ISO/TR 28118:2009

TECHNICAL ISO/TR
REPORT 28118
First edition
2009-04-01

Information and documentation —
Performance indicators for national
libraries
Information et documentation — Indicateurs de performance des
bibliothèques nationales




Reference number
ISO/TR 28118:2009(E)
©
ISO 2009

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ISO/TR 28118:2009(E)
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ISO/TR 28118:2009(E)
Contents Page
Foreword .iv
Introduction.v
1 Scope.1
2 Terms and definitions .1
3 Use of performance indicators .10
3.1 General considerations.10
3.2 Selection of performance indicators.11
3.3 Limitations of performance measurement .11
4 Descriptive framework.12
4.1 Presentation of the performance indicators.12
4.2 Description of the performance indicators.12
5 List of performance indicators for national libraries.13
Annex A (informative) Description of performance indicators .15
Annex B (informative) Mission and main goals of national libraries.78
Annex C (informative) Collecting the national part of the Internet .80
Bibliography.84
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ISO/TR 28118:2009(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies
(ISO member bodies). The work of preparing International Standards is normally carried out through ISO
technical committees. Each member body interested in a subject for which a technical committee has been
established has the right to be represented on that committee. International organizations, governmental and
non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the
International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.
International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.
The main task of technical committees is to prepare International Standards. Draft International Standards
adopted by the technical committees are circulated to the member bodies for voting. Publication as an
International Standard requires approval by at least 75 % of the member bodies casting a vote.
In exceptional circumstances, when a technical committee has collected data of a different kind from that
which is normally published as an International Standard (“state of the art”, for example), it may decide by a
simple majority vote of its participating members to publish a Technical Report. A Technical Report is entirely
informative in nature and does not have to be reviewed until the data it provides are considered to be no
longer valid or useful.
Attention is drawn to the possibility that some of the elements of this document may be the subject of patent
rights. ISO shall not be held responsible for identifying any or all such patent rights.
ISO/TR 28118 was prepared by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 8, Quality — Statistics and performance evaluation.
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ISO/TR 28118:2009(E)
Introduction
This Technical Report is concerned with the evaluation of the performance of national libraries.
For several years, national libraries have felt the need to get consensus on a common list of relevant
performance indicators for assessing the quality and performance of their services. Several groups, e.g. within
the IFLA Section of National Libraries and CENL (Conference of European National Libraries), have tried to
assess the present use of performance measurement in national libraries and discussed possible
performance indicators, preferably using performance indicators in existing handbooks and standards.
The second edition of ISO 11620 (see Reference [5] in the Bibliography) establishes a list of performance
indicators for libraries that include performance indicators for electronic library services. ISO 11620 aims at
comprising performance indicators for all types of libraries, but does not cover all tasks and services of every
type of library. This Technical Report establishes the list of performance indicators that are relevant to the
special tasks and services of national libraries.
National libraries have important tasks that differ from those of other libraries, such as the collection and
preservation of the national documentary heritage, the publication of a national bibliography and a leading role
in international cooperation. Therefore, it is important that performance indicators for national libraries
consider topics such as
⎯ the coverage of the national imprint (print and electronic),
⎯ the speed and comprehensiveness of the national bibliography,
⎯ the effort for preserving the national documentary heritage, and
⎯ the international engagement of the library.
National libraries are unique institutions in their countries, and their data are not easily comparable. The main
problems for measuring performance in national libraries are the following.
a) National libraries can have several functions (e.g. university and national library, parliamentary and
national library).
b) There can be more than one national library in one country.
c) National libraries have no specified clientele or primary user group like public or university libraries.
Therefore, output data cannot be set in comparison to “members of the population”.
d) Mission, tasks and functions of national libraries can differ between countries.
This Technical Report selects performance indicators from ISO 11620 that are appropriate to the tasks of
national libraries or can be adapted to such tasks. Additionally, it presents new performance indicators that
have been used or tested by a national library and that cover the topics not considered in ISO 11620.
This Technical Report provides standardized terminology and definitions for data to be used in the
performance indicators. Furthermore, this Technical Report contains concise descriptions of the performance
indicators, of the collection and the analysis of data needed, and of examples where the performance
indicators have been used.
Annex B describes all efforts of assessing the quality and performance of an institution by starting with the
statement of the general mission and tasks established for their national library.
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ISO/TR 28118:2009(E)
Some national libraries have started creating collections based on national elements found on the Internet. As
it is too early to describe performance indicators for this activity, a short overview of methods and quality
issues is given in Annex C.
Texts in this Technical Report are partly based on ISO 11620.
Throughout this Technical Report, the names of performance indicators are printed with the first letter of
significant words capitalized, e.g. Percentage of the Collection in Stable Condition. This helps to distinguish
these names from supporting text.

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TECHNICAL REPORT ISO/TR 28118:2009(E)

Information and documentation — Performance indicators for
national libraries
1 Scope
This Technical Report establishes the performance indicators for national libraries. It is also applicable to
libraries with regional tasks and without a defined population to be served, as many of their evaluation
problems correspond to those of national libraries.
The performance indicators are of special interest for comparison over time within the same library.
Comparisons between libraries are possible, if differences in the tasks and constituencies of the libraries are
taken into account.
This Technical Report does not include performance indicators for evaluating the outcomes or impact of
library services either on individuals, on the communities that libraries serve, or on society at this time. Since
this is an evolving area of performance measurement for libraries, such performance indicators can be added
at a later date.
This Technical Report is not intended to exclude the use of any performance indicators which have not been
specified herein.
2 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
2.1
accessibility
ease of reaching and using a service or facility
[ISO 11620:2008, definition 2.1]
2.2
active user
registered user who has visited or made use of library facilities or services during the reporting period
NOTE This can include the use of electronic library services within or outside the library.
[ISO 2789:2006, definition 3.3.2]
2.3
book
non-serial printed document in codex form
[ISO 2789:2006, definition 3.2.5]
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ISO/TR 28118:2009(E)
2.4
capital expenditure
expenditure which results in the acquisition of, or addition to, fixed assets
NOTE 1 This includes expenditure on building sites, new buildings and extensions, furnishings and equipment for new
and expanded buildings, computer systems (hardware and software), etc. When applicable, local and national
sales/purchase taxes [e.g. Value Added Tax (VAT)] are included.
NOTE 2 Adapted from ISO 2789:2006, definition 3.5.1.
2.5
closed stacks
stacks normally not accessible to users
2.6
conservation
intervention techniques applied to prevent, arrest or delay deterioration
[ISO 5127:2001, definition 6.1.03]
2.7
content downloaded
content unit that is successfully requested from a database, electronic serial or digital document
[ISO 2789:2006, definition 3.3.3]
2.8
content unit
computer-processed uniquely identifiable textual or audiovisual piece of published work that may be original or
a digest of other published work
NOTE 1 Adapted from the definition of “item” in COUNTER code of practice, Release 2:2004.
NOTE 2 Descriptive records are excluded.
NOTE 3 PDF, Postscript, HTML and other formats of the same content unit will be counted as separate items.
[ISO 2789:2006, definition 3.2.9]
2.9
cultural event
event with cultural, literary, educational, or scholarly intent, e.g. exhibitions, author visits, literary discussions,
workshops, etc.
NOTE 1 Only events arranged by the library are included. Events inside the library premises organized by institutions
outside the library are excluded.
NOTE 2 User training lessons organized by the library are excluded.
2.10
database
collection of electronically stored descriptive records or content units (including facts, full texts, pictures, and
sound) with a common user interface and software for the retrieval and manipulation of the data
NOTE 1 The units or records are usually collected with a particular intent and are related to a defined topic. A database
can be issued on CD-ROM, diskette, or other direct-access method, or as a computer file accessed via dial-up methods or
via the Internet.
NOTE 2 Licensed databases are counted separately even if access to several licensed database products is effected
through the same interface.
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ISO/TR 28118:2009(E)
NOTE 3 A common interface providing access to a packet of serials or digital documents, usually offered by a
publisher or vendor, is also to be counted as database. Additionally, the single serials or digital documents should be
counted as serials or digital documents.
[ISO 2789:2006, definition 3.2.10]
2.11
digital document
information unit with a defined content that has been digitized by the library or acquired in digital form as part
of the library collection
NOTE 1 This includes eBooks, electronic patents, networked audiovisual documents and other digital documents, e.g.
reports, cartographic and music documents, preprints, etc. Databases and electronic serials are excluded.
NOTE 2 Items incorporated in databases are excluded.
NOTE 3 A digital document can be structured into one or more files.
NOTE 4 A digital document consists of one or more content units.
NOTE 5 Adapted from ISO 2789:2006, definition 3.2.12.
2.12
document
recorded information or material object, which can be treated as a unit in a documentation process
[ISO 5127:2001, definition 1.2.02]
NOTE Documents can differ in their physical form and characteristics.
2.13
document processing
everything done to a document after it is acquired by a library, before it is placed on the shelves or, in the case
of an electronic document, on the server, including acquisition, descriptive cataloguing, subject indexing, if
applicable binding, physical processing, and shelving
2.14
document retrieval
process of recovering specific documents from a store
[ISO 5127:2001, definition 1.2.06]
2.15
download
successful request of a descriptive record or content unit, e.g. for displaying, printing, saving, or emailing
NOTE For web server logs, successful requests are those with specific return codes, as defined by NCSA (National
Center for Supercomputing Applications).
[ISO 2789:2006, definition 3.3.4]
2.16
effectiveness
measure of the degree to which given objectives are achieved
NOTE An activity is effective if it maximizes the results it was established to produce.
[ISO 11620:2008, definition 2.14]
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ISO/TR 28118:2009(E)
2.17
efficiency
measure of the utilization of resources to realize a given objective
NOTE An activity is efficient if it minimizes the use of resources, or produces better performance with the same
resources.
[ISO 11620:2008, definition 2.15]
2.18
electronic resource
all resources in electronic form in the library collection
NOTE 1 See also ISO 2789:2006, A.2.3.
NOTE 2 Electronic resources include databases, electronic serials, digital documents, and computer files. Free Internet
resources which have been catalogued by the library in its online catalogue or a database are excluded.
2.19
electronic service
electronic library service, which is either supplied from local servers or accessible via networks
NOTE Electronic library services include the online catalogue, the library website, the electronic collection, electronic
document delivery (mediated), electronic reference service, user training on electronic services and Internet access
offered via the library.
[ISO 2789:2006, definition 3.3.6]
2.20
evaluation
process of estimating the effectiveness, efficiency, utility and relevance of a service or facility
[ISO 11620:2008, definition 2.17]
2.21
full-time equivalent
FTE
a measurement equal to one staff member working a full-time work schedule for one year
EXAMPLE If out of three persons employed as librarians, one works quarter-time, one works half-time, and one
works full-time, then the FTE of these three persons would be 0,25 + 0,5 + 1,0 = 1,75 librarians (FTE).
NOTE Not all libraries may use the same number of hours per year to determine an FTE. Thus, any comparative
measures between libraries may need to consider any differences in hours.
[ISO 11620:2008, definition 2.21]
2.22
goal
desired state of affairs to be achieved by the implementation of agreed policies
[ISO 11620:2008, definition 2.22]
2.23
home page
page which serves as the visual unit that is displayed when accessing the library’s website
NOTE 1 The home page may appear after the redirection through an entry page.
NOTE 2 See ISO 2789:2006, A.5.3.4.
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ISO/TR 28118:2009(E)
2.24
income generated
income generated by library operations and from fees, charges, subscriptions and donations that is available
to the library for expenditure
NOTE See ISO 2789:2006, 6.5.3.
2.25
indicator
expression (which may be numeric, symbolic or verbal) used to characterize activities (events, objects,
persons) both in quantitative and qualitative terms in order to assess the value of the activities characterized,
and the associated method
NOTE Adapted from ISO 11620:2008, definition 2.23.
2.26
information request
reference enquiry
information contact that involves the knowledge or use of one or more information sources (such as printed
and non-printed materials, machine-readable databases, the library's own and other institutions' catalogues)
by library staff
NOTE 1 Adapted from ANSI/NISO Z39.7-2004.
NOTE 2 The information request can also involve recommendations, interpretation, or instruction in the use of such
sources.
NOTE 3 One information request may address several questions.
NOTE 4 The request can be delivered personally or by means of telephone, regular mail, fax or electronic media (via
email, the library website or other networked communications mechanisms).
NOTE 5 It is essential that libraries do not include directional and administrative enquiries, e.g. for locating staff or
facilities, regarding opening times or about handling equipment such as reader printers or computer terminals.
NOTE 6 Enquiries are also excluded, if asked for the purpose of locating items of stock that have already been
identified bibliographically.
NOTE 7 Adapted from ISO 2789:2006, definition 3.3.9.
2.27
in-house use
documents taken by a user from open access stock for use on the premises
NOTE In-house use includes browsing at the shelves in the sense of a short investigation of the contents, but
excludes looking at the titles only for selecting material.
[ISO 2789:2006, definition 3.3.10]
2.28
ILL
interlibrary lending
loan of a document in its physical form or delivery of a document, or part of it, in copied form, from one library
to another which is not under the same administration
NOTE Mediated transmission of documents in electronic form is counted as electronic document delivery.
[ISO 2789:2006, definition 3.3.11]
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ISO/TR 28118:2009(E)
2.29
library collection
all documents provided by a library for its users
NOTE 1 Comprises documents held locally and remote resources for which permanent or temporary access rights
have been acquired.
NOTE 2 Access rights can be acquired by the library itself, by a consortium and/or through external funding.
NOTE 3 Acquisition is to be understood as deliberately selecting a document, securing access rights and including it in
the online catalogue or other databases of the library. Interlibrary lending and document delivery are excluded.
NOTE 4 Does not include links to Internet resources for which the library has not secured access rights by legal
agreements (e.g. legal deposit right), license or other contractual and/or cooperative agreement. Free Internet resources
which have been catalogued by the library in its online catalogue or a database need to be counted separately.
[ISO 2789:2006, definition 3.2.22]
2.30
library employee
person who works for a library in return for payment
[ISO 2789:2006, definition 3.6.1]
2.31
library website
unique domain on the Internet consisting of a collection of web pages that is published by a library to provide
access to the library’s services and resources
NOTE 1 The pages of a website are usually interconnected by the use of hypertext links.
NOTE 2 Excludes documents that fit the definitions of electronic collection and free Internet resources that can be
linked from the library website.
NOTE 3 Excludes web services in the library’s domain that are operated on behalf of other organizations.
[ISO 2789:2006, definition 3.3.13]
2.32
loan
direct lending or delivery transaction of an item in non-electronic form (e.g. book), of an electronic document
on a physical carrier (e.g. CD-ROM) or other device (e.g. eBook reader), or transmission of an electronic
document to one user for a limited time period (e.g. eBook)
NOTE 1 Loans include user-initiated renewals as well as registered loans within the library (on-site loans). Renewals
need to be counted separately.
NOTE 2 Loans include copied documents supplied in place of original documents (including fax) and printouts of
electronic documents made by library staff for the user.
NOTE 3 Loans of documents in physical form to distance users are included here.
NOTE 4 Mediated electronic transmission of documents is counted as electronic document delivery if their use is
permitted for unlimited time. This includes transmissions to members of the population to be served.
[ISO 2789:2006, definition 3.3.14]
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ISO/TR 28118:2009(E)
2.33
mass conservation
simultaneous treatment of a large number of documents by automated conservation techniques
[ISO 5127:2001, definition 6.7.36]
2.34
mission
statement approved by the authorities formulating the organization's goals and its choices in services and
product development
[ISO 11620:2008, definition 2.28]
2.35
national bibliography
bibliography in which documents published in a single country are recorded and described
NOTE In some countries, the national bibliography also covers foreign publications relative to the country and also
the works by their nationals which are published abroad.
[ISO 9707:2008, definition 2.21]
2.36
national collection
the national library’s collection of the national imprint and the national documentary heritage in the form of
manuscripts, archival materials, cartographic material, printed music documents, pictures, photographs and
audiovisual documents in conventional or electronic format
NOTE Websites can be part of the national collection.
2.37
national imprint
all documents in all formats published in a country
NOTE Includes commercial and non-commercial publications.
2.38
national library
library that is responsible for acquiring and conserving copies of all relevant documents in the country in which
the library is located; it can function as a legal deposit library
NOTE 1 Adapted from ISO 5127:2001, definition 3.2.02.
NOTE 2 A national library will also normally perform some or all of the following functions: produce the national
bibliography; hold and keep up-to-date a large and representative collection of foreign literature including documents
about the country; act as a national bibliographic information centre; compile union catalogues; supervise the
administration of other libraries and/or promote collaboration; coordinate a research and development service, etc.
2.39
non-commercial publications
documents in print and electronic format published by non-profit institutions, such as reports, theses and
dissertations, conference proceedings etc., often not available through normal book trade channels
2.40
objective
specific target for an activity to be attained as a contribution to achieving the goal of an organization
[ISO 11620:2008, definition 2.29]
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ISO/TR 28118:2009(E)
2.41
online catalogue
database of bibliographical records describing the collection usually of one particular library or library system
[ISO 2789:2006, definition 3.3.15]
2.42
operating expenditure
ordinary expenditure
expenditure incurred in the running of a library
NOTE Money spent on staff and on resources that are used and replaced regularly. This includes expenditure on
employees, rent, acquisitions and licensing, binding, computer network (operations and maintenance), telecommunication,
building maintenance, repair or replacement of existing furnishings and equipment, etc. This can also be termed 'current'
or 'recurrent' expenditure. When applicable, local and national sales/purchase taxes [e.g. Value Added Tax (VAT)] are
included.
[ISO 2789:2006, definition 3.5.3]
2.43
performance
effectiveness of the provision of services by the library and the efficiency of the allocation and use of
resources in providing services
[ISO 11620:2008, definition 2.30]
2.44
performance indicator
numerical, symbolic or verbal expression, derived from library statistics and data used to characterize the
performance of a library
[ISO 11620:2008, definition 2.31]
2.45
preservation
all measures taken including financial and strategic decisions, to maintain the integrity and extend the life of
documents or collections
[ISO 5127:2001, definition 6.1.01]
2.46
publication
document offered for general distribution and usually produced in multiple copies
[ISO 5127:2001, definition 2.1.11]
2.47
rare material
incunabula, books published before 1800, manuscripts (including fragments and rolls, autographs, music
manuscripts)
NOTE The definition excludes archives and records concerning private persons, institutions and organizations
(collections containing manuscripts, letters, notes, photos, and other material given by bequest to the library or purchased
as such by, or on behalf of, the library).
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2.48
restoration
actions taken to return a document which has suffered deterioration or damage as closely as practicable to its
original state
NOTE In archival restoration, no attempt is made to recreate missing text, etc., and all restoration work is kept clearly
evident.
[ISO 5127:2001, definition 6.1.04]
2.49
seat
seat provided for users for reading or studying, whether with or without equipment
NOTE Includes seats in carrels, in seminar and study rooms and the audiovisual and children's departments of the
library. Excludes seats in halls, lecture and auditory theatres intended for audiences of special events. Also excludes floor
space on which users may sit and similar informal seating.
[ISO 2789:2006, definition 3.4.5]
2.50
special grant
grant of a non-recurrent nature to fund (or partly fund) projects
[ISO 2789:2006, definition 3.5.4]
2.51
stable condition
suitability for use
NOTE Stable material may have some damage but can be used without immediate risk of further damage. Unstable
material will be further damaged if used.
2.52
storage
preservation measures for keeping documents under defined conditions and permitting their retrieval or that of
the information contained in them
[ISO 5127:2001, definition 6.1.08]
2.53
title
words at the head of a document thus identifying it and normally distinguishing it from others
[ISO 5127:2001, definition 4.2.
...