1、 NISO RP-22-2015 Access License and Indicators A Recommended Practice of the National Information Standards Organization Approved: January 5, 2015 Access License and Indicators NISO RP-22-2015 About NISO Recommended Practices A NISO Recommended Practice is a recommended “best practice” or “guideline
2、” 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 modified by the user to meet specific ne
3、eds. This recommended practice may be revised or withdrawn at any time.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). This specification is provided “as is,” and neither the developer nor the user of this specification mak
4、es any representation or warranty whatsoever in connection with its use, including with respect to the currency, authenticity, accuracy, machine readability, or completeness of any rights or restrictions that may be found at the destination of the noted HTTP URI provided in the rights metadata field
5、, the assessment and use of which are the sole responsibility of the person or entity making use of this specification. Published by National Information Standards Organization (NISO) 3600 Clipper Mill Road, Suite 302 Baltimore, MD 21211 www.niso.org Copyright 2015 by the National Information Standa
6、rds 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, provided it is reproduced accurately
7、, 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 distribution should be addressed to: NISO, 3600 Clipper Mill Road, Suite 302, Baltimore, MD 21211. ISBN: 978-1-937522-49-
8、0 Access License and Indicators NISO RP-22-2015 iii Contents Foreword iv Section 1: Introduction 1 1.1 Purpose and Scope . 1 1.2 Terms and Definitions 1 Section 2: Summary of Recommendations . 3 Section 3: Metadata Elements 5 3.1 free_to_read 5 3.2 license_reference 6 3.2.1 Description 6 3.2.2 Licen
9、se URI Expression . 7 Section 4: Recommended Mechanisms for Distributing Metadata . 9 Section 5: Use Case Review 10 5.1 Use Case: End User Seeks to Discover, Identify, and Access Free-to-Read Items . 10 5.2 Use Case: End User Seeks to Know the Readability Status of an Item . 10 5.3 Use Case: End Use
10、r Seeks to Know Re-Use Permissions of an Item 11 5.4 Use Case: End User Seeks to Know Re-Use Permissions of a Sub-Component of an Item . 11 5.5 Use Case: Repositories Seek to Expose Free-to-Read Items 11 5.6 Use Case: End User Seeks to Text Mine Content 12 5.7 Use Case: Ensure Author/Publisher Right
11、s Assertions Align with License Statements . 12 5.8 Use Case: Funding Agency Seeks to Track Compliance of Research Outputs to Open Access Mandates 12 5.9 Use Case: Institution Seeks to Report on Open Access Compliance of Research Outputs 13 Appendix A: Means of Expressing Metadata Elements . 14 Bibl
12、iography 21 NISO RP-22-2015 Access License and Indicators iv Foreword About this Recommended Practice In 2013, a new work item proposal was approved by NISO members to develop metadata and indicators that would provide information on whether a specific article is openly accessible (i.e., can be read
13、 by any user who can get to the journal website over the internet) and what re-use rights might be available to the reader. Many offerings are available from publishers under the banner of Open Access, Increased Access, Public Access, or other names. The terms used vary both between publishers and w
14、ithin publishers by journal, and in some cases, based on the funder. Adding to the potential confusion, a number of publishers also offer hybrid options, in which authors of an article can pay a fee to make their paper freely available to readers while the rest of the content in that journal remains
15、 under subscription control. Currently publishers provide articles that are “free-to-read” under a wide range of re-use terms and licenses. Some publishers and organizations favor the Creative Commons licenses, specifically the Creative Commons Attribution license (CC BY) to provide re-use terms whi
16、le others use proprietary or modified licenses for this purpose. Funders find the lack of information and cooperation between stakeholders creates difficulty in determining whether a specific article is compliant with their policies. Publishers of hybrid journals have no simple mechanism for signali
17、ng the “free to read” status of specific articles or the re-use rights of downstream users. Authors have difficulty confirming whether they are compliant with a given funder policy. Readers face the burden of figuring out what they can and cannot do with specific articles. Aggregators and service pr
18、oviders have no single mechanism for identifying articles that can be legitimately harvested. The objectives of the project were to develop: 1. A specified format for bibliographic metadata and, possibly, a set of visual signals describing the readership rights associated with a single scholarly wor
19、k. 2. Recommended mechanisms for publishing and distributing this metadata. 3. A report on the feasibility of including clear information on downstream re-use rights within the current project and, if judged feasible, inclusion of these elements in outputs 1 and 2. 4. A report stating how the adopti
20、on of these outputs would answer (or not) specific use cases to be developed by the working group. Access License and Indicators NISO RP-22-2015 v NISO D2D Topic Committee Members The Discover to Delivery (D2D) Topic Committee had the following members at the time it approved this Recommended Practi
21、ce: Kristin Antelman California Institute of Technology (Caltech) Scott Bernier EBSCO Information Services Pascal Calarco, Chair University of Waterloo Library Lucy Harrison Florida Virtual Campus Juli McWilliams The Library Corporation (TLC) Peter Murray Lyrasis Chris Shillum Reed Elsevier Christin
22、e Stohn Ex Libris, Inc. Julie Zhu IEEE NISO Access License and Indicators Working Group Members The following individuals served on the NISO Access License and Indicators Working Group (originally named Open Access Metadata and Indicators), which developed and approved this Recommended Practice: Tim
23、 Devenport EDItEUR Jill Russell University of Birmingham Gregg Gordon Social Science Research Network (SSRN) Chris Shillum Reed Elsevier Julie Hardesty Indiana University Bloomington Libraries Ben Showers JISC Collections (through November 2014) Cecy Marden The Wellcome Library Eefke Smit Internatio
24、nal Association of STM Publishers Cameron Neylon, Co-chair Public Library of Science (PLoS) Christine Stohn Ex Libris, Inc. John Ochs American Chemical Society (ACS) Greg Tananbaum, Co-chair Scholarly Publishing for example, in HTML META tags and in PDF files where bibliographic and other metadata a
25、re being included. It may also be worthwhile for content providers to consider including the metadata elements within other alerting channels, such as e-ToCs and RSS subscription feeds as well as information provided directly to abstracting and indexing services. Whatever channel is used, wider dist
26、ribution of this (and other) article, chapter, or book metadata is likely to be helpful in driving discovery and usage for the materials concerned. The use of a namespace for the new elements helps clarify how they should be incorporated into existing schemas and formats. The appropriate organizatio
27、ns will need to consider the best way to incorporate the free_to_read and license_reference metadata into existing formats, such as the Journal Article Tag Suite (JATS), ONIX, RDF, OAI-PMH, and Dublin Core (DC). NISO RP-22-2015 Access License and Indicators 10 Section 5: Use Case Review The Working
28、Group identified and analyzed a number of potential use cases, both to aid in development of the recommendations and to test whether the recommendations would completely address the case. 5.1 Use Case: End User Seeks to Discover, Identify, and Access Free-to-Read Items Actor(s): End users, indexing
29、and abstracting services, institutions, publishers, metadata harvesters Description: When an interested party is searching for an item, it would be helpful to have the items accessibility status identified in the search results. For items that are openly accessible via a hybrid/“open choice” plan, l
30、ibrary electronic resource management (ERM) systems may not, at present, convey this accessibility to the librarys discovery system. This is because the availability status often comes from the knowledge base of a link resolver or the library ERM and is managed on a journal/volume/issue level, rathe
31、r than an article level. Use Case Addressed? Yes Publishers should transmit a machine-readable indication in their article metadata. Discovery systems, knowledge bases, and other third-party mechanisms can use those indicators to provide the correct availability status. Search engines can include th
32、is material in their harvesting programs. 5.2 Use Case: End User Seeks to Know the Readability Status of an Item Actor(s): End users, indexing and abstracting services, institutions, publishers, metadata harvesters Description: Readers, on arrival at a standard web page for a journal article, may no
33、t be aware that an article is free-to-read. One example of this is the scenario in which a reader who does not generally have access to subscription content runs a Google search and pay-for-use scholarly articles are among the returned results. For this user, reaching a paywall can be frustrating an
34、d might lead such a user to copies other than the definitive versions-of-record. In some cases technical/procedural problems in combination with confusion can mean that readers are not aware they should be able to read an article when they are blocked for some extraneous reason (e.g., the end user i
35、s not using an authorized network connection to licensed content to which s/he has access). Clear identification of free-to-read content could help reduce time wastage as readers attempt to reach alternative versions. This identification will need to be understandable to an audience that is inexperi
36、enced with scholarly and subscription content. Use Case Addressed? Yes Publishers should transmit machine-readable indication in the metadata. Discovery systems, knowledge bases, and other third-party mechanisms should use those indicators to provide the correct availability status. Search engines c
37、an include this material in their harvesting program. If a publisher maintains multiple versions of an item on its site (e.g., the Version of Record and the Accepted Manuscript), each item could transmit a distinct machine-readable indication in the metadata. Access License and Indicators NISO RP-22
38、-2015 11 5.3 Use Case: End User Seeks to Know Re-Use Permissions of an Item Actor(s): End users, publishers, repositories Description: Researchers are unsure what they can and cannot legally do with content they find online; for example, whether they can distribute articles (or parts of them) to a c
39、lass, include full text in their reference management tools or academic social networking profiles, or share material in Open Educational Resources (OERs). The re-use of licensed material is limited because it is not easy to identify material that can be re-used, especially if the reader wants to sh
40、are it outside his/her institution. Clear identification of those materials with wide re-use rights may also discourage infringing uses of materials with limited or no re-use rights. Use Case Addressed? Yes Publishers should provide a machine-readable indicator in the article metadata. Note that int
41、erpretation of re-use rights would be the responsibility of the user. Based on the information in the elements, sites/systems should display the status of content in a human readable form. 5.4 Use Case: End User Seeks to Know Re-Use Permissions of a Sub-Component of an Item Actor(s): End users, auth
42、ors, publishers Description: A person wants to use a sub-component of an article (i.e., the abstract, an image, a full poem quoted within a scholarly article, but not a full article), either in a single case or in some automated re-use pipeline. It is not clear if the sub-component has the same re-u
43、se rights and restrictions as the full article. The overall article (for instance, the original text contribution of the author) might be licensed CC BY, but the article may contain content (possibly, though not under all circumstances, from a third party) such as photographs, datasets, or figures u
44、nder a different open license (or even a custom license) that is not clearly marked. This increases the likelihood that re-users will violate those terms, that licensors will refrain from incorporating valuable sub-components, and that third-party providers will object to having their content includ
45、ed in free-to-read articles. Use Case Addressed? Yes Where components of a content item (e.g., figures in a journal article or book chapter) are separately identified, the URI can be applied to the component. It is not currently common practice to uniquely identify sub-components of content so for n
46、ow there will be limited use of for sub-components. It is outside the scope of this Recommended Practice to determine how components should be identified, but the group hopes that the URI will become part of the standard practice for identification of sub-components as it develops. 5.5 Use Case: Rep
47、ositories Seek to Expose Free-to-Read Items Actor(s): Repositories, both institutional and subject-based; publishers Description: Currently it is difficult and labor intensive for both authors and repository managers to be sure what they can and cannot do with potential deposits, including which art
48、icles (and which parts of articles) they can make directly available and which articles they can disseminate to other repositories. Use Case Addressed? Yes Publishers should provide a machine-readable URI in the article metadata that also references any part of the article licensed under a different
49、 license to that governing the article as a NISO RP-22-2015 Access License and Indicators 12 whole. Interpretation of re-use rights would be the responsibility of the user. Repository managers replicating full text via their repositories are encouraged also to provide the same tag in the metadata relating to the copy of the item in their repository. 5.6 Use Case: End User Seeks to Text Mine Content Actor(s): End users, text miners, repositories Description: Currently it is difficult and labor-intensive for text miners to know what they can access for mining content (which articles and whic
