自动化系统的资料采集 评价项目中的沟通技巧- 观众，有效的写作， 简报， 团队工作， 聆听，面谈， 电话和电子邮件沟通 Data collection/analysis Skills for communicating in evaluation projects -audience, effective writing, presentations, team work, listening, interviews, telephone or e-mail communication Tools for improvement and evaluation Listening to Customers Surveys to measure customer expectations Focus group interviews Mining the automated systems Public libraries, outcomes and quality of life International Institute for Sustainable Development – Sustainability Indicators Decision about which indicates to use to measure quality of life by state or community is result of neighbor meetings or visioning project to provide consensus about important variables that contribute to community’s definition of well being http://www.iisd.org/measure/compendium/ Jacksonville, Florida Quality of Life Project – library circulation is an indicator Fate of most public libraries in U.S. is entirely a local matter

美国的公共图书馆 Fate of most public libraries in U.S. is entirely a local matter 在美国大部分公共图书馆的命运 完全是由所在地决定的

Libraries enrich lives 图书馆丰富生活 Library assessment is an integral part of successful library management. It is a means and process that “libraries of all kinds are looking more closely at how and how well they are serving their users.” 图书馆的绩效评估是成功的图书馆管理的 重要组成部分。它是一种方法也是一个过 程，它是“所有各种图书馆更积极找寻如何 有效的为图书馆用户提供服务”的方法。 Wright and White (2007). Library Assessment. Series: SPEC kit, 303. p. 11.

References 参考书目 Dudden, Rosalind F. Using benchmarking, needs assessment, quality improvement, outcome measurement, and library standards. New York : Neal-Schuman Publishers, c2007. Matthews, Joseph R. Measuring for results : the dimensions of public library effectiveness. Westport, Conn. : Libraries Unlimited, 2004. Nelson, Sandra S. The new planning for results : a streamlined approach. Chicago : American Library Association, 2001.

Thank You! 谢谢! Karen T. Wei 陈同丽 Head, Asian Library Professor of Library Administration University of Illinois at Urbana-Champaign 伊利诺伊大学亚洲馆馆长, 教授 kwei@illinois.edu