中国图书馆评估的近期发展： 研究、实践与发展 Recent Developments of Library Evaluation in China: Research, Practice and Directions 张广钦 北京大学信息管理系 Guangqin Zhang Ph.D, Associate Prof. Dept. of Information Management, Peking University zgq@pku.edu.cn

Term and Type 用什么词汇？ What words to choose? 美国起步于20世纪20年代，兴起于60年代beginning at 1920s’, developed in 1960s’ 常用词语：图书馆评估、图书馆评价、绩效评估、绩效评价、绩效测评、图书馆评鉴等 library (performance) evaluation, assess, measurement, auditing, etc.

Term and Type 大概分类： Type of Lib. Evaluation: 不同的范围、目的与方法：调查、标准 by coverage/aim/method: survey, standard 检查性评估报告：外部评估、内部自评 auditing reports: external auditing and internal auditing 管理统计和绩效评估 manage statistics and performance evaluation 评估研究 evaluation research

Documentary Statistics Research

Documentary Statistics Research

Documentary Statistics Research 来源出版物 记录数 JOURNAL OF THE MEDICAL LIBRARY ASSOCIATION 44 ELECTRONIC LIBRARY 33 JOURNAL OF ACADEMIC LIBRARIANSHIP 30 COLLEGE & RESEARCH LIBRARIES 26 JOURNAL OF THE AMERICAN SOCIETY FOR INFORMATION SCIENCE AND TECHNOLOGY 23 LIBRARY TRENDS 22 PORTAL-LIBRARIES AND THE ACADEMY 22 LIBRARY & INFORMATION SCIENCE RESEARCH 20 HEALTH INFORMATION AND LIBRARIES JOURNAL 17 PROGRAM-ELECTRONIC LIBRARY AND INFORMATION SYSTEMS 16 INFORMATION PROCESSING & MANAGEMENT 13 JOURNAL OF DOCUMENTATION 13 LIBRARY HI TECH 13 ASLIB PROCEEDINGS 12 INFORMATION TECHNOLOGY AND LIBRARIES 12 JOURNAL OF LIBRARIANSHIP AND INFORMATION SCIENCE 12 ONLINE INFORMATION REVIEW 11 INTERLENDING & DOCUMENT SUPPLY 10 LIBRARY COLLECTIONS ACQUISITIONS & TECHNICAL SERVICES 10 LIBRARY RESOURCES & TECHNICAL SERVICES 10 LIBRI 10 REFERENCE & USER SERVICES QUARTERLY 10 PROFESIONAL DE LA INFORMACION 8 INFORMATION RESEARCH-AN INTERNATIONAL ELECTRONIC JOURNAL 7 JOURNAL OF INFORMATION SCIENCE 7

Documentary Statistics Research 研究主题 分主题 数量 图书馆评估研究综述 Review 4 图书馆评估实践综述 Practice Review 高校 公共 1 图书馆评估理论研究 Theory Study Review 概念研究 类型 理论架构 评估方法的应用研究 Evaluation Methods Study AHP法 StatsQual LibQual 层次分析法 模糊数学 模糊综合评价法 二维排序法 序数排列法 定性与定量结合法 数字图书馆评估 Digital Library Evaluation 综述、指标体系、方法等 7 国外评估方法介绍 Foreign Evaluation Methods Introductory 日本 美国 蒙特利尔 综合分析 3 评估组织与操作 Organization and Operation 委托代理（公共、高校） 各1 图书馆指标体系研究 Indicator System Study 高校系统（主要涉及高职高专、教学评估等） 公共系统 中外比较研究 党校系统 31 6 2 对评估工作的反思、经验总结性文章 Practice Summary, Re-thinking on Evaluation Practice 综合性反思 高校系统 高职高专 其他系统 公安 医院 体育 中专 中小学 基层馆 对业务等影响 文献资源建设 档案建设 信息素养 业务管理规范化 11 10 5 消息类 News Report 9 Documentary Statistics Research

Documentary Statistics Research 2005年以后图书馆评估方面论文发表期刊及所占比例图 Journals issued the paper on Lib. Evaluation and percentage

概念 Definition 图书馆评估概念包含三个基本要素：一是在图书馆评估概念中应有基本标准、目标；二是要用价值判断的基本概念；三是要以事实和统计数据为依据对图书馆工作的过程和结果进行描述。 There are 3 elements in this concept: (1) Basic standards and goals must be included in this concept; (2) a basic concept judged by value; (3) to describe the process and result of library work based on facts and statistical data. 国家标准化组织《信息和文献工作——图书馆绩效指标》（ISO11620）对图书馆绩效评估的解释：图书馆提供的效能以及拨款和资源利用在提供服务中的效率，也就是效能和效率的有机契合。效能（Effectiveness）指对所设定之目标完成程度的测评。效率(Efficiency)是指在既定目标实现中对资源使用情况的测评。“评估”是指对服务或设备的效能、效率、利用及适应的测评程序。

概念 Definition 关于图书馆评估的概念主要有两种表述方式：（1）与标准比对的观点:将图书馆评估看成是收集数据、信息，再将其与图书馆活动的目标或理想标准比对。（2）系统的观点，将图书馆看成一个系统，衡量图书馆资源“投入”与“输出”成果之间的效益。 Two ways are used by defining the term: (1) Comparing to the standards view point: Lib. Evaluation is to collect data, information, compared to the goal and ideal standards. (2) Systematical View: by considering a library as a system, it is measured by profits through comparing input with output.

为什么评估？Why Evaluate? Wallance and Van Fleet (2001) Account for how they use their limited resources Explain what they do Enhance their visibility Describe their impact Increase efficiency Avoid errors Support planning activities Express concern for their public Support decision making Strengthen their political position Weiss (1988) Determining how clients are faring Providing legitimacy for decisions Fulfilling grant requirements Making midcourse corrections in programs Making decisions to continue or culminate programs Testing new ideas Choosing the best alternatives Recording program history Providing feedback to staff Highlighting goals

好的评估 What is good evaluation? Jose-Marie Griffiths与Don King 提出一项“好”的评估应该符合以下几方面的要求： 评估要有目的性，评估的最终结果并不是以评估活动的结束为标志的，而是以是否实现了要改进的目标为标志的。 Evaluation has its aims, and the result is not the ending flag of an assessment, but obtaining improvement is the ending flag. 如果评估结果最终没有推动针对评估中发现的问题的改进行动，那么评估是没有任何意义的。 It is no any significance unless the evaluation result could help libraries improve their weakness and resolve their problems found during the evaluation. 评估必须超越对事物、现象活动的表面性描述，而深入地揭示图书馆服务活动的开展同用户、同图书馆所服务的社区之间的关系。 Evaluation should deeply discover the tight relationship between libraries and their users and communities served by the libraries, besides description to facts, activities. 评估反映了图书馆内部运行与外部社会影响情况，评估所揭示的这些信息可以使图书馆员工之间、图书馆与用户之间交流想法。 Beyond the library internal work flows and its social impact, the evaluation results should also discover that information from the assessment could make librarians communicate each other and between librarians and users.

好的评估 What is good evaluation? Jose-Marie Griffiths与Don King 提出一项“好”的评估应该符合以下几方面的要求： 评估应该是一个持续不断的过程，而不是一个偶然的、在一定时间内发生的情况。持续不断的评估可以起到监控图书馆运行、分析运行中产生的问题、改进管理与服务的作用。 Evaluation should be one continuing course, but not an occasional event just happening within a certain period. Continuing evaluation could have impact on libraries with monitoring the library process, analyzing the questions occurring from the activities, and improving management and service levels. 评估应该成为对图书馆业务活动进行持续监控、诊断问题与实施变革的一种工具。 Evaluation should become one tool which help libraries monitor activities, diagnose problems, and implement changes. 评估应该是一个动态过程，应该能够反映新思想、新环境变化对图书馆产生的影响。 Evaluation should be a dynamic process, and it should reflect the impact on libraries by new ideas and new environment.

评估概念模型 Model 评估模型有利于我们理解图书馆提供的服务及其职能，更好地理解评估的定义、作用、方法、目的及各种评估模式间的关系。 Evaluation models are used to assist in our understanding of the functions， methods, goals, relations among all kinds of models and services provided by a library. 国内处于介绍阶段 Stage of importing concept in China 国外研究者则主要建立三种类型的评估模型：以整体图书馆为评估单位的模型，针对图书馆活动的某一环节或某一种评估模式建立的模型以及描述一般评估过程的PDCA模型。对于建立第一类概念模型，目前有三种思路。 PDCA: Plan, Do, Check, Act Foreign researchers developed there kinds of assessment models: (1) model regarding a library as a whole unit; (2) model concerning one course of libraries’ activities or certain evaluation model; (3) PDCA model describing the general evaluation course.

评估概念模型 Model Blaise Cronin Model Scot Nicholson Model User Management Sponsor Cost Effectiveness Benefits

评估概念模型 Model Richard Orr Model John C. Bertot and Charles R. McClure

评估概念模型 Model Integrated Model Orr’s model extension: The Performance Spectrum

评估方法与工具 Evaluation Methods and Tools 评估方法主要有两种类型：一为针对图书馆整体效益的评估方法，包括：投入评估法、职业标准评估法、任务评估法、综合评估法、系统评估法、CIPP评估法、数据包络分析法（Data Envelopment Analysis）；另一种为评估图书馆某一工作流程或功能的方法，包括：标杆分析法、作业流程分析法以及评估参考咨询服务的调查者不介入评估法。 Two kinds of types are presented by the evaluation: one is focused on the whole library effectiveness and efficiency, such as input measurement, standards, task measurement, comprehensive measurement, systematic measurement, CIPP measurement(Context, Input, Process, Product), Data Envelopment Analysis; the other is aimed at assessing one certain library business flows or functions, including benchmarking, business flow analyzing, unobtrusive method. Ronald R. Powell：投入评估、输出/绩效评估、成效评估、服务质量评估（主要采用全面质量管理的思想）、过程评估、标杆/基准评估、标准（即将图书馆活动情况同相关理想状态的比对）、定量评估（包括实证法和调查法）、定量评估法、定性评估法、成本分析法、组织效能分析、项目评估法、以图书情报为中心的方法。 Ronald R. Powell: input measurement, output/performance measurement, impact/outcomes assessment, service quality assessment, process evaluation, benchmarking, standards, quantitative methods, qualitative methods, cost analysis, organizational effectiveness, program evaluation methods, and LIS-centered methods.

Current Assessment Tools 现行常用的评价工具 Collections 馆藏 User surveys 用户调查 Focus groups 焦点群体 Outside consultant (Special Collections) 馆外查阅者（特藏） Services 服务 Statistics (gate counts, reference)统计（到馆人次，参考咨询等） Web usability testing 网上使用量测评 Focus groups 焦点群体 Information Literacy 信息素养 SAILS 信息素养技能标准化评估 IL and Assessment Working Group信息素养和评估工作组 Assessment Librarian 评估馆员 Review process 评议程序 Peer Review Committee (PRC) 同行评议委员会 ClimateQUAL

Tools by the Association of Research Libraries: 美国研究图书馆协会评估工具：StatsQUAL ARL Statistics 美国研究图书馆协会统计表 LibQUAL+ 基于网络的图书馆服务质量评估工具 ClimateQUAL 组织氛围与多样性调查 DigiQUAL 基于网络的图书馆数字资源评估工具 MINES for Libraries 图书馆信息挖掘工具

专题研究 Special Topics 以下研究专题，也是图书馆经常开展评估活动的主要领域。 The following special study areas are also the fields being often assessed by the libraries. 馆藏评价 Collection 传统馆藏评价 Printed Collection 数字馆藏评价 Digital Collection 服务评价 Service 技术服务（采购、编目） Technology (Acquisition, Cataloging) 参考咨询 Reference Service 馆际互借 Inter-library Loan OPAC 图书馆网站 Library Web Site 信息系统 Information System 整体服务质量 whole service quality 价值评价 Valuation Administrative functions (human resources, marketing, financial services) are least evaluated – 30% of survey respondents have not assessed these areas. 行政职能（例如：人力资源、图书馆营销和经费管理等）是最少被评估的内容-30%的调查反馈者没有涉及到这些方面的评估。

图书馆评估实践 Library Evaluation Practice 我国的图书馆评估实践活动从20世纪80年代开始。最早是中国科学院图书馆首先进行。 Library evaluation practice started in the beginning of 1980s’ in China, and firstly carried out by Chinese Academy of Sciences (CAS)’s library. 我国图书馆评估实践活动具有以下特点：政府主导，自上而下；缺乏主动，意义缺失。 Characteristics of Chinese library evaluation: government-sponsored, from top to bottom; lack of initiative, sense deficiency. 我国图书馆评估实践基本上遵循了如下线索：尝试——蔓延——非理性——理性（自发——自觉） Library evaluation follows such a trail: trial—extendence—non rationality—rationality (spontaneous—conscious)

College and University Library Evaluation Practice 高校图书馆评估实践 College and University Library Evaluation Practice 特点：从无到有、从点到面；以政策为主导、以教学评估为推动 Characteristic: from nonexistence to existence, from the point to surface; policy-oriented, teaching evaluation – promoted 1985年5月27日，《中共中央关于教育体制改革的决定》 Decision on Educational System Reform by the Central Committee of CPC 1987年7月25日，《普通高等学校图书馆规程》 Library Regulation of College and University 从无到有、由点到面，自发状态from nonexistence to existence, from the point to surface, in spontaneous state 1991年，《关于开展普通高等学校图书馆评估工作的意见》 Suggestion on Initiating Library Evaluation for College and University 全面开花，政府主导；单项评估 developing all of the various aspects, government-oriented, assessing for single kind of library businesses 2002年2月26日，《普通高等学校图书馆规程》（修订） Library Regulation of College and University (Rev.) 2003年2月25日，《普通高等学校图书馆评估指标（征求意见稿）》 Evaluation Index System of College and University Library (draft) 至2008年，高校图工委“高校图书馆评估统计规范”，包括《普通高等学校图书馆评估指标》及评估办法、《高等学校图书馆数字资源计量指南》（2007）、关于《普通高等学校办学条件标准》图书馆藏书量指标的建议。 Till 2008, Steering Committee for Academic Libraries of China established College and University Library Evaluation and Statistics Regulation, including Evaluation Indictors for College and University Library and its assessing methods, Digital Resources Calculating Guide for College and University Library (2007), Suggestion on Library Collection Indicator in College and University Condition Standard.

公共图书馆评估实践 Public Library Evaluation Practice 1993年1月，文化部于广西柳州召开全国公共图书馆工作会议，决定进行全国性的公共图书馆评估活动。同年进行了试点。 National Public Library Meeting sponsored by the Ministry of Culture in Liuzhou, Guangxi Province was held in Jan. of 1993. The meeting decided that public library evaluation all over the country should be taken and 5 provinces would be chosen as the pilots. 1994年3月9日，文化部《关于在县以上公共图书馆进行评估定级工作的通知》，正式拉开了全国性的公共图书馆评估活动序幕。 On Mar. 9, the Ministry of Culture released Decision on Evaluation for Public Library above the county level, which showed the beginning of the whole national public library evaluation. 从1994年开始，到2009年，全国共进行了四次评估活动 。 From 1994 to 2009, four times of public library evaluation were taken. 为了配合评估活动，逐步建立起了“公共图书馆评估标准体系”。目前包括6个标准，分别是省、地、县公共图书馆和少年儿童图书馆评估标准。同时，还有标准的实施细则。 Public Library Evaluation Standard System were set up, consisting of 6 standards: Evaluation Standards for public library or separate children’s library at the provincial level, prefecture-level, and county-level respectively. 在这四次评估活动中，2004年文化部委托中国图书馆学会实施了第三次评估工作。 The Library Society of China hosted 2004-year public library evaluation , trusted by the Ministry of Culture. 在第四次，即2009年的评估活动中，于评估标准中特意加入了“全国文化信息资源共享工程”落实情况的评估项。 Some indicators about National Project for the Sharing of Cultural Information and Resources were added into the evaluation standards in 2009-year public library evaluation. 公共图书馆系统除了这四次全国性的“普查”之外，别无其他评估的动作，也未听说某些馆“自主”进行业务 评估（除极个别图书馆外）。 I seldom heard that some public libraries took evaluation by themselves for the purpose of inspecting their own businesses and library performance, valuation or outcomes except the four times of national “general survey” or “census”. ( Except for one or two libraries)

图书馆评估未来 Suggestion 回归图书馆评估的本质 开展第三方评估 加强业务统计工作 重视价值评价 编制不同类型、规模的图书馆评估指南 建立激励机制 立法保障 Back to basics of library evaluation Fulfill third party assessment Strengthen statistics Take into account of valuation Develop library evaluation guide for libraries of different types and sized Set up reward system Legal guarantee

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