1、 NISO RP-23-2015 Protocol for Exchanging Serial Content (PESC) Approved May 14, 2015 A Recommended Practice of the National Information Standards Organization NISO RP-23-2015 Protocol for Exchanging Serial Content (PESC) About NISO Recommended Practices A NISO Recommended Practice is a recommended “
2、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 modified by
3、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 This recommended practice may be revised or withdrawn at any time.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) 3600 Clipper
4、 Mill Road, Suite 302 Baltimore, MD 21211 www.niso.org Copyright 2015 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 any form or b
5、y 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 distribution shou
6、ld be addressed to: NISO, 3600 Clipper Mill Road, Suite 302, Baltimore, MD 21211. ISBN: 978-1-937522-66-7 Protocol for Exchanging Serial Content (PESC) NISO RP-23-2015 iii Contents Foreword . v Section 1: Introduction 1 1.1 Purpose and Scope . 1 1.2 Terms and Definitions 1 Section 2: Recommendations
7、 3 2.1 Package . 3 2.1.1 Package Content 3 2.1.2 The Manifest Document . 3 2.1.3 Package Structure 3 2.1.4 Package Format . 5 2.2 Exchanging Packages . 5 2.3 Conformance Levels 5 2.3.1 Conformance Level 0 . 5 2.3.2 Conformance Level 1 . 6 2.3.3 Conformance Level 2 . 7 2.4 Notes on Conformance Levels
8、 7 Section 3: Guidelines for Effective Implementation 8 3.1 Material Inclusion/Exclusion 8 3.2 Validation . 8 3.3 File Naming 8 3.4 Consistency . 8 3.4.1 Consistency in File Naming 8 3.4.2 Consistency of Delivered File Types 9 3.4.3 Consistency with Serial Item Identifiers 9 Appendix A: Examples of
9、Packages 10 Appendix B: Additional Detail on Use Cases 16 Appendix C: How to Apply for ISSN and DOI 20 Appendix D: Related Standards and Recommended Practices 23 Appendix E: FAQ 26 Appendix F: XSD Schemas for each PESC Conformance Level 27 NISO RP-23-2015 Protocol for Exchanging Serial Content (PESC
10、) iv Protocol for Exchanging Serial Content (PESC) NISO RP-23-2015 v Foreword About this Recommended Practice Many different organizations, such as libraries, archives, indexing services, content aggregators, publishers, and content creators exchange and work with the diverse digital files that comp
11、rise serial content. There are many reasons for copies of serial content to be transferred from organization to organization, and even within a single organization, many times during the lifecycle of the content. When exchanging content, the files that comprise a serial “publication” are packaged to
12、gether in some manner and these packages can be highly variable. There are a number of elements that may be present in the exchange of serial content. These include: The content itself, represented by digital files Descriptive metadata describing the intellectual content of the files Structural meta
13、data describing how the files are related to one another A manifest describing what files should be present when more than one file is sent The package that holds all of the information described above These elements can be combined and delivered in many different ways. For example, members of the N
14、ISO Protocol for Exchanging Serial Content Working Group have received or delivered such content in the following ways: an e-mail with multiple attachments (an XML file along with 3 JPEG files) that represent a single manuscript according to the text of the e-mail; a ZIP file that contains hundreds
15、of separate files that may or may not be accompanied by metadata or a manifest file that explains their relationships; a tar file that represents an entire issue of content with directory structures that implicitly define relationships between files; and an EPUB, comprised of HTML, XML, and image fi
16、les. In addition to the variety of delivery methods and packaging, the packages themselves may contain a handful of files for a single issue or over a million files for a full journal title backfile. If the amount of material being exchanged is small, or the exchange happens rarely, this variation m
17、ight not be a problem, but for organizations that exchange large quantities of serial content on an ongoing basis, this variation leads to frustrations and inefficiencies. To address these issues, NISO approved the formation of a Working Group in June 2013 with the charge to: Examine current practic
18、e and see what strategies are currently used in the community. Depending on the results of this exploration the Working Group might find that it is possible to either adopt a current method wholesale or to make changes to a current method to better address the specific needs of serial content, rathe
19、r than creating a new method from scratch. Develop a Recommended Practice for the specifications of packaging that can be used for archiving and exchanging digital files related to periodic publications. NISO RP-23-2015 Protocol for Exchanging Serial Content (PESC) vi The guidelines in this document
20、 provide the recommendations developed by the PESC Working Group on the best way to manage all of the elements of serial content packaging in a manner that aids both the content provider and the content recipient in understanding what has been delivered and received. NISO CCM Topic Committee Members
21、 The Content and Collection Management (CCM) Topic Committee had the following members at the time it approved this Recommended Practice: Marti Heyman, Co-chair Cengage Learning Betty Landesman, Co-chair University of Baltimore va Bolkovac Yale University Library Eric Childress OCLC Research Marjori
22、e M.K. Hlava Access Innovations / Data Harmony Rebecca Kennison K|N Consultants Amy Kirchhoff ITHAKA/JSTOR/Portico Robert Klingenberger Yale University LibrariesNISO PESC Working Group Members The following individuals served on the NISO Protocol for Exchanging Serial Content (PESC) Working Group, w
23、hich developed and approved this Recommended Practice: Jean-Baptiste Bertrand Charg de systme dinformation documentaire - Clo Mark Donoghue IEEE Publishing Technology Beth Friedman Data Conversion Laboratory, Inc. Leslie Johnston, Co-chair National Archives and Records Administration Laurie Kaplan S
24、erialsSolutions/ProQuest Amy Kirchhoff ITHAKA/JSTOR/Portico Andrea Kudzia (through January 2014) Cengage Jennifer Melinn (through December 2013) Wolters Kluwer Oliver Pesch EBSCO Laura Randall (from June 2014) National Library of Medicine Gabriele Schaefer (from February 2014) Springer Henning Schne
25、nberger (through January 2014) Springer David Schott (through February 2014) Copyright Clearance Center, Inc. Linda Sussman Cold Spring Harbor Laboratory Press Lauren Syer (through February 2014) Harvard University Kimberly A. Tryka, Co-chair National Institute of Standards and Technology Stephen Wa
26、nt U.S. Copyright Office Elizabeth Windsor Project MUSE Amy Wood Center for Research Libraries Wei Zhao OCUL/Scholars Portal Protocol for Exchanging Serial Content (PESC) NISO RP-23-2015 vii Acknowledgements The PESC Working Group wishes to acknowledge those outside the formal working group membersh
27、ip who contributed to this effort: Marti Heyman (Cengage Learning), Nettie Lagace (NISO), and Cynthia Hodgson (NISO) Trademarks, Service Marks Wherever used in this standard, all terms that are trademarks or service marks are and remain the property of their respective owners. NISO RP-23-2015 Protoc
28、ol for Exchanging Serial Content (PESC) viii Protocol for Exchanging Serial Content (PESC) NISO RP-23-2015 1 Section 1: Introduction 1.1 Purpose and Scope Serial publications represent a diverse content space ranging from popular magazines to scholarly journals, from content that is image-based to c
29、ontent that is text-based, from publications that have new content daily (even hourly) to those that might have new content only every few years. The manner in which the content creator packages the content for any particular serial publication may not match the needs of the recipient of that conten
30、t and, given the proliferation of serial content, this creates a highly chaotic environment with different partners delivering significantly different looking content packages and making it difficult for all parties in the environment to work with content deliveries in a cost-efficient and effective
31、 way. The recommendations in this document offer guidance to members of the scholarly communication community on preferred practices for the packaging and exchange of serial content that will enable the automation of processes to receive and manage serial content at scale. By following these practic
32、es, organizations can make it clear what content has been transmitted, how it is organized, and what processing is required when a new package is received. 1.2 Terms and Definitions The following terms, as used in this recommended practice, have the meanings indicated. Term Definition actors Sending
33、 and receiving parties (see Appendix B.2). BagIt A hierarchical file packaging format designed to support disk-based or network-based storage and transfer of arbitrary digital content. Source: BagIt specification at: http:/tools.ietf.org/html/draft-kunze-bagit-10 checksum A short piece of text that
34、is algorithmically derived from a file and allows the determination of whether the file has been corrupted. conformance Compliance with the guidelines of this recommended practice. Note: Conformance is defined at different levels. descriptive metadata Metadata that describes the intellectual content
35、 of a file, as opposed to the physical or structural characteristics of the file. digital object identifier DOI A unique, persistent, and actionable digital identifier for a content object. Note: The DOI syntax is defined in ANSI/NISO Z39.84 and the entire DOI system is defined in ISO 26324. full-te
36、xt XML Bibliographic metadata plus the full text of the article is included in an XML file. ISSN International Standard Serial Number, an eight digit number assigned to a continuing resource, according to the standard ISO 3297. NISO RP-23-2015 Protocol for Exchanging Serial Content (PESC) 2 Term Def
37、inition manifest Detailed listing of the items contained in a package. metadata A set of data that describes and gives information about other data; for example, data describing the full text of an article. package An aggregation of files being sent to another actor. Note: In the Open Archival Infor
38、mation System (OAIS), this package is often the Submission Information Package (SIP). rendition Electronic encoding of content. Note: Any individual article may have one or more renditions. Sometimes these are provided by the content provider, though sometimes they must be created by the recipient.
39、For example, the following are all different renditions of the same content: A PDF file of page images of the article A set of TIFF images of each page of the article A content owner-provided HTML file of the article An HTML file that is created on the fly from full-text XML provided by the content
40、owner serial A continuing resource issued in a succession of discrete issues or parts, usually bearing numbering, that has no predetermined conclusion. Examples: Journals, magazines, electronic journals, ongoing directories, annual reports, newspapers, monographic series, and also those journals, ma
41、gazines, and newsletters of limited duration that otherwise bear all the characteristics of serials (e.g., newsletter of an event). Source: ISO 3297 serial item The smallest self-contained portion of a serial. Examples: Articles, letters, reviews, case studies, front matter (in contrast to volumes o
42、r issues) structural metadata Metadata that is used to illustrate the relationships between a series of files and that allows the reconstruction of a whole from its parts. tar A file format that groups many files together while retaining their relationships within the file system. use cases Scenario
43、s in which content is exchanged between actors. ZIP A file format that allows many files to be grouped together and compressed. Protocol for Exchanging Serial Content (PESC) NISO RP-23-2015 3 Section 2: Recommendations 2.1 Package The package includes all of the content being sent along with other i
44、nformation needed to understand those files, as described in 2.1.1 through 2.1.4. Minimally, it must include content files and a manifest file. It may also include descriptive and structural metadata. 2.1.1 Package Content The package may contain three types of information: Manifest The manifest doc
45、ument describes the package and its content. It is required for all Conformance Levels (see 2.3). Content Files Examples of content files are: full text of a serial item (PDF or XML), images, supplementary materials, metadata, and cited references. Metadata Files Metadata files describe the content
46、items being delivered. This is required only at Conformance Level 2 (see 2.3.3). 2.1.2 The Manifest Document A manifest document must be contained in all packages and should be named “manifest” with the appropriate file extension for the format used. The manifest will include information related to
47、the package as a whole and will list the files included (as well as their directory structure if there is one), with information about the files corresponding to the Conformance Level of the package (see 2.3). The encoding of the manifest.txt file should be clearly stated. If using the BagIt packagi
48、ng this would be stated in the bagit.txt file. If using XML the encoding is assumed to be UTF-8 unless explicitly stated otherwise in the XML declaration. 2.1.3 Package Structure It is helpful for package recipients to have sufficient information in the package structure and file naming conventions
49、to identify the set of serial items being delivered. To this end, the files within the package should be organized into a folder structure (see Figure 1) that represents the logical organization of the content as follows: Every package should have a manifest file that appears in the root directory of the package. It should be named “manifest” and have the proper extension for its format. (For example, manifest.txt or manifest.xml.) If multiple serial items are in the package, the contents of each item shall appear in a separate folder. To
