NISO RP-9-2014 Knowledge Bases and Related Tools (KBART) Recommended Practice.pdf

1、 1 NISO RP-9-2014 Knowledge Bases and Related Tools (KBART) Recommended Practice A Recommended Practice of the National Information Standards Organization Prepared by the KBART Phase II Working Group NISO RP-9-2014, KBART Phase II Recommended Practice About NISO Recommended Practices A NISO Recommen

2、ded 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 practice. All elements of Recommended Practices are discretionary and may be

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 This recommended practice may be revised or withdrawn at any time.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

4、rganization (NISO) 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 o

5、r 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. All inquiries regarding translations into other languages or commercial rep

6、roduction or distribution should be addressed to: NISO, 3600 Clipper Mill Road, Suite 302, Baltimore, MD 21211. ISBN: 978-1-937522-41-4 NISO RP-9-2014, KBART Phase II Recommended Practice iii Contents Foreword . v Section 1: KBART after Phase I 1 1.1 Establishment of an Endorsement Process and KBART

7、 Registry . 1 1.2 KBART Survey of Libraries and Consortia . 1 1.3 KBART Outreach . 2 1.4 KBART Information Hub 2 Section 2: Compliance and Collaboration 3 2.1 Compliance 3 2.2 Collaboration Activities . 4 Section 3: Metadata for Consortia 6 3.1 Introduction 6 3.2 Consortia Survey Summary 6 3.3 Recom

8、mendations for Consortium-Specific Files 7 3.4 File Contents and Naming Changes . 7 Section 4: Open Access Metadata 9 4.1 Its Free Stuff Isnt It? Why Is Metadata for OA Required? 9 4.2 Open Access Survey Summary 9 4.3 Consideration of Types of Open Access 10 4.4 Changes in the Recommendations 10 Sec

9、tion 5: E-Books and Conference Proceedings 12 5.1 Importance of Metadata 12 5.2 Changes of Title . 13 5.3 Changes in the Recommendations 13 Section 6: Guidelines for Effective Exchange of Metadata with Knowledge Bases 16 6.1 Method of Exchange 16 6.2 Frequency of Exchange 16 6.3 Data Contacts . 16 6

10、.4 Data Format 16 6.5 File Name . 17 6.6 KBART Data Fields . 18 Section 7: Next Steps 27 NISO RP-9-2014, KBART Phase II Recommended Practice iv Appendix A: Sample Files 28 Appendix B: Survey Results 36 Bibliography 71 NISO RP-9-2014, KBART Phase II Recommended Practice v Foreword About This Recommen

11、ded Practice In 2007, UKSG, a nonprofit organization that connects the information community, commissioned a report, Link Resolvers and the Serials Supply Chain. This report identified and described a range of problems affecting the efficiency of OpenURL linking. The report recommended (in section 7

12、.1.1) the creation of a group that would determine and promote “best practice” solutions for the overall community to improve the exchange of metadata with knowledge bases. In conjunction with the National Information Standards Organization (NISO), UKSG set up a working group that would bring togeth

13、er members of all parts of the electronic resources supply chain to address the problems identified in the UKSG report and propose a community solution, backed up by educational activities and an Information Hub to support adopters. The joint NISO/UKSG KBART (Knowledge Bases And Related Tools) Worki

14、ng Group was established in December 2007 and the Phase I Recommended Practice published in January 2010 (NISO RP-7-2010) was the result of the initial phase. Original Charge and Scope The KBART Working Groups original charge was to improve the supply of data to link resolvers and knowledge bases, i

15、n order to improve the efficiency and effectiveness of OpenURL linking. This was to be achieved by providing best practice guidelines, educational materials and events, and a web hub to act as a central resource for knowledge base information. The NISO/UKSG KBART Working Groups scope focused on prob

16、lems in the information supply chain that relate to the data supplied to knowledge bases. This specifically excluded wider problems with OpenURL linking, which fall either within the remit of OCLC, the Maintenance Agency for the OpenURL standard (ANSI/NISO Z39.88-2004 (R2010), The OpenURL Framework

17、for Context-Sensitive Services), or within other NISO working groups. The group also focused specifically on data relating to content holdings rather than on bibliographic data about individual titles, which does not need to be updated as regularly as holdings data. KBART Phase II With the completio

18、n of Phase I, it became clear that there was a need to continue work on more specific improvements and the group membership was re-aligned to support this work. The KBART Phase II Working Group met between February 2010 and March 2013 and achieved the following: 1) Development of a revised recommend

19、ed practice to build on the initial recommendations delivered for Phase I of the KBART project in order to effect smoother interaction between members of the knowledge base supply chain. Whereas the Phase I report provided minimum recommendations to reach this goal, the Phase II revision focuses on

20、the more granular, complex issues that cause problems in metadata supply. Knowledge base providers and their customers (primarily academic libraries) will benefit from provision of higher-quality data by content providers. Publishers will benefit from accurate linking to their content and subsequent

21、ly increased usage. 2) Provision of educational and outreach opportunities that will address the needs of all stakeholders in the supply chain, description of the functions each needs to carry out to improve supply of data to knowledge bases, and setting out the value of doing so in each case. Conte

22、nt providers will benefit from a greater understanding of the needs and activities of those to whom they supply data. Knowledge base providers and libraries will again benefit from improvements that can be NISO RP-9-2014, KBART Phase II Recommended Practice vi expected when content providers are bet

23、ter supported through best practice recommendations on metadata provision. 3) Delivery of a centralized information portal, to support educational activities and provide comprehensive resource for further information, including, but not limited to: a) Glossary (already available on the UKSG and NISO

24、 websites from Phase I) b) Entry-level explanation of OpenURL: purpose, methodology, value (already available in Phase I Recommended Practice) c) Introduction to knowledge base supply chain parties: roles, needs, responsibilities, value (already available in Phase I Recommended Practice) d) Endorsem

25、ent framework for content providers and knowledge base providers e) Guidelines for best practice: knowledge base format and terms of provision f) Crossover work with other standards/initiatives/technologies, e.g., ONIX Serials Online Holdings (SOH) g) Contacts Registry for the purpose of linking to

26、metadata webpages and provision of technical contact details within content provider and knowledge base organizations NISO D2D Topic Committee Members The Discovery to Delivery Topic Committee had the following members at the time it approved this Recommended Practice: Kristin Antelman North Carolin

27、a State University Libraries Christine Stohn Ex Libris, Inc. Pascal Calarco, Co-chair University of Waterloo Library Lucy Harrison, Co-chair Florida Virtual Campus Juli Marsh The Library Corporation (TLC) Chris Shillum Reed Elsevier Tim Shearer University of North Carolina Chapel Hill Libraries NISO

28、 RP-9-2014, KBART Phase II Recommended Practice vii KBART Phase II Working Group Members The following individuals served on the KBART Phase II Working Group, which developed and approved this recommended practice: Magaly Bascones, Co-chair JISC Collections Jason Price Claremont Colleges Library And

29、reas Biedenbach, former Co-chair Independent Professional Sarah Price, former Co-chair University of Birmingham Chad Hutchens, Co-chair University of Wyoming Libraries Rose Robinson Publishing Technology plc Benjamin Johnson Serials Solutions Liz Stevenson University of Edinburgh Noah Levin Springer

30、 Christine Stohn Ex Libris, Inc. Sheri Meares EBSCO Information Services Ruth Wells Publishing Technology plc Paul Moss OCLC Online Computer Library Center Laird Barrett Taylor and Francis Gary Pollack Cengage Learning Julie Zhu American Institute of Physics (AIP) The following individuals served on

31、 the KBART Working Group during part of the recommended practices development, but were no longer with the group at time of final approval: Louise Cole Kingston University Catherine Sharp University College London Sherrard Ewing Serials Solutions Maria Stanton Serials Solutions Marieke Heins Swets I

32、nformation Services Sarah Wright Taylor and Francis Matthew Llewellin The Royal Society 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-9-2014, KBART Phase II Recom

33、mended Practice viii NISO RP-9-2014, KBART Phase II Recommended Practice 1 Section 1: KBART after Phase I KBART Phase I was completed with the publication of the KBART Phase I Recommended Practice in January 2010 (NISO RP-9-2010). The NISO/UKSG KBART Working Group then identified additional topics f

34、or discussion to further improve the library users experience when using link resolvers and their related knowledge bases. NISO formed a new working group for KBART Phase II at the beginning of 2010 to continue this work. The key topics considered in Phase II were consortia-specific metadata transfe

35、r (see Section 3), review of metadata transfer for open access publications (see Section 4), review of metadata transfer for e-books and conference proceedings (see Section 5), and the setup of an endorsement framework to enable content providers to achieve compliance (see Section 2). Another import

36、ant action activity was to raise awareness of KBART recommendations from Phase I by undertaking speaking engagements and writing article for various publications in the library and publishing community. 1.1 Establishment of an Endorsement Process and KBART Registry A substantial contributor to full

37、text usage on publisher sites is from library-mediated technology. A significant part of this library access flows through OpenURL link resolvers that rely on detailed knowledge base holdings data provided by the content publishers. It is therefore vital that this knowledge base information is accur

38、ate and up-to-date. The KBART Recommended Practice optimizes this process through provision of a file format and common sense set of metadata fields and formats for transmission of holdings metadata from content providers to link resolver knowledge bases. The standardized KBART file makes the file t

39、ransfer and knowledge base updates easier to handle. In addition, some consortia are now expecting KBART-compliant files for their knowledge bases and are incorporating this requirement into their contracts with content providers. A key outcome of the early stages of the Phase II group activity was

40、an endorsement framework. This allows content providers to achieve KBART compliance and publicly celebrate their commitment to good quality metadata provision. All content providers, from major databases to small publishers, were encouraged to publicly endorse the Phase I KBART Recommended Practice

41、by submitting a sample file to the KBART working group, at kbartniso.org. Once the files format and content was reviewed and approved, and the provider had made it publicly available (in line with the recommendations), the provider was added to a public list of endorsing providers. (With the publica

42、tion of this Phase II Recommended Practice, an updated endorsement process will be put in place. More details about the new endorsement and compliance process can be found in section 2.1.) In addition to the endorsement process, a contacts registry was made available for content providers and knowle

43、dge base developers to register their organizations advice for downloading holdings metadata as well as providing their metadata webpage and contact details. All endorsing providers that have been approved for KBART compliance carry the logo next to their name in the registry. The KBART Working Grou

44、p is proud of the take-up within the last two years and is constantly encouraging additional content providers to endorse KBART and submit their files for verification. 1.2 KBART Survey of Libraries and Consortia Feedback from the community is very important for all of KBARTs work but is even more c

45、rucial for the specific problem areas that Phase II is concerned with. The KBART group conducted a SurveyMonkey survey in January 2012 to obtain information about the use of consortia title lists and about the library and publishing communitys views on the metadata of Open Access material. The surve

46、yannounced on various listservs, including LIS-E-Resources, SERIAL-ST, ICOLC, Web4Lib, and LIS-NESLI-RepsNISO RP-9-2014, KBART Phase II Recommended Practice 2 generated over 200 responses. The summary results of the survey can be found in Section 3, Metadata for Consortia, and Section 4, Open Access

47、 Metadata. The detailed survey questions and responses are in Appendix B. 1.3 KBART Outreach On publication of the KBART Phase I Recommended Practice in January 2010, the project group increased its profile in speaking at relevant events in order to inform the library and publishing community on the

48、 output of the working group. As a result, KBART representatives were invited to speak at various conferences and meetings, and to provide articles for publications. One of the highlights was an extended report about KBART in Against the Grain in February 2011. A number of additional articles were a

49、lso published and numerous speaking engagements were made. A list of these with links to available full text or presentation slides is available from the KBART website (www.niso.org/workrooms/kbart/resources/). The group will present the Phase II recommendations at various conferences beginning in late 2013. The KBART group has also set up a mailing list for all interested parties within the library community. Subscribe by sending an e-mail to kbart_interest-subscribelist.niso.org. Subscribers will receive periodic announcements and e-mails about group activities and can initi