NISO RP-15-2013 Recommended Practices for Online Supplemental Journal Article Materials.pdf

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1、 NISO RP-15-2013 Recommended Practices for Online Supplemental Journal Article Materials January 2013 A Recommended Practice of the National Information Standards Organization and the National Federation of Advanced Information Services Recommended Practices for Online Supplemental Journal Article M

2、aterials NISO RP-15-2013 ii 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, exceptional model, or proven industry

3、practice. All elements of Recommended Practices are discretionary and may be used as stated or modified by the user to meet specific needs. This recommended practice may be revised or withdrawn at any time. For current information on the status of this publication contact the NISO office or visit th

4、e NISO website (www.niso.org). Published by National Information Standards Organization (NISO) 3166 Clipper Mill Road, Suite 302 Baltimore, MD 21211 www.niso.org Copyright 2013 by the National Information Standards Organization All rights reserved under International and Pan-American Copyright Conve

5、ntions. 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, provided it is reproduced accurately, the source of the material is identified, and the NISO copyright status is acknowledged

6、. All inquiries regarding translations into other languages or commercial reproduction or distribution should be addressed to: NISO, 3166 Clipper Mill Road, Suite 302, Baltimore, MD 21211. ISBN: 978-1-937522-12-4 Recommended Practices for Online Supplemental Journal Article Materials NISO RP-15-2013

7、 iii Contents Foreword . v Part A: Business Policies and Practices 1 A.1 Introduction . 1 A.1.1 Purpose and Scope 1 A.1.2 Background . 1 A.1.3 General Principles . 2 A.1.4 Comment on Evolving Ecosystem 3 A.1.5 Terms and Definitions 3 A.1.5.1 General Definitions 3 A.1.5.2 Definitions for Supplemental

8、 Materials . 4 A.1.5.3 Comment on Related Content 4 A.2 Roles and Responsibilities Related to Supplemental Materials 5 A.2.1 Primary Publishing . 5 A.2.2 Related Parties 6 A.3 Recommended Business Practices 6 A.3.1 Selecting Supplemental Materials 6 A.3.2 Editing Supplemental Content 7 A.3.3 Managin

9、g and Hosting Supplemental Materials . 7 A.3.4 Ensuring Discoverability and Findability . 8 A.3.4.1 General Consistency. 8 A.3.4.2 Abstracting and Indexing Coverage . 8 A.3.5 Referencing Supplemental Materials 9 A.3.5.1 Reference within the Article 9 A.3.5.2 Reference in Other Publications . 9 A.3.5

10、.3 Citations within Supplemental Materials . 10 A.3.6 Metadata and Packaging . 10 A.3.7 Maintaining Links . 10 A.3.8 Providing Context . 11 A.3.9 Preserving Supplemental Materials 11 A.3.10 Rights Management 12 Recommended Practices for Online Supplemental Journal Article Materials NISO RP-15-2013 i

11、v Part B: Technical Considerations and Implementation Recommendations 13 B.1 Introduction . 13 B.1.1 Purpose and Scope 13 B.1.2 Supporting Documentation . 13 B.1.3 General Considerations . 14 B.2 Metadata . 15 B.2.1 Background . 15 B.2.2 Metadata Elements . 15 B.3 Persistent Identifiers . 20 B.3.1 B

12、ackground . 20 B.3.2 Assigning DOIs or other Persistent Identifiers . 21 B.4 Preservation 22 B.4.1 Background . 22 B.4.2 Preservation Recommendations 22 B.5 Packaging and Exchange 23 B.6 Location of Supplemental Material Metadata . 24 B.7 Supporting Documentation . 25 Bibliography . 26 Recommended P

13、ractices for Online Supplemental Journal Article Materials NISO RP-15-2013 v Foreword About These Recommended Practices This project began with an informal survey conducted by Alexander (Sasha) Schwarzman, then of the American Geophysical Union, in October 2009 on how publishers handle supporting ma

14、terials in scientific journals. The survey results were distributed to the CrossRef and eXtyles mailing lists and generated quite a bit of interest and feedback. In recognition of the importance of this topic the National Information Standards Organization (NISO) and the National Federation of Advan

15、ced Information Services (NFAIS) co-sponsored a roundtable discussion in January 2010 to discuss the need for standardized bibliographic and publishing policies for supplemental material. (The previous year the National Federation of Advanced Information Systems (NFAIS) had published a related recom

16、mended practice on publishing journal articles.) More than 60 people in attendance participated in a very lively discussion; among the groups recommendations was the formation of a working group to develop recommended practices addressing the business, policy, and technical issues surrounding supple

17、mental materials. The NISO/NFAIS Working Group on Supplemental Journal Materials was formally convened in August 2010, and this document is the result of their work. In 2012, although the trend toward large numbers of Supplemental Materials being released with journal articles was continuing, no rec

18、ognized set of practices existed to guide selection, delivery, aids to discovery, or preservation plans. With no commonly accepted guidelines, authors and readers encountered a confusing array of practices, and editors and publishers had no industry basis for decision-making. Related parties such as

19、 librarians, publishers of abstracting and indexing services, and repository administrators likewise dealt with disarray in what previously had been a relatively structured scholarly environment. In response to this growing problem, the members of a joint NISO/NFAIS Working Group developed this set

20、of recommended practices. They are intended to help publishers and editors guide authors and peer reviewers in their work and to provide a common ground for delivery of supplemental materials. They are intended to be prospective, not to deal with previously published works. Some caveats are in order

21、. First, readers will find that the practices are directed mostly to primary publishers, who are the gatekeepers for publishing scholarly journals. However, working group members hope that other related parties will find the document informational. Second, some may find the connotation of Integral C

22、ontent (see A.1.5, Definitions) within Supplemental Materials contradictory; however, this seeming oxymoron reflects the situation in 2012. Publishers have sometimes put essential content that they cannot accommodate within the traditional article into a Supplemental Materials category out of necess

23、ity. Although technology will no doubt solve this problem in the future, working group members believed it was important to address the handling of Integral Content as Supplemental Materials as they are treated now. Finally, members have been cognizant of the differing cultures and practices across

24、scholarly publishing and aware of the fact that different fields have different requirements. Consequently, the recommendations include many gray areas. To work most efficiently and to take advantage of specialized skills and knowledge, the working group formed two subgroups: business and technical,

25、 who developed Parts A and B of this Recommended Practice respectively. Part A begins with terms and definitions and includes the recommendations of the Business Working Group for such business practices as selecting materials, editing them, managing and hosting them, and ensuring discoverability. I

26、t also discusses referencing Supplemental Materials, maintaining links, providing good metadata, providing context, and preserving the materials. The roles and responsibilities of various parties as related to Supplemental Materials are outlined and there are recommendations for rights management. R

27、ecommended Practices for Online Supplemental Journal Article Materials NISO RP-15-2013 vi Part B offers recommendations providing metadata for Supplemental Materials, assigning persistent identifiers to them, and ensuring their preservation. It concludes with packaging and exchange considerations. N

28、on-normative supporting documentation to Part B contains an example DTD for Supplemental Materials, a tag library, and examples. As Part A of these Recommended Practices makes clear, Integral Content and Additional Content are likely to be treated differently throughout the entire lifecycle of a sci

29、entific article: peer review, copyediting, markup, citation, and preservation. To enable this differentiation, recommendations in Part B endeavor to make the functional distinction between essential and nonessential elements explicitregardless of their physical locationby applying unambiguous metada

30、ta. Thus, what a reader of a print article could infer from the physical layout, the user of an electronic article, human or machine, will be able to ascertain explicitly through the metadata. NISO Topic Committee Members The Content and Collections Topic Committee, which had oversight for this proj

31、ect, had the following members at the time it approved this Recommended Practice: Julia Blixrud, Co-chair Association of Research Libraries (ARL) Betty Landesman, Co-chair University of Baltimore, Langsdale Library Eva Bolkovac Yale University Library Eric Childress OCLC Online Computer Library Cent

32、er Lettie Conrad SAGE Publications Marti Heyman Cengage Learning Diane Hillmann Metadata Management Associates Rebecca Kennison Columbia University Libraries Rice Majors University of Colorado at Boulder Libraries Dorothea Salo University of Wisconsin, Madison Ken Wells Innovative Interfaces, Inc. N

33、FAIS Approval This Recommended Practice was endorsed by a vote of member organizations of the National Federation of Advanced Information Services ( NFAIS). NFAIS was a co-sponsor of this project. Recommended Practices for Online Supplemental Journal Article Materials NISO RP-15-2013 vii NISO Supple

34、mental Journal Article Materials Working Group Members The following individuals served on the Supplemental Journal Article Materials Working Group, which developed and approved this Recommended Practice: Business Working Group Linda Beebe, Co-Chair American Psychological Association (APA) Marie McV

35、eigh, Co-Chair Thomson Reuters Annette Flanagin JAMA and Archives Journals Bonnie Lawlor National Federation of Advanced Information Services (NFAIS) David Gillikin National Library of Medicine (NLM) Alison Loudon American Institute of Physics (AIP) Bruce Kiesel Thomson Reuters Skip Maier American P

36、sychological Association (APA) Rachael Hu California Digital Library Eefke Smit International Association of STM Publishers (STM) Amy Kirchoff JSTOR/Portico Scott Virkler Elsevier Technical Working Group David Martinsen, Co-Chair American Chemical Society (ACS) Alexander (Sasha) Schwarzman, Co-Chair

37、 The Optical Society (OSA) IJsbrand Jan Aalbersberg Elsevier Deborah Lapeyre Mulberry Technologies, Inc. Ken Beauchamp American Society for Clinical Investigation John Meyer JSTOR/Portico Jeffrey Beck National Library of Medicine (NLM) Ira Polans IEEE Chuck Koscher CrossRef Craig Rodkin Association

38、of Computing Machinery (ACM) John Kunze California Digital Library (CDL) Kathleen Sheedy American Psychological Association (APA) Kathy Kwan National Library of Medicine (NLM) Keith Wollman Elsevier Recommended Practices for Online Supplemental Journal Article Materials NISO RP-15-2013 viii Acknowle

39、dgements The Supplemental Journal Article Materials Working Group wishes to acknowledge the following individuals outside the formal working group membership who contributed to this effort. Doreene Berger Director, Publishing Operations, American Institute of Physics John Kiplinger JSTOR Chris McMah

40、on Director, Content Management, American Institute of Physics Emilie Marcus Editor-in-Chief, Cell Marion Muff Thomson Reuters Trademarks, Services Marks Wherever used in this standard, all terms that are trademarks or service marks are and remain the property of their respective owners. Recommended

41、 Practices for Online Supplemental Journal Article Materials NISO RP-15-2013 1 A PART A: BUSINESS POLICIES AND PRACTICES A.1 Introduction A.1.1 Purpose and Scope These recommended practices are intended to help the scholarly publishing community develop a more standardized approach to publishing wha

42、t has become known as Supplemental Materials for Journal Articles in a rapidly changing technology environment. The intent is to lessen the burden on all of the parties engaged in the publishing process, to ensure that Supplemental Materials delivered in connection with journal articles add substanc

43、e to the scholarship, to make Supplemental Materials more discoverable, and to aid in preserving them. Existing Supplemental Material may predate electronic publishing. For example, older journals, which have been digitized post-publication, may have had microfiche supplements. In an ideal world, al

44、l would be digitized; however, available resources may preclude applying these recommendations to older materials. Consequently, publishers may wish to concentrate their efforts only on future articles. A.1.2 Background Over the more than 350 years since scholarly journal publishing began, the basic

45、 protocols for writing and publishing journal articles became fairly standard across the many disciplines. In the past two decades, however, technology has enabled an increasing number of options for which there have been limited or no universal standards or best practices. One such option entails o

46、ffering authors the opportunity to expand or support their published articles with Supplemental Materials. In 2012, Supplemental Materials often include multimediatext, tables, and figures that would occupy too much space or would interrupt the flow of the narrative in a traditional print articleas

47、well as data and computer programs. These vary in the level of importance to supporting the articles conclusions. Some may be absolutely essential, whereas others may be useful, but not critical. Traditionally, when the printed page was the medium, the functional distinction between essential and no

48、nessential elements was unambiguously reflected in the articles layout. Essential elements were incorporated into the body of the article, and nonessential items were placed in an appendix. There was an implicit understanding that anything in the appendix was nonessential. Often nonessential items w

49、ere simply omitted because of page limits. Electronic media changed the nature of what could be delivered and altered the implicit understandings. Publishers began including dynamic components, such as videos and 3-D materials that could not be printed, and elements that would be impractical to print, such as datasets and computer code, in online Supplemental Materials. As authors work with these new materials, their mix includes both items essential to the understanding of the work and nonessential ones. However, the clear intellectual distinction between the two is not neatly refle