NISO RP-14-2012 NISO SUSHI Protocol COUNTER-SUSHI Implementation Profile.pdf

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1、 NISO RP-14-2012 NISO SUSHI Protocol: COUNTER-SUSHI Implementation Profile Approved: August 10, 2012 A Recommended Practice of the National Information Standards Organization Abstract: Defines a practical implementation structure to be used in the creation of reports and services related to harvesti

2、ng COUNTER reports using the NISO SUSHI Protocol. NISO RP-14-2012 About NISO Recommended Practices A NISO Recommended Practice is a recommended “best practice” or guideline for methods, materials, or practices in order to give guidance to the user. Such documents usually represent a leading edge, ex

3、ceptional model, or proven industry practice. Use of Recommended Practices are discretionary and although they may be used as stated or modified by the user to meet specific needs, a Profile Recommended Practice by its nature needs to be used in its entirety. This recommended practice may be revised

4、 or withdrawn at any time. For current information on the status of this publication contact the NISO office or visit the NISO website (www.niso.org). Published by National Information Standards Organization (NISO) 3600 Clipper Mill Road, Suite 302 Baltimore, MD 21211 www.niso.org Copyright 2012 by

5、the National Information Standards Organization All rights reserved under International and Pan-American Copyright Conventions. For noncommercial purposes only, this publication may be reproduced or transmitted in any form or by any means without prior permission in writing from the publisher, provi

6、ded it is reproduced accurately, the source of the material is identified, and the NISO copyright status is acknowledged. For permission to photocopy or use material electronically from this publication, please access or contact the Copyright Clearance Center, Inc. (CCC) at 222 Rosewood Drive, Danv

7、ers, MA 01923, 978-750-8400. CCC is a not-for-profit organization that provides licenses and registration for a variety of users. All inquiries regarding translations into other languages or commercial reproduction or distribution should be addressed to: NISO, 3600 Clipper Mill Road, Suite 302, Balt

8、imore, MD 21211. ISBN: 978-1-880124-99-4 COUNTER-SUSHI Implementation Profile NISO RP-14-2012 iii Table of Contents Foreword . v Part 1: Introduction 1 1.1 Purpose 1 1.2 Scope . 1 1.3 Principles . 1 1.4 Normative References . 1 1.5 Definitions . 2 1.6 Notational Conventions . 3 Part 2: SUSHI Impleme

9、ntation 4 2.1 XML Schema and Character Representation 4 2.2 Authentication and SOAP and other Extensions . 4 2.3 Data Element Values . 4 2.3.1 Report Names . 4 2.3.2 Date Ranges 5 2.3.3 SUSHI Exceptions 5 2.4 SUSHI Report Registry and Accessibility of Information 5 Part 3: COUNTER Report Implementat

10、ion 6 3.1 XML Schema and Character Representation 6 3.2 Reports Supported . 6 3.3 Data to Return . 6 3.3.1 Requested Usage Date Range Determines Data to Return. 6 3.3.2 Item Data Types Appropriate to the Report 6 3.3.3 Totals in the COUNTER XML . 8 3.4 Data Element Requirements 8 3.4.1 Customer Iden

11、tification 8 3.4.2 Item Identifiers . 8 3.4.3 Platform 9 3.4.4 Publisher . 9 3.4.5 Item Name (Title, Database Name, Etc.) 9 3.4.6 ItemDataType . 9 3.4.7 Publication Year . 10 3.4.8 Usage Period for ItemPerformance . 10 3.4.9 Usage Category for the ItemPerformance 10 3.4.10 Usage Instances for an Ite

12、mPerformance Element . 12 Appendix A: Summary of Data Element Usage by Report 15 COUNTER-SUSHI Implementation Profile NISO RP-14-2012 iv COUNTER-SUSHI Implementation Profile NISO RP-14-2012 v Foreword About this Implementation Profile The need to provide information professionals with accurate and t

13、imely usage statistics is no longer a matter of debate. The SUSHI protocol was developed out of a need to simplify and automate the harvesting of COUNTER usage reports from the growing number of information providers that librarians and others in the information community work with. The creators of

14、the SUSHI standard and the COUNTER XML schema were forward looking; developing products that could handle future needs without requiring them to be rewritten. Developing schemas, such as those used by SUSHI and COUNTER, to accommodate future growth requires building in a level of abstraction and fle

15、xibility. As a result, the flexibility and abstraction introduce choices that implementers need to make. These choices can be as simple as what value to use for the Type element of the item identifier; or more complex, such as the inclusion of totals in the XML or how to respond when usage is not av

16、ailable. Without proper guidance on the implementation choices, developers may easily create solutions that are not completely interoperable. Lack of interoperability between SUSHI server implementations requires either the SUSHI client developers to customize their implementation for each variant S

17、USHI server, or it requires the SUSHI server developers to have to re-work their solutionadding time and expense. All of this adds up to a barrier to widespread implementation of SUSHI and added expense and difficulty for the community it is intended to serve. This was the state of SUSHI and COUNTER

18、 XML implementations that led this committee to develop this Implementation Profile. This Implementation Profile has been developed to improve the consistency and interoperability of SUSHI Client and Server implementation. This profile offers guidance to developers of SUSHI server and client applica

19、tions by setting out detailed expectations for how the SUSHI protocol and COUNTER XML reports are to be implemented so that they effectively meet the needs of the information community that relies on these reports to provide consistent, credible, and comparable usage statistics. This profile was als

20、o developed with the intention that it be used by COUNTER auditors as a means to verify compliance of a content providers SUSHI server. Instructions for Submittal of Proposed Change to this Implementation Profile If a provision of the standard is proposed to be added or deleted, the text of the prov

21、ision must be submitted in writing. Comments or proposals for revisions to any part of the standard may be submitted to NISO any time. Submissions must be accompanied by the submitters name, affiliation, telephone number, and e-mail address. Written comments are to be sent to: National Information S

22、tandards Organization (NISO) 3600 Clipper Mill Road, Suite 302 Baltimore, MD 21211 Tel.: 301-654-2512 Toll-free: 866-957-1593 Fax: 410-685-5278 E-mail: nisohqniso.org Comments may also be submitted to NISO online at www.niso.org/contact. COUNTER-SUSHI Implementation Profile NISO RP-14-2012 vi Busine

23、ss Information Topic Committee NISOs Business Information (BI) Topic Committee had the following members at the time it approved this Implementation Profile / Recommended Practice: Ivy Anderson California Digital Library Niels Dam, Co-chair Reed Elsevier Denise Davis Sacramento Public Library Herber

24、t Gruttemeier Institut de lInformation Scientifique et Technique (INIST) William Hoffman Swets Information Services Norm Medeiros Haverford College Carol Richman SAGE Publications Christine Stamison Swets Information Services Karla Strieb, Co-chair Ohio State University Libraries Gary Van Overborg S

25、cholarly iQ NISO SUSHI Standing Committee Members This implementation profile was developed under the guidance of the NISO SUSHI Standing Committee. At the time NISO approved this Implementation Profile / Recommended Practice, the following individuals were members. Marie Kennedy Loyola Marymount Un

26、iversity Chan Li California Digital Library Bob McQuillan, Co-chair Innovative Interfaces, Inc. John Milligan Scholarly iQ Paul Needham Cranfield University Oliver Pesch, Co-chair EBSCO Information Services James Van Mil University of Cincinnati Libraries Trademarks, Service Marks Wherever used in t

27、his standard, all terms that are trademarks or service marks are and remain the property of their respective owners. COUNTER-SUSHI Implementation Profile NISO RP-14-2012 1 Part 1: Introduction 1.1 Purpose This Implementation Profile has been developed to improve the consistency and interoperability

28、of SUSHI client and server implementations. This profile offers guidance to developers of SUSHI server and client applications by setting out detailed expectations for how the SUSHI protocol and COUNTER XML reports are to be implemented so that they effectively meet the needs of the information comm

29、unity that relies on these reports to provide consistent, credible, and comparable usage statistics. This profile was also developed with the intention that it be used by COUNTER auditors as a means to verify compliance of a content providers SUSHI server. 1.2 Scope This Implementation Profile addre

30、sses the choices and expectations for successfully implementing a compliant and effective SUSHI service delivering consistent and comparable COUNTER XML reports compliant with Release 4 of the COUNTER Code of Practice. This document focuses on the use of the various XML schemas that provide for the

31、delivery of COUNTER reports via SUSHI. Specifically: sushi1_6.xsd The XML schema that describes the SUSHI Request and Response messages. The Response message includes the COUNTER XML report. counter4_0.xsd The XML schema that describes the XML version of a COUNTER report. The COUNTER XML is embedded

32、 in the SUSHI Response message. counterElements4_0.xsd The XML schema that contains the enumerated list of allowed values for certain COUNTER data elements, such as ItemIdentifier type, report item DataType, usage Category, and MetricType. counter_sushi4_0.xsd The XML schema that describes the overa

33、ll SUSHI service and binds the COUNTER report to the SUSHI Response. This implementation profile will also touch on some practical topics of implementation including security and SUSHI client authentication, as well as making information about the SUSHI Server easily available for those that would i

34、mplement it. 1.3 Principles This implementation profile is intended to support a widespread implementation and adoption of the SUSHI protocol for the purpose of harvesting COUNTER XML reports. The committee recognized that successful adoption comes with compatibility and consistency in the implement

35、ation of both the SUSHI protocol and the COUNTER XML reports delivered by that protocol. Both the SUSHI protocol and the COUNTER schema (which defines the reports delivered by the SUSHI protocol) are flexible by nature and, as a result, the committees work was about making the many implementation de

36、cisions necessary to enforce consistency. This work involved judgment calls that were made based on the committees understanding of the needs of the librarians that use these statistics and COUNTERs goal of providing reports that are consistent, comparable, and credible. 1.4 Normative References ANS

37、I/NISO Z39.84-2005 (R2010), Syntax for the Digital Object Identifier. Available at: http:/www.niso.org/standards/z39-84-2005/ ANSI/NISO Z39.93-2007, The Standardized Usage Statistics Harvesting Initiative (SUSHI) Protocol. Available at: http:/www.niso.org/standards/z39-93-2007/. COUNTER-SUSHI Implem

38、entation Profile NISO RP-14-2012 2 COUNTER Code of Practice for e-Resources, Release 4 draft. October 2011. Available at: http:/www.projectcounter.org/code_practice.html ISO 2108:2005, Information and documentation International standard book number (ISBN). Available from: http:/www.iso.org/iso/iso_

39、catalogue/catalogue_tc/catalogue_detail.htm?csnumber=36563 ISO 3297:2007, Information and documentation International standard serial number (ISSN). Available from: http:/www.iso.org/iso/iso_catalogue/catalogue_tc/catalogue_detail.htm?csnumber=39601 SOAP Version 1.2 Specifications. Available at: htt

40、p:/www.w3.org/TR/soap/ The Unicode Standard, Version 6.0.0. Mountain View, CA: The Unicode Consortium, 2011. ISBN 978-1-936213-01-6. Available at: http:/www.unicode.org/versions/Unicode6.0.0/ The sushi, counter, counterElements, and counter_sushi schemas specified in 1.2. 1.5 Definitions Term Contex

41、t Definition journal ItemDataType Any publication published in a serial manner, such as a journal, magazine, newspaper, newsletter, conference proceeding, etc. book ItemDataType A publication that is a monograph and is textual in nature. Includes books and e-books. collection ItemDataType A grouping

42、 of multimedia content items. Includes audio, video, images, etc. database ItemDataType A collection of content items, such as citations and/or full-text, that is accessed as a unit. platform ItemDataType A content host from which content is accessed. Examples include EBSCOhost, ScienceDirect, Infor

43、maworld, etc. multimedia ItemDataType Any non-textual content item. Examples include audio, video, images, etc. proprietary ItemIdentifier type A unique identifier for a report item that is assigned by the content provider. ISSN ItemIdentifier type International Standard Serial Number. A standard id

44、entifier assigned to a title that is published serially. In the current version of the ISSN standard (ISO 3297), an ISSN is 9 character spaces long and consists of four numbers, a dash, three numbers and a number or capital “X”. ISBN ItemIdentifier type International Standard Book Number. A standard

45、 identifier, assigned to a title that is a monograph. In the current version of the ISBN standard (ISO 2108), an ISBN is 13 character positions long; the first 12 positions can be numbers or dashes with the 13th position being a number or capital “X”. DOI ItemIdentifier type Digital Object Identifie

46、r. An identifier of a report item that is assigned according to the DOI standard (ANSI/NISO Z39.84) and registered with an authorized Registration Agency, e.g., CrossRef. COUNTER-SUSHI Implementation Profile NISO RP-14-2012 3 Term Context Definition counterElements schema COUNTER XML Report elements

47、 The counterElements schema (counterElements4_0.xsd) is linked to the counter schema (counter4_0.xsd) and includes valid values for many of the enumerated data elements. 1.6 Notational Conventions The terms “must”, “must not”, “required”, “should”, “should not”, “recommended”, “may”, and “optional”

48、in this Recommended Practice are to be interpreted as described in IETF RFC 2119. COUNTER-SUSHI Implementation Profile NISO RP-14-2012 4 Part 2: SUSHI Implementation This section of the Implementation Profile addresses specific implementation questions related to the SUSHI protocol as it is used in

49、defining the SUSHI Request and SUSHI Response messages when used to retrieve COUNTER reports. 2.1 XML Schema and Character Representation The SUSHI Server must operate successfully using the official sushi and counter schemas as they appear on the NISO SUSHI website (www.niso.org/schemas/sushi/). Unicode must be supported with the SUSHI Request and Response messages encoded as UTF-8. The SUSHI Response and the embedded COUNTER report returned by the SUSHI Server must validate against the official counter_sushi, sushi, counter, and counterElements schem