图书馆评估的源流与趋势
Origins and Trends of Library Assessment
许建业
Jianye XU
南京图书馆
Nanjing Library
2012-11-19
ITIE2012:图书馆作为社会教育中心 中国杭州
引 言
Introduction
评估是管理的重要环节,是调控的重要手段。
图书馆评估作为图书馆管理的重要组成部分,
其价值与意义正被业内外更多人士和社会广大公
众关注与感知。
As a key part of the management of library ,assessment is an
important means of regulation. Its significance is gradually
valued by the public.
ITIE2012:图书馆作为社会教育中心 中国杭州
一. 图书馆评估的源流与定义
The origins and concept of library assessment
20世纪上半叶西方图书馆界初现图书馆评估的思想
萌芽;作为图书馆评估的自觉意识的形成,始于20世纪中
期的英美等国。
Library assessment origins from the earlier part of 20th century in
the west countries and the assessment activities occurred in the U.K.
and the U.S. libraries to make quantitative evaluation on the input
resources in the mid-20th century.
ITIE2012:图书馆作为社会教育中心 中国杭州
一. 图书馆评估的源流与定义
The origins and concepts of library assessment
从强调馆藏、人员、设备、费用等输入资源进行定量评
价研究,至引入服务效果分析等产出效益研究;从通过开
发指标评价服务质量与产出绩效研究,到以强调服务品质
与用户满意度评价研究,直至21世纪的当下转向数字图书
馆、电子资源与网络资源评价研究,形成了图书馆评估发
展的基本轨迹。
The Library assessment develops from quantitative evaluation on
collections, personnel, equipments, costs and other input resources
to output and outcome assessment. The focus of evaluation also
shifts from users’ satisfaction to digital resource.
ITIE2012:图书馆作为社会教育中心 中国杭州
一. 图书馆评估的源流与定义
The origins and concepts of library assessment
中国图书馆评估工作始于20世纪80年代,成长于90年代中
后期,进入21世纪,三大系统(教育、科研、文化系统)
图书馆均实施了定期的评估定级工作。图书馆评估研究随
着评估工作的深化而逐渐成为图书馆学研究热点。
Evaluation activities of Chinese library emerges in the 1980s and
developed itself in the late 90th century that libraries of three
systems (education, research, culture system)had implemented
assessment grading work on a regular basis.
Library assessment study has gradually become a key topic of
library study.
ITIE2012:图书馆作为社会教育中心 中国杭州
一、图书馆评估的源流与定义
Definition of Library assessment

《信息与文献工作——图书馆绩效指标(ISO11620)》定义:即图
书馆提供的效能及拨款和资源利用在提供服务中的效率,也即效能与
效率的有机契合。
 Information and Documentation - Library Performance Indicators
(ISO11620):

An organic combination of the effectiveness of library service provision and
the efficiency of funding and resource input.

《新编图书馆学情报学辞典》(丘东江主编,科学技术文献出版社,
2006年)定义:根据用户需求满足程度对图书馆馆藏、服务和工作项
目的数量和质量进行考察,其目的在于改进图书馆工作。
Dictionary for Library & Information Science :
Assessment to library collections, services and activities is based on users’
needs, with its purpose to improve library service.
ITIE2012:图书馆作为社会教育中心 中国杭州
一、图书馆评估的源流与定义
Definition of Library Assessment
 综合归纳:评估主体依据科学的图书馆评估指标体系,运
用特定的方法和模型,对评估客体的运行效率和效果实施
定性定量的综合分析所作出的价值评判断,并以此作为评
估客体获得认可及资助依据的过程。[李志伟、吕红. 情
报探索.2012]
 A summarization to library assessment:
 A process, based on indicator system together with specific
methods and models, to analyze and evaluate the efficiency and
effectiveness of the library practice. The value of library and the
necessity of future funding could be evidenced through assessment
activities.
 [Zhiwei Li, Hong Lv. Intelligence Exploration[J]. 2012]
ITIE2012:图书馆作为社会教育中心 中国杭州
二、图书馆评估的理论与方法
Methodology of Library Assessment

国外图书馆评估研究经历了从理论探索到实证研究,
从学习借鉴社会学、心理学理论到引入管理学、经济学理
论,从主观评价到以用户的期望、要求和满意度为出发点
的客观评价,由传统图书馆转向数字图书馆、电子资源与
网络资源测评,经历了不断进展与逐步完善的过程。
 Library evaluation research has experienced the process from
theoretical study to empirical practice, using theories of sociology,
psychology and economics.
 The object of evaluation changed from traditional library collection to
digital electronic resources and more and more emphasis has been
put on users’ expectation and satisfaction.
ITIE2012:图书馆作为社会教育中心 中国杭州
二、图书馆评估的理论与方法
Methodology of Library Assessment

中国大陆图书馆评估研究始于20世纪80年代中
后期,从编译介绍国外理论与方法,到评估指标体
系研究及内容扩展,到当下的绩效评估实践总结,
方法与模型、计量分析等应用研究。
 Library evaluation research in China began in the 1980s,and it also
experienced the process from the introduction of existed theory to the
development of measurement indicator system .
ITIE2012:图书馆作为社会教育中心 中国杭州
二、图书馆评估的理论与方法
Methodology of Library Assessment

 理论:
R.Orr的奥尔图示及其理论(1973),Lancaster的
图书馆评估理论(1977),巴克兰德的三个悖论理
论(1982),莱恩的知觉理论(1990),SERVQUAL
及其在图书馆中的应用、用户满意命题及其实证理
论等
ITIE2012:图书馆作为社会教育中心 中国杭州
 Methodology of Library Assessment
 1 Orr, R. H. (1973). Measuring the goodness of library services: A general
framework for considering quantitative measures. Journal of Documentation,
29(September), 315-332.
 2 Lancaster, F. W. (1977). The measurement and evaluation of library
services. Washington, DC: Information Resources Press
 3 Buckland, M. K. (1975).Book availability and the library user. New
York: Pergamon Press
 4 Buck land, M. K. Concepts of Library Goodness.Canadian Library Journal.
39 (2),1982
 5 Line, M. B. The Concept of "Library Goodness": User and Library
Perception of Quality and Value. Line,M. B. ed. Academic Library
Management. London: The Library Association. 1990
 6 Coleman, V. et al. Tow and a TQM Paradigm:Using SERVQUAL to
Measure Library Service Quality. College and Research Libraries. 58
(3) ,1997
 7 Andaleeb,S.S,and P.L.Simmonds.Explaining User Satisfaction with
Academic Libraries: Strategic Implications. College and Research
Libraries.59(2),1998
ITIE2012:图书馆作为社会教育中心 中国杭州
二、图书馆评估的理论与方法(续)
Methodology of Library Assessment
 方法:
R.R.Powell的归纳:投入评估,输出 /绩效评估,
成效评估,服务质量评估(TQM),过程评估,标
杆/基准评估,标准,定量评估(实证与调查),
成本收益分析,组织影响力分析等。
R.R.Powell :
Input Assessment, Output/Performance Assessment, Outcome
Assessment, Assessment of Total Quality Management (TQM),
Process Evaluation, Benchmark / Baseline assessments, Standards,
Quantitative Assessment by empirical investigation), Cost-Benefit
Analysis, Organizational Impact Analysis, etc.
ITIE2012:图书馆作为社会教育中心 中国杭州
三、图书馆评估的实践与标准
Library Assessment Practice and Standards
1970 美国开展《公共图书馆绩效评价》专题研究;
1979 加拿大国家图书馆颁布《联邦图书馆绩效评价手册》
1982 ALA发布的《公共图书馆绩效评价》,
1988 IFLA出版《关于大学图书馆绩效评价的标准》,
1990 ACRL开展《学术图书馆项目绩效评价》研究
1995-2000,欧盟开展《欧洲图书馆绩效评价与质量系统》
与《图书馆 绩效评价与质量管理体系》项目研究,
1996 IFLA出版《测试质量:学术图书馆绩效评价的国际指
南》,
ITIE2012:图书馆作为社会教育中心 中国杭州
三、图书馆评估的实践与标准
Library Assessment Practice and Standards
1970 United States. Public Library Performance Evaluation
1979 National Library of Canada.
Performance Measurement in Federal Libraries: A Handbook
1982 ALA. Output Measures for Public Libraries
1988 IFLA. Measuring Quality: International Guidelines for
Performance Measurement in Academic Libraries
1995 EU. Library Performance Indicators and Library Management
Tools.
ITIE2012:图书馆作为社会教育中心 中国杭州
三、图书馆评估的实践与标准
Library Assessment Practice and Standards
1998 ISO颁行《信息与文献工作——图书馆绩效指标
(ISO11620),
2000 美国制定《公共图书馆网络化服务统计与绩效评价》。
2001 英国颁布《全面高效的现代化公共图书馆——标准与评
价》,
2003ISO11620:1998/Amd1 即《图书馆绩效指标补充本》颁布,
ISO/TR20983《电子图书馆服务绩效指标》颁布;
2004-2009 日本国会图书馆连续对该馆活动绩效作系统评价实践。
2006 ISO2789《国际图书馆统计第4版》,
2008 ISO11620第2版(复合图书馆资源与服务的国际标准体系)。
2009 《英国与爱尔兰图书馆绩效评价》报告出版;
ITIE2012:图书馆作为社会教育中心 中国杭州
三、图书馆评估的实践与标准
Library Assessment Practice and Standards
1998 ISO enacted Developing National Public Library Statistics and
Performance Measures for the Networked Environment
2000 U.S. developed Library Network Statistics and Performance
Measures
2001 Department for Culture,Media and Sport issued
Comprehensive, Efficient and Modern Public Libraries Department
for Culture,- Standards and Assessment.
ISO11620:1998/Amd1 :
 Information and documentation -- Library performance indicators, First Ed.
1998; AMENDMENT1 2003
ISO/TR 20983:
 Information and Documentation – Performance Indicators for Electronic
Library services, ISO.
ITIE2012:图书馆作为社会教育中心 中国杭州
三、图书馆评估的实践与标准
Library Assessment Practice and Standards
2004-2009 National Diet Library made performance measurement
practices continually and systematically.
ISO 2789 (2006) International library statistics,4th Edition Revision
ISO 11620 (2008) Library performance indicators, 2nd Edition Revision
ISO TR 28118 (2009) Performance indicators for National Libraries
2009 Performance Evaluation Report on Great Britain and Ireland
Libraries
ITIE2012:图书馆作为社会教育中心 中国杭州
三、图书馆评估的实践与标准
Library Assessment Practice and Standards
1985年中共中央关于教育体制改革决定推动高教评估实践。
1991年国家教委颁发〈关于开展普通高校图书馆评估工作的意见〉,
2002年教育部颁发〈普通高校图书馆规程〉,
2003年教育部高校图工委发布〈普通高校图书馆评估指标(征求意见
稿〉,2006年续出〈修改稿〉.
1985 issued by The CPC Central Committee : Reform Decision on the
Education System to promote the evaluation practice of higher education.
1991 enacted by The State Board of Education: Decision on Carrying Out the
Work of University Library Assessment
2002 issued by The Ministry of Education: College Library Rules
2003 issued by The Working Committee of the Ministry of Education: College
Library Measurement Indicators (Exposure Draft) ,
2006 issued the Revised Edition.

ITIE2012:图书馆作为社会教育中心 中国杭州
三、图书馆评估的实践与标准
Library Assessment Practice and Standards
1993年文化部召开全国公共图书馆工作会议,次年下发〈关
于在县以上公共图书馆估定级工作的通知〉,正式启动公
共图书馆评估工作,文化部先后开展了四次
(1994/1998/2004/2009),第五次将于2013年展开。
1993 Ministry of Culture held a National Wide Library Work Conference
1994 issued Assessment and Grading work of County or above public
libraries .It officially launched assessment practices of public
libraries.
The Ministry of Culture has launched library assessment practices
for four times in 1994, 1998,2004 and 2009,and the fifth will be
commenced in 2013.
ITIE2012:图书馆作为社会教育中心 中国杭州
三、图书馆评估的实践与标准
Library Assessment Practice and Standards
 2001年国家图书馆〈国家图书馆绩效评估指标体系〉,
 2002、2008、2012年文化部三次修订了〈公共图书馆评估标准〉,
 我国科技系统的图书馆、军事院校图书馆、医院系统图书馆等参照相
关标准开展了图书馆评估的实践。





2001 Performance Measurement Indicators of National Library
Issued by National Library.
2002, 2008, 2012 Public Library Evaluation Standards revised by
Ministry of Culture for three times.
Library of science, technology, hospital system and military colleges
developed assessment practice based on professional standards.
ITIE2012:图书馆作为社会教育中心 中国杭州
四、图书馆评估的创新与趋势
Innovation and Trend of Library Assessment
 国内图书馆评估研究中存在的主要问题:
——定性分析多,定量研究少;
——指标体系系统性
——指标体系通用性不够
Main problems of present library assessment :
- Too many Qualitative analysis, and not enough quantitative
researches;
- Indicators not systemic;
- Lack of Versatility;
ITIE2012:图书馆作为社会教育中心 中国杭州
四、图书馆评估的创新与趋势
Innovation and Trend of Library Assessment
——指标选取偏重投入资源与定量指标,对产出成
效与定性指标重视不够;
——研究方法缺乏科学论证和适用性测评。
-Indicators selected emphasize on resource input, not enough on
- outcome evaluation;
-Focus on quantitative indicators, not enough on qualitative indicators ;
- Lack of reasoned research methods and needs applicability
evaluation
ITIE2012:图书馆作为社会教育中心 中国杭州
四、图书馆评估的创新与趋势
Innovation and Trend of Library Assessment
 总体评价:
国内图书馆评估研究尚未处于模仿与跟踪研
究阶段。为此需要结合国情与后发优势,在研究
范式、指标体系、方法优化、整合创新上下功夫。
Conclusion:
Library assessment study in China is still imitation and follow-up
study. Integrated and innovative efforts need to be made on
methodology and indicators.
ITIE2012:图书馆作为社会教育中心 中国杭州
四、图书馆评估的创新与趋势
Innovation and Trends of Library Assessment
图书馆评估工作与研究的发展趋势
——向图书馆全面社会价值评估的方向探索;
——从组织文化建设的层面研究评估的文化内涵;
The library assessment work and research trends
- To explore the social value assessment ;
- To study the cultural connotations of assessment in view of
organizational culture construction
ITIE2012:图书馆作为社会教育中心 中国杭州
四、图书馆评估的创新与趋势
Innovation and Trend of Library Assessment
——从管理体制改革与管理机制创新的角度,研究
图书馆评估的优化方案与实施方式;
——加大与国际图书馆界的项目合作与业务协作;
——以〈公共图书馆法〉颁行为契机,加强国内各
系统图书馆之间的共建共享。
- To research the optimization and implementation of library
assessment from the perspective of reforms in management system
and innovation of management mechanism.
- To increase the collaboration with the international libraries ;
- To strengthen the common sharing between domestic libraries taking
the opportunity of the enactment of Public Library Law
ITIE2012:图书馆作为社会教育中心 中国杭州
谢谢大家! Thank you!
 联系方式:Contact me
 许建业 Mr. Jianye XU
 南京图书馆 Nanjing Library
 南京市中山东路189号,
189 East Zhongshan Road, Nanjing,CHINA
邮编:210018 ZipCode: 210018
电话(TEL): 86-25-84356002
电邮(Email):[email protected]
ITIE2012:图书馆作为社会教育中心 中国杭州
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图书馆评估的重要性 - Evergreen Education Foundation