Topic 3: Performance Measurement and Management

第三讲：绩效评估与管理Ellen R. Tise

Content内容 Introduction 概论 Reasons for Performance Management 绩效管理的原因 Terminology 术语 Performance Indicators 绩效指标 Critical Success Factors 决定性的成功因素 Examples 例子 PM Strategies for Libraries 图書馆绩效管理的策略

Introduction概论Libraries always gathered statistical data

图书馆经常收集统计数据They did not however, ask themselves about the validity, usefulness and benefit of collecting that data

但从来不会询问收集该数据的有效性 , 有用性与益处Librarians a problem for years to depict library services as vital

如何描述图书馆服务的重要性，是图书馆员多年来面临的问题

Introduction概论 There is no magic key to success(Hernon & Altman,

1996)

没有神奇钥匙去达到成功 (Hernon & Altman, 1996) No single measure that may usefully employed 没有一种措施可以被有用地采用 Multiple feedback collection mechanisms are needed

需要多种收集意见的机制 Changes in perception of what makes a ‘quality’

library

对怎样能成为一间 “优质”图书馆的观感有所改变

Introduction概论 About 关于 ‘How good is the library?’ ‘图书馆有多好 ?’ Issues include quality, effectiveness, efficiency,

economy, and increasingly, equity 问题包括质量 , 成效 , 效率 , 经济和日益重要的平等权益 ‘How much good does the library do?’

图书馆做得有多好 ? Central concepts are those of impact, outcomes and

value

影响 , 结果与价值皆是中心概念

Reasons for Performance Management绩效管理的原因 To demonstrate quality in library service performance

展示图书馆服务业绩的质量 To obtain feedback from our users, concerning our service

provision

获得读者对我们提供的服务之反应 Call for accountability 讲求责任 Transparency 透明度 To show mission relevance 展示与使命的相关性 Increasingly important on the policy agenda when competing for

funding

成为图书馆竞逐經費時，日益重要的政策议程 Measure the impact library and information services have on

their communities

量度图书馆与信息服务对其社区的影响

No agreement on the definition of quality对质量的定义没有共同的协议

Terminology术语

Quality质量British Standards Institution defines quality as:[…] the totality of features and characteristics of a product or service that bear on its ability to meet stated or implied needs. 英国标准机构把品质界定为 :

… 关乎一种产品或服务是否能够满足明显或隐含的需要的总体特点和特性。

Performance绩效

“Performance may be defined as carrying things through in due form”绩效可定义为透过适当的形式来从事工作

Benchmarking 基准“Benchmarking is the comparison and review of service performance or processes against best-in-class organizations. The aim is to identify and implement possible areas for improvement. Benchmarking is an inherent concept of the self-assessment process.”基准制定是参照其他一流的机构对服务业绩或过程作出比较与检讨。目标是找出和执行有机会改善的地方。基准制定是自我评估过程的固有概念 .

Quality Management 质量管理‘Quality Management is that aspect of the overall function that determines and implements quality policy’质量管理是总体功能中決定和执行质量政策的方面

Performance indicators – Measures for Quality in SA HE

Libraries 绩效指标–南非 HE 图书馆质量评估 Based on measures collected by ARL, CAUL

& SCONUL 是基于從 ARL, CAUL 与 SCONUL 收集出来的度量标准 Prepared by the Quality Assurance Subcommittee of Committee for Higher Education Librarians of South Africa (CHELSA) 由 CHELSA 质量保证分委会 准备 3 Drafts – agreement by all members 三份草稿 – 由所有成员协定

Performance Indicators 绩效指标 1. Provision of stock 库存供應 Volumes in Library 馆藏册数 Titles in Library 馆藏种数 Other Library Materials 其他图书馆资料 Archives & Manuscripts

– in metres 档案与手稿 –用米计算

Performance Indicators 绩效指标 2. Annual additions to stock 每年新增库存 Monographic volumes added 新增专著册数 Monographic volumes purchased 购买专著册数 Monographic titles added 新增专著种数 Monographic titles purchased 购买专著种数 Other library materials added 新增其它图书馆资料 Disposal and written off 弃置和注销

Performance Indicators 绩效指标

3. Subscriptions to Electronic and Continuing resources 订阅电子和连续資源 Number of serials received by subscription 从订阅中取得的期刊数目 print items only 只有印刷本 electronic form only 只有电子版本 print & electronic form 印刷与电子版本 Number of electronic databases received by subscription 从订阅中取得的电子数据库数目 Electronic books 电子书

Performance Indicators 绩效指标

4. Study places/facilities 学习地方 / 设备 Total number of study places

in the library 图馆學习座位的总数 Number of open access

workstations in the library 图书馆开放式计算机的数目 Total number of study places

under library management 图书馆管理下的学习座位 的总数

Computers for staff 给员工用的计算机5. Number of Libraries Space 图书馆空间的数目6. Hours open per year 每年的开放时间

Performance Indicators 绩效指标

7. Clientele 用户 Number of academic staff (FTE) 教学员工数目 (FTE) Number of students (FTE) 学生數目 (FTE) Number of registered external 已登记的外来使用者数目 users 8. Library Staff 图书馆员工 Professional staff 专业员工 Support staff 支援员工 Student assistants 学生助理9. Use of Library Services 使用图书馆服务 Circulation: Total number of Loans 流通部 : 借出的总数

Performance Indicators 绩效指标Number of Reserve Collection 指定参考书的数目Loans 借出Inter-library Loans: Requests for material 馆际互借 : 资料需求

Number of int. requests for material 海外需求资料的数目Inter-library Loans: 馆际互借Material received 收到的资料Material received internationally 从海外收到的资料

Information Literacy/User 信息素养 / 读者Education 教育Presentations to Groups 小组报告

Performance Indicators绩效指标Participants in Group Presentations 参与小组报告的人数Reference transactions 参考咨询Electronic Transactions 电子咨询

Number of successful accesses to electronic books 成功 能使用电子书的

数目10. Expenditure 经费 Staff salaries and wages 员工薪金和工資 Information Provision and Access Information Technology Expenses 资讯提供和使用，资讯科技的费用All other Operations 所有其他方面的运作

Self-review guide 自我检讨指南The self-review guide is a common framework of indicators that will both assist libraries with their self-review processes and provide benchmarks against which to measure performance.

自我检讨指南是共同的指标框架，有助于图书馆自我检讨过程，并为绩效评核提供基准。 

大学图书馆自我检讨指南2006

Self-review guidelines 自我检讨指引1. Provide the Library with the opportunity to

draw attention to its significant achievements (strengths), opportunities for improvement, and assessment processes, examine the evidence it has that it is addressing the needs of its users and to highlight the areas where further improvement might be needed.

为图书馆提供一个机会去关注自己的重要成就( 强项 ), 改善机会和评核过程。检验证据，解决读者的需要和突出需要进一步改善的地方。

Self-review guidelines自我检讨指引2. To enable the Library to reflect on its own priorities

and activities and thereby assure itself, its stakeholders and the University that its policies, systems and processes for the development, maintenance and enhancement of quality in teaching and learning, research and community engagement are functioning effectively;

能帮助图书馆去反思其各项工作的重要性与活动 ，由此向图书馆自身 , 其利益关系人和大学保证，图书馆的政策，工作系统和流程，在发展 , 维护和提高教学研究的质素以及社区参与中有效地发挥作用。

Self-review guidelines 自我检讨指引3. To enable the Library and the University to

identify areas of strength and excellence as well as areas in need of focused attention for improvement in the short, medium and long term;

使图书馆和大学识别其较强和优胜的 , 及需集中焦点注意在短期、中期和长期需要改善的地方。4. To enable the University to assess/evaluate the

overall status of quality management of its libraries.

帮助大学去評估图书馆在质量管理的整体地位

Self-review process 自我检讨过程1. Library and Information Services (LIS) at HEIs to conduct

self-reviews and to produce self-review reports on the management of quality in their libraries.

在 HEIs 的图书馆与资讯服务 (LIS) 系統进行自我检讨，提交图书馆品质管理的自我检討报告 The purpose of a self-review exercise is to carry out an

evidence-led self-reflection by the Library. The process should involve self-review, peer-review and benchmarking.

自我检讨的目的是让图书馆进行以基于证据的自我反思。过程须包括自我检讨、同辈检讨与基准评核。

Peer-review 同辈检讨A proposed external panel of peers to verify/substantiate/corroborate/validate the claims and conclusions in self-review reports on the basis of evidence submitted and derived from site visits, interviews and additional documentation.推荐外来同辈小组查证 / 证实 /确证 /验证以证据为基础的自我检讨报告中所作出的声明和总结，这些证据乃从参观网站，访问与额外的文件得出和提交。

Benchmarking基准 Benchmarking and user surveys have been recognised

by the HEQC as important in the “process of planning and setting of priorities for quality development and enhancement”

HEQC 已承认基准与读者调查在计划过程与建立质量发展和改善的优先次序中的重要性。 Benchmarking practices and regular user surveys are

essential tools in the assessment of quality in library and information services at institutions of higher education in South Africa.

在南非高等教育学院 , 实践基准和定期的读者调查是评价图书馆与资讯服务质素的必然工具

Critical Success Factors 决定性的成功因素Self-assessments of LIS may be structured according to the evaluative stages of Inputs → Processes → Outputs → Outcomes → Review. These stages may be interpreted in terms of the following “seven critical success factors” (Kinnell, Usherwood & Jones, 1999:123) which together could generate a comprehensive view of the quality of LIS at a particular institution:图书馆与资讯服务的自我评估可根据输入→处理→ 输出→结果→检讨等的评估阶段构成。这些阶段可以下列“七种决定性的成功因素” (Kinnell, Usherwood & Jones, 1999:123) 解释，这些因素一起应用可产生一种关于一特定机构的图书馆与资讯服务质量的全面观念。

Mission statementGoalsValues

StrategicplansPoliciesCodes of practiceStaff manuals & instructions

E-ResourcesBooks,journalsDataMaterials & equipmentStaff SpaceInfrastructure

Portal & Repository developmentAcquiringOrganising Storing (physical & electronic) Circulation Ref EnquiriesILLInfo Literacy

Documents,InformationorServicesreceived

Client experience

AuditsSurveysComplaints

Satisfied / Info.fluentusersMeeting targets Meeting quality standards

Review performanceSet higher standardsDevelop new services

Investigate problemsPrevent recurrence

Limit damageCorrect action

Manage-ment Quality assurance

Inputs Processes Outputs Outcomes

Review & Feedback

Critical Success Factors 决定性的成功因素 Integration 整合 Resources 资源 Human resources 人力资源 Processes 过程 Access 使用 Service Quality 服务质量 Review and feedback. 检讨和反应

SU Library and Information Service Quality Framework SU 图书馆与资讯服务质量结构

Purpose of the QA system 质量保证系统的目的 OA Committee 质量保证委员会 Benchmarking 基准 LibQUAL/Focus Groups LibQUAL/ 焦点小组 Balance Scorecard 平衡记分卡 Critical Performance Indicators 决定性的表现指标 Self-review 自我检讨 Results – good and not so good 结果 - 好与並不太好

  LibQUAL Question Cornell Curtin SU Ave

AS-1 Library staff who instill confidence in users 6.74 6.38 6.40 6.38 6.84 6.87 6.60

AS-2 Giving users individual attention 6.72 6.16 6.52 6.07 5.74 6.18 6.23

AS-3 Library staff who are consistently courteous 7.54 7.13 6.87 6.98 6.91 7.29 7.12

AS-4 Readiness to respond to users' enquiries 7.63 7.01 7.24 7.08 7.04 6.90 7.15

AS-5 Library staff who have the knowledge to

answer user questions 7.38 7.07 6.97 7.13 7.26 7.31 7.19

AS-6 Library staff who deal with users in a caring

fashion 7.32 6.89 6.92 6.58 6.70 7.00 6.90

AS-7 Library staff who understand the needs of

their users 7.26 6.89 6.79 6.83 6.85 7.05 6.95

AS-8 Willingness to help users 7.49 7.00 7.11 6.97 6.84 6.85 7.04

AS-9 Dependability in handling users' service

problems 7.24 6.82 6.96 6.73 6.77 6.86 6.90

AS average 7.26 6.82 6.86 6.75 6.77 6.92 6.90

IC-1 Making electronic resources accessible from

my home or office 7.31 6.97 6.53 6.42 6.58 6.82 6.77

IC-2 A library Web site enabling me to locate

information on my own 7.26 7.01 6.93 6.85 6.69 7.17 6.99

IC-3 The printed library materials I need for my

work 7.40 6.61 6.69 6.51 6.47 6.59 6.71

IC-4 The electronic information resources I need 7.40 6.78 6.85 6.81 6.76 6.91 6.92

IC-5 Modern equipment that lets me easily access

needed information 7.61 7.10 6.95 7.17 6.87 6.82 7.09

IC-6 Easy-to-use access tools that allow me to find

things on my own

7

.216.94 6.71 6.91 6.65 6.97 6.90

IC-7 Making information easily accessible for

independent use 7.45 6.99 6.82 6.88 6.71 7.06 6.99

IC-8 Print and/or electronic journal collections I

require for my work 7.38 6.69 6.68 6.65 6.47 6.56 6.74

IC average 7.38 6.89 6.77 6.78 6.65 6.86 6.89

LP-1 Library space that inspires study and learning 6.87 6.52 6.80 6.05 5.51 5.78 6.26

LP-2 Quiet space for individual work 7.00 6.86 6.92 6.12 5.98 6.61 6.58

LP-3 A comfortable and inviting location 7.25 6.89 7.60 6.76 6.40 5.48 6.73

LP-4 A haven for study, learning, or research 7.34 6.76 6.93 6.28 5.88 6.21 6.57

LP-5 Space for group learning and group study 6.28 6.54 6.34 6.26 5.27 5.79 6.08

LP average 6.95 6.71 6.92 6.29 5.80 5.97 6.44

Grand average 7.20 6.81 6.85 6.61 6.41 6.58 6.74

  LibQUAL Question Univ

Paris

Descarte

s

SU McGill

Univ

Univ S

Aus

Univ of Ave

AS-1 Library staff who instill confidence in users 6.95 6.31 6.73 6.62 6.41 6.83 6.64

AS-2 Giving users individual attention 6.97 5.27 6.73 6.41 6.12 6.31 6.30

AS-3 Library staff who are consistently courteous 7.58 6.47 7.27 7.29 7.04 7.48 7.18

AS-4 Readiness to respond to users' enquiries 7.58 6.49 7.46 7.39 7.00 7.45 7.22

AS-5 Library staff who have the knowledge to

answer user questions 7.59 6.55 7.32 7.34 7.16 7.35 7.21

AS-6 Library staff who deal with users in a caring

fashion 7.38 6.16 7.23 7.07 6.91 7.09 6.97

AS-7 Library staff who understand the needs of

their users 7.30 6.30 7.21 7.19 6.96 7.27 7.03

AS-8 Willingness to help users 7.53 5.68 7.36 7.30 7.00 7.38 7.04

AS-9 Dependability in handling users' service

problems 7.40 6.28 7.28 7.02 6.86 7.25 7.01

Affect of Service average 7.37 6.16 7.16 6.96 6.82 7.15 6.93

IC-1 Making electronic resources accessible from

my home or office 7.26 6.11 6.97 7.21 7.26 7.29 7.01

IC-2 A library Web site enabling me to locate

information on my own 7.25 5.98 7.10 7.12 7.17 7.47 7.01

IC-3 The printed library materials I need for my

work 7.02 5.94 7.07 6.75 6.78 6.73 6.71

IC-4 The electronic information resources I need 7.02 6.30 7.06 7.21 6.90 7.16 6.94

IC-5 Modern equipment that lets me easily

access needed information 7.35 6.59 7.19 7.36 7.30 7.43 7.20

IC-6 Easy-to-use access tools that allow me to

find things on my own

7

.156.37 7.08 7.12 7.05 7.42 7.03

IC-7 Making information easily accessible for

independent use 7.34 6.72 7.16 7.21 7.11 7.42 7.16

IC-8 Print and/or electronic journal collections I

require for my work 7.06 6.46 7.04 7.10 7.03 7.16 6.97

Information Control average 7.18 6.32 7.08 7.14 7.08 7.27 7.01

LP-1 Library space that inspires study and

learning 6.99 6.27 6.98 6.30 6.37 6.40 6.55

LP-2 Quiet space for individual work 7.17 5.65 7.04 6.49 6.47 6.77 6.59

LP-3 A comfortable and inviting location 7.34 6.39 7.66 6.66 6.99 6.69 6.95

LP-4 A haven for study, learning, or research 7.23 6.50 7.22 6.74 6.65 6.71 6.84

LP-5 Space for group learning and group study 6.92 5.68 6.82 6.15 6.72 6.43 6.45

Library as Place average 7.13 6.10 7.17 6.47 6.64 6.60 6.68

Grand average 7.25 6.21 7.14 6.96 6.88 7.07 6.91

Pao Yue-Kong Library – Critical Success Factors for the implementation of QA

system 包玉刚图书馆–执行质量保证系统的决定性成功因素 To put in place a formalized and systematic QA system to facilitate continuous improvement 使用一种正式与有系统的质量保证系统以助持续性改进 Staff commitment 员工承诺 Understanding and grooming our customers 了解与照料我们的顾客 Developing and sharing best practices 发展与分享最佳做法

PM Strategies for libraries 图书馆的表现管理策略 Libraries need to adopt a marketing orientation in measuring quality and performance 图书馆需要采用市场导向的理念来量度质量和表现 A planned approach to service delivery and the measurement of quality 运用计划方式来传送服务和量度质量 Connect evaluation of collections, resources and service to the measuring of specific outcomes 结合馆藏 , 资源和服务的评估来量度具体结果

PM Strategies for libraries 图书馆的表现管理策略 Provide more evidence to indicate libraries contribution to social impact and economic value提供更多证据来反映图书馆在社会影响与经济价值方面作出的贡献 Important to build a model that provides relevant data on different aspects of performance measurement建立一个可提供表现量度不同方面相关数据的模式的重要Important that the selection of performance indicators and outcomes must be related to library mission, goals and objectives表现指标和结果必須配合图书馆使命 , 目标和目的重要性 Led towards more serious consideration of customer views andissues, and impacts delivered or supported by libraries更慎重地考虑顾客理念和课题及其对图书馆的影响

Task! 任务 !

Develop a QA framework for your library 替你的图书馆設立一种质量保证架构 Design a QA implementation plan for your library 替你的图书馆设计一种质量保证实行计划

Thank you! 谢谢