ISO TR 28118-2009 Information and documentation - Performance indicators for national libraries《信息和文献 国家图书馆用性能指示符》.pdf

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1、 Reference number ISO/TR 28118:2009(E) ISO 2009TECHNICAL REPORT ISO/TR 28118 First edition 2009-04-01 Information and documentation Performance indicators for national libraries Information et documentation Indicateurs de performance des bibliothques nationales ISO/TR 28118:2009(E) PDF disclaimer Th

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5、UMENT ISO 2009 All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or ISOs member bod

6、y in the country of the requester. ISO copyright office Case postale 56 CH-1211 Geneva 20 Tel. + 41 22 749 01 11 Fax + 41 22 749 09 47 E-mail copyrightiso.org Web www.iso.org Published in Switzerland ii ISO 2009 All rights reservedISO/TR 28118:2009(E) ISO 2009 All rights reserved iiiContents Page Fo

7、reword iv Introduction.v 1 Scope1 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 framework12 4.1 Presentation of the performance indicators.12 4.2 Desc

8、ription 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

9、80 Bibliography84 ISO/TR 28118:2009(E) iv ISO 2009 All rights reservedForeword 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 techni

10、cal 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 w

11、ith 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 Int

12、ernational 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 d

13、ifferent 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 reviewe

14、d 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 prepare

15、d by Technical Committee ISO/TC 46, Information and documentation, Subcommittee SC 8, Quality Statistics and performance evaluation. ISO/TR 28118:2009(E) ISO 2009 All rights reserved vIntroduction This Technical Report is concerned with the evaluation of the performance of national libraries. For se

16、veral 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)

17、, 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

18、 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

19、 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 bibliog

20、raphy 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 prese

21、rving 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 librarie

22、s 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

23、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.

24、 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, thi

25、s 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 wit

26、h the statement of the general mission and tasks established for their national library. ISO/TR 28118:2009(E) vi ISO 2009 All rights reservedSome national libraries have started creating collections based on national elements found on the Internet. As it is too early to describe performance indicato

27、rs 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. Perce

28、ntage of the Collection in Stable Condition. This helps to distinguish these names from supporting text. TECHNICAL REPORT ISO/TR 28118:2009(E) ISO 2009 All rights reserved 1Information and documentation Performance indicators for national libraries 1 Scope This Technical Report establishes the perfo

29、rmance 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

30、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,

31、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 no

32、t 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 faci

33、lities 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 ISO/TR 28118:2009(E) 2 ISO 2009 All rights res

34、erved2.4 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 a

35、pplicable, 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 51

36、27:2001, 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 or

37、iginal 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, defi

38、nition 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 li

39、brary 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 manipulati

40、on 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

41、 are counted separately even if access to several licensed database products is effected through the same interface. ISO/TR 28118:2009(E) ISO 2009 All rights reserved 3NOTE 3 A common interface providing access to a packet of serials or digital documents, usually offered by a publisher or vendor, is

42、 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

43、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 ex

44、cluded. 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

45、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, includ

46、ing 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

47、, 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 objec

48、tives are achieved NOTE An activity is effective if it maximizes the results it was established to produce. ISO 11620:2008, definition 2.14 ISO/TR 28118:2009(E) 4 ISO 2009 All rights reserved2.17 efficiency measure of the utilization of resources to realize a given objective NOTE An activity is effi

49、cient 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 electron