Supplemental Information: Who’s Doing What and Why NISO-NFAIS Supplemental Journal Article Materials Working Group Alexander (‘Sasha’) Schwarzman Co-chair, NISO-NFAIS Working Group on Journal Article Supplemental Materials CSE 2012 Annual Meeting Seattle, WA 20 May 2012

Deluge: sup. mat. ratio Chart courtesy of Ken Beauchamp, American Society for Clinical Investigation Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Examples Supplemental Material for Male-Male and Male-Female Aggression May Influence Mating Associations in Wild Octopuses (Abdopus aculeatus) Christine L. Huffard, Roy L. Caldwell, and Farnis Boneka Journal of Comparative Psychology, Vol. 124, No. 1, pp. 38–46. View article Files: Huffard_Supplementary_Table_1.doc Huffard_Abdopus_fight.mpg This content was submitted by the author as supplemental material for an article published in APA’s PsycARTICLES. The content is presented as the author submitted it. APA assumes no liability for errors or omissions and makes no warranties of any kind. APA assumes no responsibility for any reader’s use of the materials. All questions regarding the supplemental data should be directed to the corresponding author of the published article. The reader is expected to respect the intellectual property of the author and the copyright of the American Psychological Association (APA). The content should not be reused without permission from the author and APA. Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Examples (cont’d) Supporting Info for: Yu J., et al. (2005), The Genomes of Oryza sativa: A History of Duplications, PLoS Biol. 3(2), e38. … Figure S7. Duplicated Segments in the Beijing indica Assembly. Plotted in the Manner of Figure 6, and with a Total of 12 Panels (507 KB ZIP). Table S1. Raw Data for Beijing indica and Syngenta japonica Assemblies Read length is the number of Q20 bases. Clone sizes are specified in terms of 10th and 90th percentiles. (16 KB XLS). Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Examples (cont’d) Cell, Volume 144, Issue 4, 480-497 18 February 2011 doi:http://dx.doi.org/10.1016/j.cell.2011.01.033 Revisiting the Central Dogma One Molecule at a Time Supplemental Data for Bustamante et al. Document S1. Extended Discussion, Two Figures, and Supplemental References (PDF 534 kb) Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

What is in the Pandora’s box? Multimedia Chemical structures, crystallographic structures, 3-D images, gene sequences, protein structures Computer programs (algorithms, code, libraries, and executables) Tables, Figures, Text (Experimental procedures, Extended methodology, Survey results, Derivations, Extended bibliographies, …) Datasets (datasets are not the focus of this group) Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Supplemental materials: good idea Enabling technology makes it possible for: authors to present supporting evidence, e.g., multimedia, data sets, computer programs; researchers to reveal in-depth studies that would not be available in print; readers to replicate experiments and verify results. Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Questions to ponder Degree of importance. Are all supplemental materials equally important? As a busy editor, reviewer, or reader; which ones must I focus on? Discoverability. How do I (librarian, indexer) know the article has supplemental materials? (Deadbeat parent) Identification. How do I know which article is the parent of orphaned / abandoned supplemental materials? Citing and linking. How do I provide a persistent link to the supplemental materials, and how do I cite them? Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Questions to ponder (cont’d) Viability and preservation. Will it be possible to render (read, play, execute, etc.) sup. mat. in 20 years? 200 years? It is likely that sup. mat. will have to undergo periodic migration. Then, do I look at the original or the converted object? Are they equivalent? Transmission and packaging. When fulfilling an interlibrary loan request or transmitting sup. mat. to an archive, how do I package them with the article? How do I ensure that nothing was lost or corrupted? Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Questions to ponder (cont’d) Intellectual property rights. Who has rights over sup. mat., and where are they recorded? Curatorial responsibility. Who has custody over sup. mat.: author, publisher, library, data center, institutional repository, archive, any other actor? Business models. If someone is going to provide peer review, identification, description, linking, preservation, and maintenance of sup. mat’s, what sustainable business models could support the expense? Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Who cares? You should – if you … … play a role in the scholarly communication process as an: Editor / Reviewer / Author / Reader Publisher Hosting platform / Institutional Repository / Data center / Individual A&I service Reference linking and Citation indexing service Librarian / Archivist / Historian of scholarship Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Researcher community response One camp: More supplemental materials should be made available! Technology will solve most problems! The other camp: Scholarly journal is not a data dump! An article is not an FTP site! Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Publisher community response 2009: Cell imposes limits on the number and kind of supplemental materials accepted 2010: The Journal of Neuroscience bans supplemental materials altogether; intends to embed dynamic content in its articles’ PDF 2011: The Journal of Experimental Medicine limits supplemental materials only to "essential supporting information" Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Chronology February 2009: NFAIS Best Practices for publishing journal articles November 2009: Schwarzman’s White Paper on supplemental materials survey results January 2010: NISO-NFAIS supplemental materials Thought Leader Roundtable August 2010: NISO-NFAIS Working Group on journal article supplemental materials NFAIS Best Practices for publishing journal articles: One key recommendation on supplemental materials was that the journal make a clear connection between an article and the supplemental materials that accompany it. Once published, the supplemental materials should be considered part of the journal’s archival record and should not be changed without a clear statement of correction. Publishers, the document noted, should always supply a recommended citation as well as good, descriptive metadata for those materials. A&i services covering the journal article should include the presence of supplemental data in the article record, indicating file types and DOI. “No good deed goes unpunished” “As you brew, so must you drink” Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

NISO / NFAIS Working Group Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Supplemental materials: Pseudo vs. truly Print model: article layout implicitly reflected functional distinction between essential and nonessential objects (body vs. appendix) Mixed electronic-print model: both essential and nonessential objects are often treated as “supplemental materials” – yet, some are NOT Is the material essential or not? This must be stated explicitly for machine and human reader Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Dimension 1: Importance Integral (“pseudo-supplemental”) Essential for full understanding of work but treated as if it were supplemental. Rationale: technical, business, or logistical limitations Additional (“truly supplemental”) Not critical for understanding the work. Relevant and useful – but still optional The distinction is conceptual and has NOTHING TO DO with formats Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Dimension 2: Custody Publisher Institutional repository or Data center Recommended practices offered Institutional repository or Data center The publisher has no responsibility or authority over content and does not host it. No recommended practices offered Individual Not appropriate for hosting supplemental materials Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Supplemental materials classification Importance Curated by Integral Additional Publisher Recommended practices offered Institutional repository or Data center No recommended practices offered [large data sets] Individual Not appropriate Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Business Working Group – policies Co-chairs: Linda Beebe (APA), Marie McVeigh (Thomson-Reuters ISI) Recommended Practices: scope and general principles Definitions: sup. mat., article, data, metadata, etc. Curation and life cycle: selection, peer review, editing, presentation, providing context, referencing, citing, managing/hosting, discovery, preservation Intellectual property rights management Roles and responsibilities of authors, editors, reviewers, publishers, libraries, A&I services, repositories Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Technical Working Group – “how” Co-chairs: Dave Martinsen (ACS), Sasha Schwarzman Metadata, incl. persistent identifiers Preservation, incl. archiving and migration Packaging for exchange and delivery Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Recommended business practices Integral sup. mat’s Additional sup. mat’s Selecting / Peer reviewing At the same level as the article May not be reviewed at the same level Copyediting At the same level as article. Should be noted if not May not be edited at the same level. If so, should be noted Referencing within article Cite / link at the same level as table or fig. No ref. list entry: this content is part of the article Provide in-text citation and link at the appropriate point in text, rather than at the end Identifying DOI must be assigned DOI may be assigned References within sup. mat. Integrate references into the ref. list of the article (Biophysical Journal) Keep references separate from the article ref. list Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Recommended business practices (cont’d) Integral sup. mat’s Additional sup. mat’s Preserving Preserve at the same level as the article Provide the same level of metadata markup Include in migration plans Take preservation into consideration when accepting If uncertain about preservation, have author submit to a trusted repository and link to it Intellectual property rights Treat rights in the same manner as the rights for the article Anyone who has access to the article should also have access to Integral sup. mat’s Determination of rights for Additional content may differ and should be transparent to users Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Recommended business practices (cont’d) Identifying / linking and managing sup. mat. Sup. mat’s should be linked, bi-directionally, to and from the article Integral and Additional content should not be mixed If journal content is hosted by a host / aggregator it should also deliver supplemental materials An author’s website is not an appropriate place for the sole posting of supplemental materials Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Recommended business practices (cont’d) Discovering supplemental materials Consistent placement, naming, and navigation on the ToC on the landing page in the article in the supplemental materials Consistency across the articles and across journals Aid A&I services by including metadata that indicate the function and format of the sup. mat’s Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Recommended business practices (cont’d) Providing context for sup. materials Include on a landing page or within the content: Article citation and DOI Title and/or succinct statement about sup. mat’s For multimedia: player, file extension, and size List multiple files Browser information, if supplemental mat.’ rendition is browser-dependent Sup. mat. DOI or another persistent identifier Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Recommended technical practices Minimal metadata Article DOI Supplemental materials DOIs Supplemental materials function: Integral, Additional, or both Supplemental material content description File formats of supplemental physical objects Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Recommended technical practices (cont’d) Extended metadata for supplemental materials Summary for download Content descriptor Copyright and licensing Preservation level Application and platform created with to be used for rendering Additional file information file names, file sizes mimetype, fixity, validity Non-DOI IDs Contributors Titles Languages Creation date Original or converted Subject descriptors Alt. descriptions (accessibility) Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Recommended technical practices (cont’d) Preservation Publisher must choose its preservation strategy. WG recommends migration over emulation Retention Integral objects: original + two latest converted Additional objects: original + the latest converted File formats Publishers uses formal registries, e.g., PRONOM, UDFR Publisher defines the formats it will support Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Recommended technical practices (cont’d) Packaging Article and all its components should be transferable in a single package, e.g., to fulfill interlibrary loan request, to perform a deposit to an archive or a repository, etc. There are a number of different packaging specifications available, and this Working Group does not intend to design a new one nor require the use of any particular specifications or tools. Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

Recommended technical practices (cont’d) Manifest Journal ID (ISSN) Article ID (DOI, citation) Supplemental materials DOIs List of all files contained in the package. For each: Function: Integral, Additional, or both File name, File size, File description Rendering application information Detailed copyright information Instructions Seattle, WA 20 May 2012 CSE 2012 Annual Meeting

NISO/NFAIS Supplemental journal article materials project Sources Beebe, L. (2010), Supplemental materials for Journal articles: NISO/NFAIS Joint Working Group, Information Standards Quarterly 22(3), p.33, doi:http://dx.doi.org/10.3789/isqv22n3.2010.07 Carpenter, T. (2009), Journal article supplementary materials: A Pandora’s box of issues needing best practices, Against the Grain 21(6), p.84 Marcus, E. (2009), Taming supplemental material, Cell 139(1), p.11, doi:doi:http://dx.doi.org/10.1016/j.cell.2009.09.021 Maunsell, J. (2010), Announcement regarding supplemental material, The Journal of Neuroscience 30(32): p.10599 NFAIS (2009), Best practices for publishing journal articles, 30 pp., http://www.nfais.org/files/file/Best_Practices_Final_Public.pdf Schwarzman, S. (2010), Supplemental materials survey, Information Standards Quarterly 22(3), p.23, doi:doi:http://dx.doi.org/10.3789/isqv22n3.2010.05 http://www.agu.org/dtd/Presentations/sup-mat/10.3789_isqv22n3.2010.05.pdf NISO/NFAIS Supplemental journal article materials project http://www.niso.org/workrooms/supplemental aschwarzman@yahoo.com Seattle, WA 20 May 2012 CSE 2012 Annual Meeting