1、 NISO RP-24-2015 Transfer Code of Practice Version 3.0 A Recommended Practice of the National Information Standards Organization NISO RP-24-2015 Transfer Code of Practice About NISO Recommended Practices A NISO Recommended Practice is a recommended “best practice” or “guideline” for methods, materia
2、ls, 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 needs. This recommended
3、practice may be revised or withdrawn at any time.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 Mill Road Suite 302 Baltimore, MD 21211 www.niso.
4、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 by any means without prior permission in writing fro
5、m 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 should be addressed to: NISO, 3600 Clipper Mill Road, S
6、uite 302, Baltimore, MD 21211. ISBN: 978-1-937522-40-7 Transfer Code of Practice NISO RP-24-2015 iii Contents FOREWARD . v 1. PRINCIPLES 1 TRANSFERRING PUBLISHER ROLES AND RESPONSIBILITIES 2 2. Digital Content Files 2 2.1 Transferring Digital Content Files . 2 2.2 Ahead of Paginated Issue Content .
7、2 2.3 Other Digital Assets 2 2.4 Licensing Terms . 2 2.5 Preservation Arrangements 2 3. Access to the Title . 2 3.1 Access for Subscribers . 2 3.2 Perpetual Access 3 4. Subscriber and Non-Subscriber Access to the Journal . 3 4.1 Subscription Lists . 3 4.2 Gratis Subscribers 3 5. Other Content and Da
8、ta Types 4 5.1 Online Editorial System 4 5.2 Content in Production (Pre-Publication) . 4 5.3 Usage Statistics 4 6. Journal URL . 4 7. Communication 4 7.1 Transfer Communication 4 7.2 Licensing Information . 4 7.3 Perpetual Licensing Information . 5 7.4 E-Alert Registrants . 5 8. Identifier informati
9、on 5 8.1 DOI Ownership . 5 8.2 ISSN Information 5 RECEIVING PUBLISHER ROLES AND RESPONSIBILITIES 6 9. Access to the Title . 6 9.1 Access for Subscribers . 6 9.2 Perpetual Access Arrangements 6 9.3 Preservation Arrangements 6 10. Licensing Terms 6 11. Communication 6 11.1 Transfer Communication 6 11.
10、2 Enhanced Transfer Alerting Service . 7 12. Subscription Lists 7 13. Identifier Information 7 13.1 DOI Ownership . 7 13.2 ISSN Information 7 GLOSSARY 8 APPENDIX A : SUPPLEMENTARY INFORMATION 11 NISO RP-24-2015 Transfer Code of Practice iv Transfer Code of Practice NISO RP-24-2015 v FOREWORD About t
11、his Recommended Practice The Transfer project was initiated by UKSG in 2006 in response to issues identified by the scholarly communications community when journal titles change platform providers or owners. In the first ten months of 2006, EBSCO logged over 5,000 titles that changed publishers. Suc
12、h transfers can negatively impact libraries, intermediaries (such as serials subscription agents, link resolver administrators, and vendors of large-scale discovery systems), and readers. Often the journal would seem to disappear and links from existing information systems to the content would break
13、, even though the title was still being published. A Working Group was formed with representatives from libraries, publishers, intermediaries such as periodicals subscription agents and other parties relevant to the scholarly journal supply chain. The Transfer Working Groups objective was to develop
14、 procedures and policies surrounding the transfer of journals between publishers so that the movement of journals causes the minimum disruption to stakeholders and adheres to an agreed-upon Code of Practice. Alerting Service In support of the Code, an online notification service was launched where p
15、ublishers could register information about transfers as soon as a contract was signed. Libraries and other interested parties could sign up for e-mail alerts to learn of title transfers. An Enhanced Transfer Alerting Service was released in May 2012, adding a searchable database available at http:/e
16、tas.jusp.mimas.ac.uk/. The ETAS is currently offered through collaboration among UKSG, JUSP, JISC, and Cranfield University with JUSP and MIMAS providing the hosting environment. Project Moved to NISO In 2014, the UKSG Transfer Working Group approached the National Information Standards Organization
17、 (NISO) about taking over responsibility for the ongoing maintenance of the Transfer Code of Practice. NISO Voting Members approved this undertaking and the NISO Business Information Topic Committee added the Code to their portfolio. A NISO Transfer Standing Committee was formed that included some m
18、embers of the previous UKSG Working Group. The Standing Committee will work to encourage broader uptake of the Code among publishers, educate the three primary stakeholder constituencies (librarians, publishers, and societies) about Transfer and its work, review suggestions for changes and updates t
19、o the Code, and develop revisions when needed. The current hosting arrangements for the ETAS service will remain in place for the foreseeable future. Revision History The first Transfer Code of Practice was published in April 2007. Following feedback from some publishers regarding differing business
20、 models that needed to be addressed, a second version was issued in September 2008. The current version 3.0 was released in March 2014. The new version has a number of key updates dealing with new content types, clarification of subscriber types, journal URLs and redirects, nomenclature, and the tim
21、ing and content of communications. A detailed description of the changes is available on the transfer website: www.niso.org/workrooms/transfer/. NISO RP-X-201x vi This document represents a re-issue of the UKSG version 3.0 of the Code as a NISO Recommended Practice. NISO BI Topic Committee Members T
22、he Business Information (BI) Topic Committee had the following members at the time it approved the transfer of this Recommended Practice from UKSG to NISO: Denise Davis, Co-chair Sacramento Public Library Nawin Gupta Association of Subscription Agents (ASA) Norm Medeiros Haverford College Greg Rasch
23、ke North Carolina State University Libraries Christine Stamison Center for Research Libraries Timothy Strawn California Polytechnic State University Karla Strieb, Co-chair Ohio State University Libraries Gary Van Overborg Scholarly iQ Charles Watkinson Purdue University Transfer Code of Practice NIS
24、O RP-24-2015 vii UKSG Transfer Working Group Members The following individuals served on the UKSG Transfer Working Group, which developed the Transfer Code of Practice v3.0: Magaly Bascones JISC Collections Jennifer Bazeley Miami University Nancy Beals Wayne State University Rochelle Belanger John W
25、iley & Sons, Ltd. Kiersty Cooper Nature Publishing Group Anna Creech University of Richmond Tim Devenport EDItEUR Rob Edwards Emerald Louise Howes Swets Sonia Manjarres-Fernandez John Wiley & Sons Laura Jenkins Emerald Publishing Group Audrey McCulloch ALPSP Alison Mitchell Nature Publishing Group M
26、ary Nugent Taylor and Francis Niamh OConnor Portland Press Pappaparvathi Patham Serials Solutions, ProQuest Edward Pentz CrossRef James Phillpotts Oxford University Press Dani Roach University of St. Thomas Lucy Robinson SAGE Publications Adam Rusbridge EDINA Hildegard Schaeffler Bavarian State Libr
27、ary Heather Staines SIPX Melanie Watts EBSCO Information Services Tamara Welschot Springer Elizabeth Winter Georgia Institute of Technology Libraries Steve Wymbs Elsevier Trademarks, Services Marks Wherever used in this standard, all terms that are trademarks or service marks are and remain the prop
28、erty of their respective owners. NISO RP-24-2015 Transfer Code of Practice viii Transfer Code of Practice NISO RP-24-2015 1 1. PRINCIPLES The goals of the Transfer Code of Practice (Code) are to promote a set of standards that apply whenever a journal is transferred from one publisher or publishing
29、platform to another, and to encourage the industry to embrace these standards as a baseline level of quality and performance. The Code is concerned primarily with online content and not with print except where the Code calls for print subscription lists to be made available. Publishers who publicly
30、sign up to the Code and apply it in practice are considered Transfer compliant. Publishers agreeing to this Code do so for the titles that they wholly own. Transfer-compliant publishers are expected to use commercially reasonable efforts to ensure that their newly negotiated third-party-owned journa
31、l contracts are also consistent with the Code. Provided that commercially reasonable efforts are made to achieve Transfer-compliant agreements with respect to third-party-owned journals, any lack of success in doing so will not otherwise affect a publishers status as being considered Transfer compli
32、ant. This Code is intended to be universally applied regardless of the nature of the publisher or whether a third party is involved, or if one publisher is acquired by another. Transfer-compliant publishers are encouraged but not required to follow the Code in transfers where the other publisher is
33、not Transfer compliant. The Code is not intended to, and should not, be implemented in a manner that would require any party involved in the transfer to engage in conduct prohibited by laws and regulations applicable to the transfer in question including competition, privacy and data protection laws
34、 and regulations. As a voluntary best practices code for industry participants, the Transfer Code of Practice does not supplant contractual terms, intellectual property rights or the competitive marketplace between publishers. In all journal transfers, contract terms negotiated between the parties i
35、nvolved in the transfer will govern. However, publishers that sign up to this Code are electing to use commercially reasonable efforts to ensure that the contracts governing journal transfers to which they are a party are consistent with the Code. No publisher is required to sign up to the Code and
36、each publisher is free to enter into contracts that have terms that are materially different from those contained in the Code. There is no sanction if a publisher does not sign up to the Transfer Code of Practice. Transfer-compliant publishers are encouraged to use the Enhanced Transfer Alerting Ser
37、vice (ETAS) at http:/etas.jusp.mimas.ac.uk/ to give advance information to librarians and third parties about journals that will be entering or leaving their publishing portfolios. A short Glossary of terms is provided in an appendix to this document. Whilst not exhaustive, this Glossary aims to def
38、ine certain key terms so as to aid understanding and avoid ambiguities in interpretation. NISO RP-24-2015 Transfer Code of Practice 2 TRANSFERRING PUBLISHER ROLES AND RESPONSIBILITIES Key responsibilities: To facilitate the effective and rapid transfer of accurate and comprehensive information about
39、 subscribers and other entitled users to the receiving publisher in order to maintain uninterrupted access to journal content To facilitate the effective and rapid transfer of journal content to the receiving publisher 2. Digital Content Files 2.1 Transferring Digital Content Files The transferring
40、publisher will make all available digital content files (current and archive, including any supplemental data) available to the receiving publisher within four weeks of signature of the contract or four months prior to the effective transfer date, whichever is the later. If the transferring publishe
41、r is not the journal owner, it will provide the digital content files to the receiving publisher only with the express written permission of the journal owner. 2.2 Ahead of Paginated Issue Content The transferring publisher will agree with the receiving publisher when it will cease to produce ahead
42、of paginated issue content, to ensure that all content that is to be published in print and online after the effective transfer date is in the receiving publishers format. 2.3 Other Digital Assets The transferring publisher will also agree with the journal owner whether any title-specific apps, or a
43、udio/video archives will be transferred, and whether responsibility for the curation of any journal-specific social media sites (for example, Twitter or Facebook pages) will pass to the receiving publisher. 2.4 Licensing Terms The transferring publisher will indicate to the receiving publisher the l
44、icensing terms under which all content was originally published. 2.5 Preservation Arrangements The transferring publisher will alert the receiving publisher to all existing preservation arrangements for the journal. 3. Access to the Title 3.1 Access for Subscribers If the receiving publisher has rec
45、eived all of the digital content files but is unable to provide access on the effective transfer date, the transferring publisher will continue to provide access to existing subscribers until the receiving publisher has made the files available or for six months after the effective transfer date, wh
46、ichever is sooner. If the receiving publisher has not made the digital content Transfer Code of Practice NISO RP-24-2015 3 files available six months after the effective transfer date, the transferring publisher is encouraged to continue to provide access to transferring publishers existing subscrib
47、ers. 3.2 Perpetual Access The transferring publisher must ensure continued access to its subscribers where it has granted perpetual access rights, even if the transferring publisher will cease to host the online version of the journal after the effective transfer date. Either the transferring or the
48、 receiving publisher, or both, could fulfill perpetual access obligations. The Code intentionally does not specify the means for achieving such access, but places on the transferring publisher the responsibility for ensuring that subscribers to whom it has granted perpetual access rights will contin
49、ue to have access post-transfer (see section 7.3). 4. Subscriber and Non-Subscriber Access to the Journal 4.1 Subscription Lists The transferring publisher will make the subscription list of the journal available to the receiving publisher within four weeks of signature of the contract or six months prior to the effective transfer date, whichever is the later. If updates are made to the subscription list after this point, the transferring publisher will provide this information to the receiving publisher. The transferring publisher will use reasonable efforts to
