What Can We Learn from Performance Assessment?
—The System and Practice in an Academic Library
绩效评估得失谈 ——以美国某大学为例
.
GUOQING LI, THE OHIO STATE UNIVERSITY, U.S.
美国俄亥俄州立大学图书馆
李国庆
Design/Methodology/Approach
研究方法
2

One existing PA system of a university library is presented.
以某大学图书馆为例，结合文献。

Descriptive analyses of two specific system-inherent
problems, respectively: weighting scheme of the evaluated
criteria and disqualification of the immediate supervisor as
rater, are conducted. 分析两大问题：量化失衡与主管缺席

The purpose of PA is addressed with reference to PA and pay
linkage. 与工资报酬挂钩

Circular supervision as an effective element to ultimately
eliminate individual errors in an administration is discussed.
权力制衡
Definition
定义
3

In this study, PA (performance assessment) is used to refer to the
system and practice of work performance evaluations.
绩效评估亦称考评、考绩等，指的是考察评估工作成效的机制

The PA system is the specified mechanism that is used to guide and
regulate the process of performance evaluation.

The PA practice is concerned with how PA is actually implemented and
carried out in an organization.

In the citation of literature, such terms as appraisal, evaluation, and
review are used interchangeably with assessment.
PA As A Controversial Issue (1)
有关绩效评估的争议 (1)
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Positive function 积极作用

Administrative (to assist in determining promotions,
transfers and merit compensation) 管理作用

Informative (to provide data on job performance as well as
strengths and weaknesses) 资料作用

Motivational (to create learning experiences that motivate
development) 激励作用
PA As A Controversial Issue (2)
有关绩效评估的争议 (2)
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Negative reviews: 消极作用

Manipulative, abusive, autocratic, and
counterproductive
人为操纵、滥用、独断专行，产生相反效果

Nourishes fear, encourages short-term thinking,
stifles teamwork, and is no better than lotteries
制造畏惧心里、短期计划、不利团队协作
The PA System of CL (1)
案例图书馆的绩效评估系统 (1)
Figure 1. The Dual-Track Evaluation System
Administration
行政部门
Faculty
馆员
Dean
馆长
Library Council
图书馆理事会
双轨制
AD for PS & AD for CTS ETPS Committee
副馆长
馆员评估、升等委员会
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The PA System of CL (2)
案例图书馆的绩效评估系统 (2)
Figure 2. Weighting of Categories 评估量化分类
Category 1
Librarianship
本职工作
60%
Category 2
Scholarly Activities
学术活动
10-30%
Category 3
Service
服务
10-30%
7
The PA System of CL (3)
案例图书馆的绩效评估系统 (3)
Figure 3. Descriptors and Numerical Equivalents
评分
Ratings
Descriptors
5
Outstanding 优异
4
Highly Satisfactory 杰出
3
Satisfactory 及格
2
Satisfactory Minimally 勉强及格
1
Unsatisfactory 不及格
8
The PA System of CL (4)
案例图书馆的绩效评估系统 (4)
Figure 4. The ETPS-AD Ratings 评分方法
Evaluated
Categories
ETPS*
50%
AD
50％
Final
Rating
Category 1
(60%)
4,5,5,4,4,5,5=5
5
5
Category 2
(20%)
4,4,4,3,3,4,4=4
4
4
Category 3
(20%)
3,3,4,4,4,4,3=4
4
4
9
Two System-inherent Problems (1)
两大问题 (1)

Weighting scheme of the evaluated criteria
评分设计的缺陷：工作表现统治一切
Figure 5: Rating Results from the CL PA System
Categories and Weightings
1
60%
2
10%
20%
Composite
Rating
3
30%
10%
20%
30%
5
5
5
5
5
4
4
5
5
3
4
5
4
4
5
3
5
5
5
4
10
Two System-inherent Problems (2)
两大问题 (2)

Disqualification of the immediate supervisor as rater
主管缺席
Figure 8: The Evaluatee and the Voter
Evaluatee
Vote
Associate Dean
Dean
ETPS
Department
Head
Associate Dean
ETPS
Librarian
Associate Dean
ETPS
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The Purpose of PA
绩效评估的目的
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

Do we assess to evaluate performance, or do we
assess to put people on a manipulated performance
curve, and single out a small group of prospective
merit money recipients?
只为加工资
The beliefs of the top level of administration in
the purpose of PA are a determining factor for the
success or failure of the PA process.
决定于行政主管
PA and Merit Compensation
绩效评估和报酬奖励
13


The PA ratings (regardless of their validity
level) are not the only factors that contribute
to the pay decision. 绩效评估不是决定工资调整的
唯一因素
A flawed administrative structure—lack of
circular supervision. 无权力制衡
Findings
发现
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The PA system and practice of CL are flawed by the
following:




The weighting scheme of the evaluated categories is so allocated
that the least measurable category has the overriding power.
评分设计使得最无法量化的一项占统治地位
The most qualified evaluator (the direct supervisor) is deprived
of the numeric rating vote.
最有资格做评估的人无权参与
The end ratings from the PA lead to unfair merit compensation
decisions and salary inequity.
评估结果导致不公正的报酬奖励
The system lacks a circular supervision mechanism to eliminate
undefeatable power in the administration.
缺乏权力制衡导致行政主管的绝对权力
Conclusions
结论
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In theory, a sound PA system can effectively help to
create a healthy work environment, establish nice
interpersonal relationships, encourage active work
attitude, and promote productivity. However, poorly
designed systems impose quite negative impacts on us.
How to establish and continuingly improve a
performance assessment system, therefore, is an urgent
issue that needs to be more closely examined and
adequately addressed in the library and management
literature.
成功的绩效评估机制能创造健康的工作环境，建立良好的人际关
系，鼓励积极的工作态度，促进工作成效。有缺陷的机制则有
相反的消极作用。
Questions and Comments
THANKS！
谢谢！
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