【作者】 李卓卓；

【导师】 肖希明；

【作者基本信息】 武汉大学 ， 图书馆学， 2009， 博士

【摘要】 进入21世纪以来,世界各国特别是欧美发达国家都将知识创新战略的实施置于国家发展的制高点,加大了对信息资源和服务保障体系的建设和投入。与此同时,伴随着现代信息技术的快速发展和应用,信息资源共享系统得到了长足发展,无论在数量上还是功能上都取得了突破性的进展,这使得信息资源共享系统绩效评估开始成为学界和业界共同关注的焦点问题。欧美等发达国家在开展广泛的图书馆业绩评估和数字资源绩效评估基础上,进行了信息资源共享系统绩效评估定量研究和实践的尝试。我国对信息资源共享系统绩效评估的探索刚刚起步,开展既符合数字环境下信息资源建设与利用规律,又适合我国国情的信息资源共享系统绩效评估研究和实践,是信息资源共享系统可持续发展的现实需要。论文在梳理和总结国内外研究和实践进展的基础上,利用绩效评估相关模型尝试构建了围绕战略发展的信息资源共享系统绩效评估理论框架和指标体系,并以CALIS为对象开展实证研究。根据调查结果,分析和发现我国当前信息资源共享系统发展中存在的不足,进而提出针对性的信息资源共享系统绩效提高策略。论文共分为7章,主要内容如下：第1章,信息资源共享系统的发展与绩效评估。信息资源共享系统的产生和发展是历史的必然。当前,在资源、服务和用户需求变化的多重驱动下,信息资源共享系统必须适应数字环境的新要求并实现战略转变。只有实现战略转移和绩效评估的有效结合、互相促进,才能推动信息资源共享系统战略目标的顺利实现。信息资源利用绩效评估和图书馆业绩评估的实践为信息资源共享系统绩效评估的开展提供了参考,信息资源共享系统绩效评估势在必行。第2章,信息资源共享系统绩效评估的方法研究和理论框架。国内外已有的信息资源共享系统绩效评估沿用了“输入—输出”模式的绩效评估方法。这种评估策略只关注系统运行的结果,却难以通过绩效评估制定系统绩效的提高策略。论文围绕系统战略目标的实施,从系统绩效的过程和结果出发,分别应用平衡计分卡、PRM理论和方法以及SCP范式对信息资源共享系统绩效进行了分析,并构建出分析模型,进而建立了面向结果及面向过程的信息资源共享系统绩效评估理论框架。第3章,信息资源共享系统绩效评估模型。论文在对不同视角下的信息资源共享系统模型的要素分析进行总结和提炼的基础上,根据第2章信息资源共享系统绩效评估理论框架,对所涉及到的要素进行合并和重组,形成了信息资源共享系统绩效评估的六大要素,即资源、成员、服务和利用、投入和产出、管理和流程、外部效益。以要素分析和专家调研相结合的方式,构建出由6项一级指标、23项二级指标构成的信息资源共享系统绩效评估指标体系,并利用层次分析法计算了各项评估指标的权重,最后设计了相应的流程实施方案。第4章,实证分析——对CALIS绩效评估的设计。在对CALIS当前发展战略分析的基础上,归纳总结当前CALIS绩效评估所需针对的问题。由于CALIS开展的评估活动缺乏整体性和系统性,也没有形成常规的评估机制,难以满足CALIS可持续发展的需要。因此,CALIS绩效评估应从CALIS战略发展的实际出发,以信息资源共享系统绩效评估模型为蓝本,设计全面系统的绩效评估内容和指标体系。第5章,实证分析——对CALIS绩效评估的实施和结果分析。利用信息资源共享系统绩效评估理论框架和模型对CALIS实施绩效评估。通过调查结果的整理和分析发现,CALIS当前绩效有待提高。计算结果表明当前CALIS绩效的优势集中在管理和流程、外部效益以及服务和利用三个方面,而投入和支出、资源是当前CALIS绩效的主要制约因素,重点对各项绩效评估指标的调查结果进行了具体的描述和分析。依据调查,指出CALIS绩效评估实施应克服的障碍和需妥善处理的两个关系,设计CALIS绩效评估模板,以实现CALIS绩效评估的规范化和常规化。最后,从绩效评估结果中所反映出的当前CALIS存在的问题出发,提出了CALIS应从三个方面,即以用户需求为导向强化共同建设、加快数字图书馆建设实现可组配式共享模式、稳定基础性投入和绩效及扩大融资渠道,解决CALIS现有的问题,全面提升CALIS绩效。第6章,提高信息资源共享系统绩效的管理机制创新。首先,从当前我国信息资源共享系统中存在的“共建”和“共享”不对等的问题出发,提出建立信息资源共享系统多模式合作机制；其次针对当前我国信息资源共享系统的战略转移和开放环境中自主发展的经营模式,从外部活动发展战略伙伴、整合战略同盟的预算以及建立危机预警和响应体系三个方面构建信息资源共享系统的风险防范机制；最后,笔者就信息资源共享系统绩效评估“投入”和“产出”的时差、后评估与过程控制等问题,提出了建立绩效评估协作机制的设想,“以评促建”、促进系统的可持续发展。第7章,结语。对全文进行梳理,提炼观点,并提出文中的不足之处以及对今后研究方向的展望。本文系国家社会科学基金项目“文献资源共享系统的绩效评估研究”(项目编号：08BTQ030)的主要研究成果。(表27,图37)更多还原

【Abstract】 Since entering the 21st century, the implementation of knowledge innovation strategic has been considered as the prior development in all countries especially for Euro-American countries. As a result, the investment in the construction of information resource and service guarantee system has been increased year by year. At the same time, the rapid development and applications of the modern information technologies are accelerating the evolution of information resource sharing system, both in quantities and functions. Accordingly, performance evaluation of information resource sharing system has been paid more and more attention in academic circles, as well as the practice. The quantitative analysis and practical attemptation of performance evaluation of information resource sharing system is experimented in Europe and the United States, which is based on the wide practice of library performance evaluation and digital resource performance evaluation. While in our country the similar studies are just at the beginning, the exploration of evaluation which is the realistic need of the sustainable development of information resource sharing system, should accord with the rules of collection development and utilization in the digital environment, as well as adapting to our national conditions.Based on summarizing the research and practice of home and aboard, this dissertation focuses on strategic development of information resource sharing system and constructs the corresponding performance evaluation theoretical framework and indicator system using correlative performance evaluation methods and models. On the basis of survey on CALIS, the dissertation takes further empirical research on the questions of information resource sharing system development in our country. According to the survey results, the tactics of improving information resource sharing system performance are put forward to the questions. Its main ideas are as follows:Chapter 1 Evolution of information resource sharing system and the performance evaluationThe appearance and development of information resource sharing system has historic inevitability. Currently, driven by change of resource, service and users’need, information resource sharing system has to achieve strategic transformation in order to accommodate the new demand in the digital environment. For this reason, it is necessary to combine strategic transformation with performance evaluation. At the same time, the practice of library performance evaluation and digital resource performance evaluation take ready for the performance evaluation of information resource sharing system consequently.Chapter 2 The method and theoretical framework of performance evaluation of information resource sharing systemThe "input-output" model is the most common performance evaluation method in the research of information resource sharing system performance evaluation, which focuses on nothing more than the system operating result and hardly provides suggestion to improve performance through evaluating. In the orientation of strategic target realization, the research pays attention to both the system process and result, using the methods of balanced scorecard-measures, PRM and SCP model to analyze the performance of information resource sharing system, and then establish the theoretical framework of information resource sharing system both facing result and process.Chapter 3 The model of performance evaluation of information resource sharing systemOn the basis of the analyzing and summarizing of the elements of the information resource performance evaluation sharing system in different perspectives, six elements of the model are brought forward through consolidation and recomposition the correlatively elements in the theoretical framework of information resource sharing system performance evaluation, which are resource, member, service and utilization, investment and expenditure, management and process and external benefit. By the combinative way of element analysis and specialist survey, the indicator system of the information resource performance evaluation is brought forward, which is composed of 6 first degree indicators and 23 second degree indicators. And then, the weight of each indicator is calculated by analytic hierarchy process and the corresponding performance evaluation flow is designed.Chapter 4 Empirical research:design the performance evaluation of CALISThe problems that the performance evaluation of CALIS aims at are induced, following the analysis of CALIS currently strategic development analysis. It is difficult for the existing evaluation to support the ongoing strategic development of CALIS, because the short of holistic and systemic performance evaluation indicator system and relevant routine evaluation mechanism. For these reasons, it is important for CALIS to design a comprehensive performance evaluation indicator system which supports the CALIS strategic development, according to the model of information resource sharing system performance evaluation.Chapter 5 Empirical research:performance evaluation implementation and result analysis of CALIS This section states how to use the theoretical framework and model of information resource sharing system of performance evaluation in the practical implementation of CALIS performance evaluation. The result shows that the performance of CALIS should be improved pressingly. The dominance of CALIS performance centralizes on management and process, external benefit and service and utilization, meanwhile, investment and expenditure as well as resource are the most restricted factors of CALIS performance. And then the detailed description and analysis of each performance evaluation indicator are followed, based on which, there are some drawbacks that should be overcome and two relationships should be appropriately treated with. The performance evaluation template is useful for the standardization and reutilization of performance evaluation implementation of CALIS. Targeting at the problems discovered through the survey, the performance improvement of CALIS should carry out the following points:firstly, strengthen cooperative construction in the orientation of users’ need; secondly, accelerate digital library building and fulfill the collocated sharing model; thirdly, maintain foundational investment and performance, at the same time, widen the financing channel.Chapter 6 The innovation of management mechanism that improve the information resource sharing system performanceFirst of all, information resource sharing system should establish multi-mode cooperation mechanism to eliminate the imbalance between "cooperative building" and "sharing". Secondly, aiming at the status of the ongoing strategic transformation and the model of self-determinate development of information resource sharing system in the open environment, a risk guarantee system should be set up mainly in the aspects of cultivating strategic fellows through external activity, integrating the budget of strategic coalition, and set up crisis alarm and response system; last but not least, the establishment of performance evaluation collaboration mechanism will settle the problem of the time lag between the "investing" and "output", and make the performance evaluation double as result evaluation and process control, so as to advance the building efficiency and fulfill the sustainable development of information resource sharing system.Chapter 7 ConclusionThis section summarizes the research of the dissertation, points out limitations of research, and at last puts forward the study plans for the near future research.This dissertation is the primary research production of "Performance Evaluation of Information Resource Sharing System", which is National Social Science Fund Project(No.08BTQ030).(table 27, figure 37)更多还原