NISO RP-19-2014 Open Discovery Initiative Promoting Transparency in Discovery.pdf

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1、 NISO RP-19-2014 Open Discovery Initiative: Promoting Transparency in Discovery A Recommended Practice of the National Information Standards Organization Approved: June 25, 2014 Prepared by the Open Discovery Initiative Working Group About NISO Recommended Practices A NISO Recommended Practice is a

2、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 practice. All elements of Recommended Practices are discretionary and may be used as stated or

3、 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 This recommended practice may be revised or withdrawn at any time.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 the NISO website (www.niso.org). Published by National Information Standards Organization (NISO)

4、 3600 Clipper Mill Road Suite 302 Baltimore, MD 21211 www.niso.org Copyright 2014 by 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 a

5、ny 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. All inquiries regarding translations into other languages or commercial reproduction or distr

6、ibution should be addressed to: NISO, 3600 Clipper Mill Road, Suite 302, Baltimore, MD 21211. ISBN: 978-1-937522-42-1 NISO RP-19-2014, Open Discovery Initiative iii Contents Foreword v Section 1: Introduction 1 1.1 Purpose and Scope 1 1.1.1 Purpose . 1 1.1.2 Scope 2 1.2 Terms and Definitions . 4 1.3

7、 Stakeholders 7 Section 2: The Evolution of Discovery and Delivery 9 2.1 Catalogs and Indexes . 9 2.2 Abstracting and Indexing Resources . 9 2.3 Metasearch Utilities . 10 2.4 Enhanced Library Catalogs . 10 2.5 Index-Based Discovery Services . 11 2.6 Related Initiatives 11 2.7 Information Gathering a

8、nd Results . 13 Section 3: Recommendations 15 3.1 General Recommendations 15 3.2 Recommended Best Practices for Content Providers 15 3.2.1 Metadata Elements Provided to Discovery Services 15 3.2.2 Metadata Elements Provided by Content Providers to Libraries 22 3.2.3 Disclosure . 22 3.2.4 Technical F

9、ormats 22 3.3 Best Practices for Discovery Service Providers 23 3.3.1 Discovery Service Content Listings . 23 3.3.2 Linking . 25 3.3.3 File Formats and Methods of Transfer . 26 3.3.4 Usage Statistics . 27 Section 4: Recommended Next Steps 31 4.1 Collaborative Discussion . 31 4.2 Application Programm

10、ing Interfaces APIs . 31 4.3 Managing “Restricted” Content in Discovery Services . 31 4.4 Reporting on Discovery Service Content at a Collection Level 31 4.5 On-Demand Lookup by Discovery Service Users. 32 4.6 Research and Analysis to Monitor Discovery Services for Fair/Unbiased Linking 32 4.7 Furth

11、er Interaction with COUNTER . 32 Appendix A: Survey Summary . 33 Appendix B: Content Provider Conformance Checklist 34 Appendix C: Discovery Provider Conformance Checklist. 35 Bibliography . 37 NISO RP-19-2014, Open Discovery Initiative iv NISO RP-19-2014, Open Discovery Initiative v Foreword About

12、This Recommended Practice The ODI was initiated in June 2011 by Oren Beit-Arie of Ex Libris, Jenny Walker, independent consultant working on behalf of Ex Libris, and Marshall Breeding, a library industry consultant (previously at Vanderbilt University) who, at the 2011 ALA Annual Conference in New O

13、rleans, invited senior industry managers to meet and explore areas of mutual interest related to library discovery services. Following this initial meeting, a proposal was submitted to NISO; later in the year, the NISO Discovery to Delivery Topic Committee accepted the proposal as a new NISO work it

14、em. This Recommended Practice is the outcome of that project. The NISO Open Discovery Initiative (ODI) group started its work in early 2012 to define best practices for the new generation of library discovery services. These services use an aggregated central index to enable searching across a wide

15、range of library related resourcesboth licensed and freefrom multiple providers. They also offer more sophisticated capabilities and faster performance than those provided by systems relying on federated search technologies. Several major discovery products, based on centrally indexed search, have b

16、een released to the market since early 2009 and have been widely deployed in libraries globally.1This investment by libraries in centrally indexed search as a primary means for users to discover and access licensed content brings with it new requirements for industry practices in a number of areas.

17、To facilitate improved communications and clarity, the ODI established the following goals: Create ways for libraries to assess the level of content providers participation in discovery services Help streamline the process by which content providers work with discovery service vendors Define models

18、for fair or unbiased linking from discovery services to publishers content Determine what usage statistics should be collected Libraries expect their entire collection, including licensed and purchased electronic content, to be made available through the discovery service of their choice. When acqui

19、ring licensed content, libraries expect a clear explanation of the degree of availability of that content in that discovery service. Based on the input from a survey done early in the project (see 2.7), the ODI group agreed to develop recommended practices in the following areas: 1. Technical recomm

20、endations for data format and data transfer, including method of delivery and ongoing updates. 2. Recommendations for the communication (automated or through reporting) of libraries rights to distribute or display specific content (e.g., restricted to subscribers versus open to all users). These rec

21、ommendations are to include technical specifications on how data will be exchanged and procedural specifications regarding update frequency and other logistical details. 3. Clear descriptors regarding the level of indexing performed for each item or collection of content and the level of availabilit

22、y of the content. 4. Definition of fair linking from discovery service to the published content. 1Marshall Breeding. “Automation Marketplace 2013: The Rush to Innovate.” The Digital Shift, April 2, 2013. Available at: NISO RP-19-2014, Open Discovery Initiative vi 5. Determination of what usage stat

23、istics should be collected, for whom, and how these data should be disseminated. Further, the Working Group agreed to develop mechanisms to evaluate conformance with the Recommended Practice. To work towards the development of recommended practices to address the above issues, five subgroups were fo

24、rmed as follows: 1. Technical formats 2. Communication of librarys rights 3. Level of indexing 4. Fair linking 5. Usage stats Early in the process subgroups 2 and 3 merged. A further goal of the ODI was to develop mechanisms to evaluate conformance with the Recommended Practice. To help libraries be

25、tter understand the position of content providers and discovery service providers, these organizations can take measures to demonstrate the extent to which they conform with the recommended practices issued by the Open Discovery Initiative. We anticipate that these conformance statements will be vol

26、untarily issued by content providers and by discovery service providers respectively. In the absence of voluntary statements, libraries can use the presence or absence of these factors to infer conformance. NISO D2D Topic Committee Members The following individuals served on the NISO Discovery to De

27、livery Topic Committee that had oversight for this work and approved this Recommended Practice: Kristin Antelman North Carolina State University Libraries Peter Murray Lyrasis Pascal Calarco, Co-Chair University of Waterloo Library Tim Shearer University of North Carolina Chapel Hill Libraries Lucy

28、Harrison, Co-Chair Florida Virtual Campus Chris Shillum Reed Elsevier Juli Marsh The Library Corporation (TLC) Christine Stohn Ex Libris, Inc. NISO RP-19-2014, Open Discovery Initiative vii ODI Working Group Members The following individuals served on the NISO Open Discovery Initiative Working Group

29、 that developed and approved this Recommended Practice: Marshall Breeding, Co-Chair Independent Consultant (formerly with Vanderbilt University) John Law ProQuest Jenny Walker, Co-Chair Independent Consultant (formerly affiliated with Ex Libris) David Lindahl University of Missouri-Kansas City Libra

30、ries (formerly eXtensible Catalog Project) Anya Arnold (through July 2012) Orbis Cascade Alliance Laura Morse Harvard University Scott Bernier (from December 2013) EBSCO Information Services Michele Newberry Unaffiliated (formerly University of Florida) Jamene Brooks-Kieffer University of Kansas Lib

31、raries (formerly with Kansas State University Libraries) Peter Noerr (through June 2012) MuseGlobal Sara Brownmiller University of Oregon Libraries Roger Schonfeld Ithaka S+R Lettie Conrad SAGE Publications Ken Varnum University of Michigan Library Michael Gorrell (through November 2013) EBSCO Infor

32、mation Services Aaron Wood Alexander Street Press Jeff Lang Thomson Reuters Acknowledgments The ODI Working Group would like to offer a special thanks to the following individuals for their assistance: SAGE Publications, especially Elisabeth Leonard, for support of the ODI Survey. Lucy Harrison (Flo

33、rida Virtual Campus), Bonnie Lawlor (NFAIS), and Jeff Penka (OCLC), who were observers on the Working Group and provided valuable input and feedback. The many individuals and organizations that responded to the information-gathering survey issued by the ODI. Nettie Lagace and Cynthia Hodgson from NI

34、SO for their support and advice. Trademarks and Service Marks Wherever used in this recommended practice, all terms that are trademarks or service marks are and remain the property of their respective owners. NISO RP-19-2014, Open Discovery Initiative viii NISO RP-19-2014, Open Discovery Initiative

35、1 Section 1: Introduction 1.1 Purpose and Scope 1.1.1 Purpose The Open Discovery Initiative (ODI) aims to facilitate progress through exploration of relevant issues and the development of recommended practices for the current generation of library discovery services based on centrally indexed search

36、. The domain of index-based discovery services involves a complex ecosystem of interrelating issues and interests among content providers, libraries, and discovery service creators. This model of discovery relies on an index populated with metadata, full text, or other representations of the content

37、 itemssuch as journal articles, book chapters, e-books, research reports, reference sources, images, maps, datasets, AV materials, and other selected materialwhich a library provides to its users. The content comes from a range of information providers and products, such as commercial and non-profit

38、 publishers, universities and other research institutions, and many other types of organizations. The content of interest to ODI includes any materials that libraries would consider within their collection, regardless of the business model for acquisition or the type of license, such as commercially

39、 restricted or open access. Several major discovery products have been released to the market since early 2009 that are based on the model of centrally indexed searchlargely influenced by the Google search model and users expectations for a single, unified discovery experience. An increasing number

40、of libraries, especially those that serve academic or research institutions, have invested in index-based discovery services. These products serve as one of the interfaces through which the librarys patrons gain access to the rapidly growing breadth of information that may be available to them. Thes

41、e discovery services play an increasingly strategic role in the way that libraries provide users with access to their collection, represent a growing segment of the library technology industry, and may become a factor in how libraries select content products. These factors draw attention to the disc

42、overy services arena for any improvements that might be gained through this Recommended Practice. To work effectively, discovery services need to be as comprehensive as possible in their content coverage. Libraries expect their uniquely licensed and purchased electronic content to be indexed within

43、their discovery service of choice. Further, they require comprehensive and clear representation of each category of content in the discovery service. Content items not represented in a discovery service present a challenge to libraries in how they might otherwise ensure that these materials are disc

44、overed and accessed. Libraries have an interest in knowing whether any content providers are excluded or underrepresented in any given discovery service. The Open Discovery Initiative aims to facilitate increased transparency in the content coverage of index-based discovery services and to recommend

45、 consistent methods of content exchange or other mechanisms. Full transparency will enable libraries to objectively evaluate discovery services and to deal with daily operational issues surrounding these products. Discovery services depend on the cooperation of content providers with discovery servi

46、ce creators to provide access to metadata or full text of information resources in order to create effective indexes. The inclusion of data in the indexes of the current slate of discovery services is based on private agreements and ad hoc exchange methodologies between information providers and dis

47、covery service creators. Index-based discovery can potentially benefit content providers through enhanced exposure of their materials. It also presents some concerns, such as enabling library patrons to bypass the specialized interfaces created by content providers, potentially reducing or eliminati

48、ng branding and losing control in how content is presented to the end user. And, as libraries uptake of these services increases, the usage (and perceived NISO RP-19-2014, Open Discovery Initiative 2 value) of publisher products can be greatly influenced by how successfully discovery services drive

49、readers to a content providers assets. ODI investigated the need for standard protocols to make the transfer of data from content providers to discovery service creators. Consistent practices in the exchange and formats of data aim to lower the level of complexity as content flows through this ecosystem, mitigating technical issues that might hinder broader participation by content providers or potential discovery service creators. Libraries need a clear understanding of the de