1、 NISO RP-7-2012 SERU: A Shared Electronic Resource Understanding May 2012 A Recommended Practice of the National Information Standards Organization Prepared by the NISO SERU Standing Committee NISO RP-7-2012 SERU ii About NISO Recommended Practices A NISO Recommended Practice is a recommended “best
2、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 the u
3、ser 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 This recommended practice may be revised or withdrawn at any time.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) One North Charles
4、 Street, Suite 1905 Baltimore, MD 21201 www.niso.org Copyright 2012 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
5、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 should
6、 be addressed to: NISO, One North Charles Street, Suite 1905, Baltimore, MD 21201. ISBN: 978-1-937522-08-7 SERU NISO RP-7-2012 iii Foreword The Shared Electronic Resource Understanding (SERU) Recommended Practice offers a mechanism that can be used as an alternative to a license agreement. The SERU
7、statement expresses commonly shared understandings of the content provider, the subscribing institution and authorized users; the nature of the content; use of materials and inappropriate uses; privacy and confidentiality; online performance and service provision; and archiving and perpetual access.
8、 Widespread adoption of the SERU model for many electronic resource transactions offers substantial benefits both to publishers and libraries by removing the overhead of bilateral license negotiation. When SERU was adopted as a NISO Best Practice in 2008, its focus was on e-journal transactions, and
9、 the parties involved were primarily libraries and publishers. Since then, with the many emerging models for acquisition of e-books, both libraries and e-book providers have requested that other types of electronic resources be incorporated into the SERU framework. This updated version of SERU recog
10、nizes both the importance of making SERU more flexible for those who want to expand its use beyond e-journals, and the fact that consensus for other types of e-resource transactions are not as well-established as they are for e-journals. In those instances where there is as yet no standard expectati
11、on, a shared understanding may still be achieved if expectations are clearly articulated in the purchase order that accompanies SERU. NISO Topic Committee Members The Business Information (BI) Topic Committee had the following members at the time it approved this Recommended Practice: Ivy Anderson C
12、alifornia Digital Library William Hoffman Swets Information Services Linda Beebe American Psychological Association Carol Richman SAGE Publications Niels Dam Reed Elsevier Christine Stamison Swets Information Services Denise Davis Sacramento Public Library Karla Strieb Ohio State University Librarie
13、s Kathleen Folger, Chair University of Michigan Library Gary Van Overborg Scholarly iQ Herbert Gruttemeier Institut de lInformation Scientifique et Technique (INIST) NISO RP-7-2012 SERU iv NISO SERU Standing Committee The following individuals served on the NISO SERU Standing Committee, which develo
14、ped this Recommended Practice: Bob Boissy Springer Judy Luther, Co-chair Informed Strategies Adam Chesler Business Expert Press Janet Morrow Northeastern University William M. Cross North Carolina State University Kimberly Steinle Duke University Press Selden Lamoureux, Co-chair NCSU Libraries Linda
15、 Wobbe Saint Marys College Library SERU NISO RP-7-2012 v Table of Contents Foreword iii Introduction 1 Guidelines for Implementing SERU 2 Statements of Common Understandings for Acquiring Electronic Resources 3 The Acquisition . 3 The Acquiring Institution and Its Authorized Users 3 Use of Materials
16、 3 Inappropriate Use . 4 Confidentiality and Privacy 4 Online Performance and Service Provision . 4 Archiving and Perpetual Access . 5 NISO RP-7-2012 SERU vi SERU: A Shared Electronic Resource Understanding 1 Introduction SERU embodies a desire by publishers and libraries for a cooperative and colla
17、borative relationship that recognizes that the provision of timely, high-quality materials and their protection is in the mutual interests of all parties. SERU offers providers (such as publishers) and acquiring institutions (such as libraries) the opportunity to save both the time and the costs ass
18、ociated with a negotiated and signed license agreement by agreeing to operate within a framework of shared understanding and good faith. The statements below provide a set of common understandings for providers and acquiring institutions to reference as an alternative to a formal license when conduc
19、ting business. Neither the statements of understanding nor this document constitute a license agreement. Because SERU is not a license, legal terms (such as jurisdiction, warranties, and liabilities) are not used. Rather, the SERU statements describe a set of commonly agreed-upon expectations for us
20、ing and providing electronic resources. While licenses are appropriate in many situations, SERU offers an alternative when both the acquiring institution and the provider are satisfied with this approach. NISOs SERU Standing Committee members largely reflect the interests of U.S. academic libraries
21、and scholarly publishers, and monitor the state of electronic resources to ensure that SERU adequately reflects the current state of e-resource distribution in the scholarly community. Further background on the SERU project is available at the NISO website: http:/www.niso.org/committees/SERU/. SERU
22、reflects some well-established and widely accepted common expectations concerning e-resources acquisitions. When there is uncertainty about expectations, clarification should appear in the purchase order or purchase document, as should purchase terms regarding what is being acquired (such as the pri
23、ce, the product, the length of access, the number of simultaneous users). NISO RP-7-2012 SERU 2 Guidelines for Implementing SERU Content providers and acquiring institutions choosing to use SERU instead of a license for some of their resources are asked to indicate their support by registering at th
24、e NISO SERU website (http:/www.niso.org/committees/SERU/). Registering does not require that SERU apply to all resources or all transactions. Rather than reproducing SERU statements, providers are encouraged to link to the SERU documents from their websites. The SERU text is not meant to be modified
25、 or copied and should not be presented as a click-through license. The SERU statements should be used only by mutual agreement between the provider and the acquiring institution. If one or both partners in a transaction are not comfortable with the SERU approach or the statements of shared understan
26、ding, then a negotiated license is appropriate. Neither providers nor acquiring institutions should require their partner to accept SERU if either prefers a license agreement. The purchase order or similar document should include specific business terms that affect the price such as the amount of co
27、ntent and length of access to it, and clarification as needed. Providers should clearly state factors affecting the price and acquiring institutions should be clear about their user population. Where there may as yet be no standard set of expectations, as in emerging e-books models, the mutual expec
28、tations should be articulated in the purchase order. Purchase communications should reference SERU with a statement to the effect that: “In the absence of a separate license agreement, XXXXXXX follows the SERU guidelines, as published at the NISO SERU website: http:/www.niso.org/committees/SERU/.” S
29、ERU NISO RP-7-2012 3 Statements of Common Understandings for Acquiring Electronic Resources The Acquisition The acquiring institution receives the right to use the content of the electronic resource(s) for a specified period through payment of an agreed upon fee. The nature and extent of the content
30、 should be clarified at the outset, including whether the acquisition constitutes a perpetual purchase or an access of limited duration, and whether access is provided to content that is additional to the electronic resource being acquired. The provider has secured the rights necessary to provide ac
31、cess to the content to the acquiring institution. The acquisition of the providers electronic resource allows an acquiring institution and its authorized users access to the content. The number of concurrent users is not restricted unless otherwise explicitly agreed upon by the provider and the acqu
32、iring institution. The Acquiring Institution and Its Authorized Users The acquiring institution is generally understood to be a single institution. In cases of ambiguity, the provider and acquiring institution will explicitly agree on a definition of the acquiring institution and the pricing that ap
33、plies to it. The authorized user population will be defined in institutionally appropriate ways that respect the business interests of the provider. The provider will rely upon the acquiring institutions judgment in defining its user community, but may challenge any interpretation that it considers
34、damaging to its interests. Unless agreed to otherwise, the following authorized user definitions are generally accepted by both providers and acquiring institutions: Academic Libraries (such as school, community college, college, and university libraries): Authorized users of the content include the
35、 institutions currently enrolled students, emeritus and current faculty, current affiliated and visiting researchers, current regular and contract staff, and other users granted access to the campus/institutional network. Alumni are not considered part of the authorized user community unless explici
36、tly agreed to between the providers and acquiring institutions. Public libraries and other cultural memory institutions (such as museums, archives, etc.): Authorized users of the content are the librarys or institutions current staff, registered patrons, and other users granted access to the acquiri
37、ng institutions network. Authorized users may access content from remote locations. Visitors to the organization, such as walk-in users, are also allowed to use the content while on the acquiring institutions premises but are understood to lose this access upon departure and are excluded from remote
38、 access privileges. Use of Materials Use of the content is generally governed by applicable copyright law. For acquiring institutions in the United States, U.S. Copyright Law governs use. Authorized uses include any uses permitted under the appropriate existing copyright law, including, where applic
39、able, uses permitted as fair use. NISO RP-7-2012 SERU 4 Some of the accepted uses include interlibrary loan and ad hoc sharing of single articles and chapters by individuals for purposes of scholarship or private study. Linking to the content at the providers site for use in courses is also acceptab
40、le. While interlibrary loan of printed books has been a standard, accepted practice since the Nineteenth Century, there is no current consensus or standardized technology pertaining to interlibrary lending of e-books. Providers and acquiring institutions may choose to describe a mutually acceptable
41、process in their quotes and purchase orders. Inappropriate Use The acquiring institution recognizes that the material provided as part of the acquisition is a valuable business asset of the provider and that misuse of this material, such as unauthorized resale or systematic redistribution, could neg
42、atively affect the providers business. Both providers and acquiring institutions will make reasonable efforts to prevent the misuse of the content and limit access to authorized users, and will not knowingly allow unauthorized users to gain access. While the acquiring institution cannot control user
43、 behavior, an obligation to inform users of appropriate uses of the content is acknowledged, and the acquiring institution will cooperate with the provider to resolve problems of inappropriate use. When questionable activity such as systematic downloading is detected, providers should notify the acq
44、uiring institution as soon as possible. If the acquiring institution detects inappropriate use, providers should be notified as soon as possible. Both providers and acquiring institutions should strive to resolve the incident quickly. Suspension of access for the acquiring institution by a provider
45、may be necessary but should be an action of last resort and, if possible, notification should precede any suspension of access. Because legitimate activity (for example, access from a proxy server address or authorized data mining for research purposes) can sometimes be mistaken for systematic abuse
46、, whenever possible providers should employ appropriate techniques to detect true misuse and follow industry standards in this area as they emerge. Confidentiality and Privacy The acquiring institution and the provider respect the privacy of the users of the content and will not disclose or distribu
47、te personal information about the user to any third party without the users consent unless required to do so by law. The provider should develop and post its privacy policy on its website. Online Performance and Service Provision An online acquisition generally involves both content and service prov
48、ision. Content with a print equivalent should be replicated online in as complete and timely a manner as possible. Performance expectations for accessing the content include: generally uninterrupted availability, maintenance windows scheduled to minimize disruption, and sufficient bandwidth and syst
49、em capacity to provide response time comparable to that experienced by users of similar websites. Providers recognize the importance of working with industry standards and best practices for online information delivery as these standards are developed and validated in the marketplace. Appropriate areas in which standards and best practices currently exist include: identifiers, usage statistics, link resolution, accessibility, and authentication. SERU NISO RP-7-2012 5 Providers and acquiring institutions recognize the need to be clear where there are as yet no established
