Attachment_C_-_No_4_-_Biomedical_Journal_Digitization_Spec_Doc.pdf

U.S. National Library of Medicine

Biomedical Journal Digitization Project

Image Specifications and Functional Requirements for Content Capture

Version 2.0

January 2018

U.S. National Library of Medicine National Institutes of Health/Health & Human Services

8600 Rockville Pike

Bethesda MD 20894

NLM Biomedical Journal Digitization Technical Specification Document

Page 1-1 January 2018

Contents

Project Overview ........................................................................ 1-1

1.1 Summary ................................................................................... 1-1

1.2 Project Terminology ................................................................... 1-1

1.2.1 Content Types ............................................................ 1-1

1.2.2 Article-Level ................................................................ 1-1

1.2.3 Schematron ................................................................ 1-1

1.2.4 Section 508 Compliance ............................................. 1-1

1.3 Batch Definition ......................................................................... 1-2

1.3.1 Sample batch concept ................................................ 1-2

1.4 Project Deliverables ................................................................... 1-3

1.5 Journal Style Guides ................................................................. 1-4

1.6 NLM-supplied Page Instructions ................................................ 1-5

1.7 Logistics ..................................................................................... 1-5

1.8 Communications Matrix ............................................................. 1-6

1.9 Deliverable Directory Structure & File Naming .......................... 1-7

1.9.1 Auxiliary Files .............................................................. 1-8

1.9.2 Conversion Report ...................................................... 1-8

1.10 Reports ...................................................................................... 1-9

1.10.1 Monthly ....................................................................... 1-9

1.10.2 Final ............................................................................ 1-9

1.11 Quality Acceptance Criteria ....................................................... 1-9

1.12 Rejected Batches ...................................................................... 1-10

1.13 Batch Retention & Archiving ...................................................... 1-10

Target: General Specifications ................................................. 2-1

2.1 Specifications Hierarchy ............................................................ 2-1

2.2 Issue Reconstruction & Page Reordering ................................. 2-1

2.2.1 Bound Volume Reorder .............................................. 2-1

2.2.2 Issue Page Reorder .................................................... 2-1

2.3 Excluded Material ...................................................................... 2-2

2.4 Poor Quality Source .................................................................. 2-2

2.5 Missing Pages ........................................................................... 2-3

2.5.1 Missing Pages in Articles ............................................ 2-3

2.5.2 Missing Pages in non-Article Content ......................... 2-3

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2.5.3 Missing Issues in Source Batches .............................. 2-3

2.5.4 Missing Plates in Articles ............................................ 2-4

2.6 Content Types ........................................................................... 2-4

2.6.1 Front Cover ................................................................. 2-4

2.6.2 Administrative ............................................................. 2-4

2.6.3 Table of Contents ....................................................... 2-6

2.6.4 Advertisement ............................................................. 2-6

2.6.5 Articles ........................................................................ 2-7

2.7 Source Page Numbers .............................................................. 2-11

2.7.1 Missing Source Page Numbers .................................. 2-11

2.7.2 Duplicate Source Page Numbers................................ 2-11

2.7.3 Misprinted Source Page Numbers .............................. 2-12

2.8 OCR Specifications ................................................................... 2-13

Target Specification – Images ................................................... 3-1

3.1 Full-page Images ....................................................................... 3-1

3.2 Cropped Graphic Images .......................................................... 3-1

3.3 Foldouts ..................................................................................... 3-1

3.4 Image Quality ............................................................................ 3-1

3.5 Graphic Capture & Segmentation .............................................. 3-1

Target Specifications - PDF Files ............................................. 4-1

4.1 Accessibility/Section 508-Compliance ....................................... 4-1

4.2 Specifications ............................................................................ 4-1

4.3 Document Properties ................................................................. 4-1

4.4 Embedded Text ......................................................................... 4-2

4.5 Page Limit .................................................................................. 4-2

4.6 NLM Checklist of Accessibility Compliance ............................... 4-3

Target Specification – Non-Article XML ................................... 5-5

5.1 DTD and Schematron ................................................................ 5-5

5.1.1 Cover .......................................................................... 5-5

5.1.2 TOC ............................................................................ 5-5

5.1.3 Administrative ............................................................. 5-5

5.1.4 Advertisement ............................................................. 5-5

Target Specification – Article XML ........................................... 6-1

6.1 DTD and Schematron ................................................................ 6-1

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6.2 Summary ................................................................................... 6-1

6.3 Font Changes ............................................................................ 6-1

6.4 Extended Characters ................................................................. 6-2

6.5 Unknown Characters ................................................................. 6-2

6.6 Handwritten Text ....................................................................... 6-2

6.7 Illegible Text .............................................................................. 6-3

6.8 Complex Data Structures .......................................................... 6-3

6.9 XML Structure ............................................................................ 6-3

6.10 Root Element ............................................................................. 6-4

6.11 Front Matter Elements ............................................................... 6-4

6.12 Journal Metadata Elements ....................................................... 6-4

6.13 Article Metadata Elements ......................................................... 6-5

6.14 Article Grouping Elements ......................................................... 6-7

6.15 Title Group Elements ................................................................. 6-8

6.16 Contributor Group Elements ...................................................... 6-10

6.17 Contributor (Person) Name Elements ....................................... 6-13

6.18 Article Enumeration Elements ................................................... 6-13

6.19 Related Article ........................................................................... 6-17

6.20 Abstract Elements ..................................................................... 6-20

6.21 Keyword Elements ..................................................................... 6-20

6.22 Paragraph Elements .................................................................. 6-20

6.23 Cross Reference Elements ........................................................ 6-20

6.24 Article images ............................................................................ 6-21

Appendix A: Batch Re-delivery Procedure .............................. 7-1

7.1 Accepted Rework ...................................................................... 7-1

7.2 Rejected Batch .......................................................................... 7-1

High-level Source Descriptions Referenced by Journal Style Guides ..................................................................................................... 8-1

8.1 General ...................................................................................... 8-1

8.2 Source Quality ........................................................................... 8-1

8.2.1 Variation ...................................................................... 8-1

8.3 General Content ........................................................................ 8-1

8.4 Issue Covers .............................................................................. 8-2

8.4.1 Journal title ................................................................. 8-2

8.4.2 Volume number .......................................................... 8-2

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8.4.3 Issue number .............................................................. 8-2

8.4.4 Issue date ................................................................... 8-2

8.5 Table of Content Pages ............................................................. 8-3

8.5.1 Issue Information ........................................................ 8-3

8.5.2 Article Information ....................................................... 8-3

8.5.3 Multiple Table of Contents Pages ............................... 8-3

8.6 Front Matter Pages .................................................................... 8-3

8.6.1 Issue Information ........................................................ 8-3

8.6.2 Publisher information .................................................. 8-3

8.6.3 Article Pages ............................................................... 8-4

8.6.4 Errata/Correction/Retraction Articles .......................... 8-4

8.6.5 Multi-part/Continuation Articles ................................... 8-4

NLM Product QA Methodology ................................................. 9-1

9.1 XML File Acceptance Determination ......................................... 9-1

9.2 Full-page Image Acceptance Determination ............................. 9-2

9.3 Illustration Image Acceptance Determination ............................ 9-2

9.4 PDF file Acceptance Determination ........................................... 9-3

9.5 OCR file Acceptance Determination .......................................... 9-3

9.6 General Acceptance Determination ........................................... 9-3

Scanning and Handling NLM’s Source Material ..................... 10-1

10.1 Journal Preparation ................................................................... 10-1

10.2 Scanning Systems ..................................................................... 10-1

10.3 Journal Handling/Scanning ........................................................ 10-1

10.4 Special Handling Cases ............................................................ 10-2

Page 1-1 January 2018

Project Overview

1.1 Summary

This project involves capturing bibliographic citation data (XML) and full article text (OCR) as well as creating article level PDF files and full-page images of each page (TIFF) that will be added to the customer database containing a digital archive of life sciences journal literature.

1.2 Project Terminology

1.2.1 Content Types

All content within an Issue will fall into one of the Content Types below (See Supplemental Example 1):

Front Cover Administrative Table of Contents (TOC) Advertisement Article

1.2.2 Article-Level

The term article-level defines a set of pages of the same page type (e.g.

article, administrative content, advertisement and table of content pages) and grouped according to the logical boundaries of the item in the source.

For example, all pages of a specific article are grouped together into a single article-level item. Similarly, all pages of administrative content are grouped together into a single article-level item.

1.2.3 Schematron

Schematron (http://www.schematron.com/) is a language used to enforce structures in XML documents more specific than are defined in a validation schema, such as a DTD. For this project, the Schematron provided by the customer enforces a strict subset of the rules defined in the JATS Archiving and Interchange v1.1 DTD.

1.2.4 Section 508 Compliance

Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d) addresses the requirement of Federal agencies to meet specific accessibility standards regarding electronic and information technologies for persons with disabilities. PDF deliverables are to comply with the NLM-specified requirements for this project, addressed in Section 4.0, which are limited

Page 1-2 January 2018 to requirements in the following clauses of the Government Product/Service Accessibility Template (GPAT):

1194.22a: PDF deliverables will be tagged and include alternative text for images.

1194.31a and 1194.31b: PDF deliverables will include embedded OCR text to enable the PDFs to be read out loud by assistive technology.

1194.41a and 1194.41c: Project documentation will be made available to NLM in an alternate, accessible form (i.e., PDF), should it be requested.

1.3 Batch Definition

A Batch will consist of complete volumes or issues within a single journal.

Batches will contain 500-750 pages. If a single volume spans more than 750 pages, the Batch will be split into smaller parts for review at NLM.

Contractor will assign the batch numbers and provide to NLM. Once a batch number has been assigned and shared with NLM, it will not change. Batch assignments are made before scanning. Batch splits to smaller sizes (Batch Parts) will be done at delivery with a lower-case alpha suffix added to the batch number for each Batch Part. For example: 00002a and 00002b. If a batch is split into parts for delivery to NLM, contractor will update the Master Batch Division for NLM.

1.3.1 Sample batch concept

NLM will identify a sample batch to be processed from each title and provide this information to the contractor in the Journal Style Guide. The contractor will produce the sample batch and deliver it to NLM. The sample batch number will be from the existing batch division, and no separate sample batch number would be assigned.

NLM will complete the evaluation of a sample batch in 3 business days after receiving it from the contractor. If more than one sample batch is delivered at one time, the samples will be evaluated consecutively rather than concurrently.

NLM will conduct 100% QA on each sample batch. The sample batch review feedback report governs the title for the remaining batches. It is important for the contractor to know the results of the sample batch before further deliveries are FTP’ed to NLM.

For the titles with approximately 2,000 pages or less, NLM will decide on a case by case basis whether a sample batch will be required. NLM’s decision will be based on the title’s publication history. If a sample batch is not needed, then that information will be included in the special handling instructions of the Journal Style Guide.

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For the titles with more than 2,000 pages, NLM will select the batch to be used for the sample and include the information in the Journal Style Guide. If NLM does not specify the content to be used for the sample, the contractor may select the very first batch of the journal as a sample.

No sample batches are required for the titles covered in the pilot batches.

1.4 Project Deliverables

The deliverables for this project include:

1.4.1 400-dpi 24-bit color LZW TIFF for every page in an Issue (cover-to-cover). TIFF images for pages that contain more than one Content Type or article are duplicated in the corresponding directories for each Content Type or article (see Section 1.9).

1.4.2 400-dpi 24-bit color LZW TIFF cropped image of each graphic for Content Type Article only

1.4.3 Section 508-compliant PDF/A-2b file:

Single file for Front Cover

Single file for all Administrative content within the Issue, not to exceed 60 pages (See Section 4.5).

Single file for TOC

Single file for each Article within the Issue

Single file for all Advertisement content within the Issue, not to exceed 60 pages (See Section 4.5).

PDFs are to contain the 24-bit color images, and all text blocks are to meet the 4.5:1 contrast ratio requirement of Section 508 rules.

Pages in the PDF are to appear in reading order, typically the same sequence as the original source. Pages in the PDF are to be oriented for reading.

1.4.4 Raw ASCII OCR text for all Content Types except Advertisement.

1.4.5 JATS-XML bibliographic metadata records

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Single file for Front Cover

Single file for all Administrative content within the Issue (except when content exceeds 60 pages; see Section 4.5)

Single file for TOC

Single file for each Article within the Issue

Single file for all Advertisement content within the Issue (except when content exceeds 60 pages; see Section 4.5)

1.4.6 Checksum (MD5) for each file in the Batch

1.4.7 Issue Map Files listing the full-page image filename and corresponding source page number. Files will be issue-specific and contain a header as follows:

<path="jid/iiiii"><journal="jid"><vol="vvv"><issue="uuu"><date="ddd">

Where:

vvv = volume number per source uuu = issue number per source ddd = issue date per source jid = customer-assigned journal identifier iiiii = customer-assigned 5-digit issue identifier

1.4.8 Batch Conversion Report identifying any unusual constructs encountered in the source that were not specifically defined in the Journal Style Guide with an explanation of their treatment in the delivered files.

bbbbb_conversion_ report(1.1).xlsx

1.5 Journal Style Guides

NLM will provide Journal Style Guides for each Journal. The Guides are intended to proactively identify and resolve source variation within a given title (or selected issues within a title). Guides will address how to apply the project requirements to the unique constructs of the journal; they are intended to address unique or exceptional aspects of the journal and not to repeat project specifications from this document.

If the instruction in the Journal Style Guide differs from those in this document, follow the Journal Style Guide instruction.

Guides will contain the following information:

1.5.1 Journal Title (current)

1.5.2 Journal ISSN (current)

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1.5.3 PMC Domain Name (journal identifier)

1.5.4 Specific years of publication covered

1.5.5 Previous titles, years and ISSN (reference information for a title)

1.5.6 Publication Frequency

1.5.7 Publisher Name and Address

1.5.8 Detailed information about the format and structure of the issue contents.

1.5.9 Instructions for conversion of specific Content or Article types appearing in the issue. For complex titles, examples will be provided. Example will be based on an individual issue within a specific publication year range.

These examples should be reviewed against the corresponding source for reference.

The Guides will be reviewed by contractor staff up-front, prior to the start of production on the Journal, to ensure they are clear and not in conflict with other project specifications. If there are questions/concerns, the contractor will work with NLM to clarify them prior to starting production.

1.6 NLM-supplied Page Instructions

NLM will provide flags containing instructions for specific pages in the Volumes/Issues. These flags will be inserted into the source material and are to be part of the raw page image scan to which it applies. See Supplemental Example 2.

1.7 Logistics

1.7.1 NLM will review the source material for completeness and usability for scanning. The source materials will then be collated, boxed and labeled for shipment. See section 10.0 for full description of NLM’s scanning and handling instructions.

NLM will issue a Shipment Notification to the contractor containing relevant Journal Style Guides and an electronic Inventory file, named in the form Lotx_inventory.xlsx, where x is the integer identifier generated at NLM. The shipment sequence number is set by the contractor. The Inventory File will contain:

• PMC Domain Name (Journal Identifier)

• Journal Title

• Volume/Issue/Part/Year Information

• Total Number of Volumes/Issues

• Estimated Total Number of Pages for each Journal

• NLM Barcode to identify journal issues bound together

See sample file embedded below.

Page 1-6 January 2018

Lot 135_inventory.xlsx

1.7.2 Clarify any questions/concerns with Journal Style Guides with NLM prior to starting production.

1.7.3 Contractor will pick-up Shipments from NLM and verify the contents against the NLM-supplied Inventory List. Missing/extra volumes or issues will be reported to NLM.

1.7.4 NLM source material provided for digitization will be kept in climate-controlled processing and storage areas with temperature maintained in the range of 72°F (+/- 2°F) and relative humidity in the range of 50% (+/- 5%) without uncontrolled fluctuation to extremes outside of these ranges.

Storage conditions shall be similarly maintained in climate-controlled spaces of vehicles used to transport NLM material from the Library and back.

1.7.5 Prior to scanning, contractor will organize Shipments into Batches.

Contractor will provide inventory and schedule details to NLM within five

(5) business days after receipt, including:

• Batch number

• Journal title

• Volume/issue numbers

• Issue-level ID number (from NLM)

• Delivery dates for each batch

1.7.6 The contractor will report any missing volumes or issues not reported by the NLM. Discrepancies should not be reported for damaged pages of articles and administrative material, missing covers and TOCs not noted on the packing list, and missing pages determined in the full inventory conducted by the contractor. No missing advertising pages should be reported as a discrepancy.

1.7.7 The contractor will create scan images digital products.

1.7.8 Contractor will transmit Final Deliverables to NLM via FTP as a compressed tar archive. Corresponding source documents will be returned to NLM along with the Final Deliverables.

1.7.9 Source documents will be delivered by contractor to NLM within 5 business days of transmitting the files to NLM.

1.8 Communications Matrix

Below is the communications matrix for the project in steady-state.

Page 1-7 January 2018

Table 1: Communications Matrix

Role Contractor NIH-NLM

Project Management TBD Rosalyn Leiderman

Technical Issues TBD Laura Randall

Commercial Matters TBD Maryann Meza

Process Owner TBD Benjamin E. Petersen

Executive Escalation TBD Mark Ziomek

1.9 Deliverable Directory Structure & File Naming

Contents of the tar archive for a single batch delivered to the customer’s FTP site.

File/Directory Description jid\ Journal-level Directory jid\iiiii Issue level Directory jid\iiiii\cov\... Front Cover Directory jidiiiii-pppp-cov.tif Full Page Front Cover Image File jidiiiii-pppp-cov.pdf PDF File jidiiiii-pppp-cov.txt OCR File jidiiiii-pppp-cov.xml XML Bibliographic File jid\iiiii\adm\ Administrative directory jidiiiii-pppp.tif Full Page Image files jidiiiii-ssssn.pdf PDF File jidiiiii-ssssn.txt OCR File jidiiiii-ssssn.xml XML Bibliographic File jid\iiiii\toc\ TOC directory jidiiiii-pppp.tif Full Page Image files jidiiiii-ssssn.pdf PDF File jidiiiii-ssssn.txt OCR File jidiiiii-ssssn.xml XML Bibliographic File jid\iiiii\art\mmmm\ Article directory jidiiiii-pppp.tif Full Page Image files jidiiiii-ssssn.pdf PDF File jidiiiii-ssssn.txt OCR File jidiiiii-pppp-a.tif Cropped Graphic Image Files jidiiiii-ssssn.xml XML Bibliographic File

Page 1-8 January 2018 jid\iiiii\adv\ Advertisement directory jidiiiii-pppp.tif Full Page Image files jidiiiii-ssssn.pdf PDF File jidiiiii-ssssn.xml XML Bibliographic File

Where:

jid = customer-assigned journal identifier iiiii = customer-assigned 5-digit issue identifier (unique only within a journal title, not across titles).

mmmm = 4-digit sequence number of the article within the issue pppp = 4-digit sequence number of the page within the issue ssss = 4-digit sequence number of the start page of the Content Type or Article (e.g., Administrative Content Type starts on page 0003 of an Issue; Article starts on page 0015 of the Issue) a = alpha character denoting graphic sequence when there is more than one graphic on the page (e.g., if there are two graphics on the page, the filenames would be jidiiiii-pppp-a.tif and jidiiiii-pppp-b.tif respectively). Sequence is assigned from top-to-bottom, left-to-right.

n = alpha character denoting multiple Content Types on a page and/or multiple Articles on a page (e.g., if Administrative, Advertisement and Article appear on a single page, the filenames would be jidiiiii-ssssa.* and jidiiiii-ssssb.* and jidiiiii-ssssc.* and placed in their respective directories. If two Articles appear on the same page, the filenames would be jidiiiii-ssssa.* and jidiiiii-ssssb.*, respectively).

1.9.1 Auxiliary Files

bbbbb/ Batch Directory bbbbb.lst Checksum File jidiiiii.map Issue Map Files

Where:

bbbbb = Batch Number

1.9.2 Conversion Report

Conversion reports are Excel files delivered separately from the batch with the following naming convention:

bbbbb_conversion_report(1.x).xlsx

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1.10 Reports

The following reports will be provided to NLM:

1.10.1 Monthly

Cumulative summary of statistics indicating the status of scanned volumes: title, number of volumes completed, number of volumes in process, number of files delivered, and delivery date.

The report narrative may include a summary of successes or any problems or issues resolved or unresolved. The report is due the 5th calendar day after the end of each month.

1.10.2 Final

Summary report of the work performed for the entire contract period.

1.11 Quality Acceptance Criteria

Item Error Category Acceptance

Criteria

1 Character accuracy 99.995%

2 Tag content accuracy

Incorrect application of XML element Incorrect Article Type (see Section 2.6.5.1)

99.95%

3 Structural Integrity of Tags

XML not valid per DTD XML not valid per Schematron

100%

4 Image Quality – Page or Illustration Image

Image skewed on visual inspection Image not consistent with source (e.g., inconsistent boundaries, pixilation, distortion, lack of sharpness and detail, etc.)

99%

5A

Inventory error

Missing or duplicate file (XML, OCR, image, etc.)

Missing Citation Images not sequenced in “reading order” PDF is not Section 508-compliant PDF is not PDF/A-2b compliant

100%

Page 1-10 January 2018

PDF exceeds 60-page limit for non-exempt article type.

OCR text does not correspond to article boundary Individual graphic delivered as multiple images

5B Inventory error

Incorrect Article boundaries

Article boundaries do not conform to specifications and procedures outlined in this document or Style Guide, whichever is applicable

Incorrect assignment into adm, adv, art, cov and toc directories as per specifications outlined in Section 1.9

99.5%

1.12 Rejected Batches

For rejected batches, all errors that failed the batch will be corrected and the batch will be reviewed for additional instances of those error types.

The customer may request that a batch be reviewed and corrected if either or both of the following conditions are present:

a. The error is clearly in conflict with the specifications and procedures outlined in this document, and

b. The error is a systematic problem that occurs throughout the batch.

Even though the customer did not identify enough errors to fail such batches, the batch will still be considered rejected and will require correction and re-delivery.

1.13 Batch Retention & Archiving

Contractor will archive raw scans and delivery files for three (3) months after the date of NLM’s Batch Acceptance (i.e., customer will make its best efforts to accept batches within 60 days of delivery). Raw scans and delivery files will be deleted at the end of the three-month period.

The three-month retention period does not apply in the case of a rejection—in that case, all raw scans and delivery files are retained indefinitely until the batch is accepted.

Page 2-1 January 2018

Target: General Specifications

2.1 Specifications Hierarchy

The specifications and procedures outlined in this document provide the general specifications to be followed for this project. However, the customer also provides Journal Style Guides which detail title-specific requirements as supplementary material. When there is a conflict in the requirements between these two types of documents, then the following hierarchy should be used to resolve the conflict:

Journal Style Guide

Specifications and procedures outlined in this document

2.2 Issue Reconstruction & Page Reordering

2.2.1 Bound Volume Reorder

Issues have often been re-bound into Volumes. During the re-bind process, selected content was sometimes moved from its original location in the Issue and grouped at the end of the bound Volume (e.g., Issue Covers, Issue TOCs, and Back Matter such as advertisements).

This project requires that such material be re-ordered and associated with its respective Issue in the deliverable files.

2.2.2 Issue Page Reorder

Occasionally, pages within the Issue are out-of-sequence. Such instances may be noted in the Journal Style Guides or on the Flagged page notes.

This project requires that such material be re-ordered to its correct location.

Examples:

Example 1: JID: studmentinefic

General Notes - Supplement:

In V.4, no.8, July 1923, there is a supplement titled “List of Occupation Centres”, between pages 12 and 13.

Capture the supplement with the article titled “Occupation Centres – The Present Position” which appears on pages 10-11.

Do not treat the supplement as a separate article. The supplement has 3 pages. Place the supplement after page 11 and before page 12. Follow the specifications document for page numbering.

Example 2: JID: menthealthlond

Administrative:

Page 2-2 January 2018

MH News Letter appears in most issues from v.9, no.2 (Nov. 1949) to v.16, no.3 (Summer 1957).

Pages are out of order in the News Letters in v.14, no.3, Summer 1995. Put in reading order. See below.

(first sequence)

P.1 – MH Newsletter masthead with tribute to Dame Evelyn Fox

P.2 – Educational Activities (in bold at top of page)

P.3 – talk in the office, followed by lunch and a visit to a Special School (first line at top of page)

P.4 – Conference of Representatives of Approved Homes (in bold at top of page)

P.5 - Northern Branch Activities (in bold at top of page)

P.[8] – welcomed by social workers concerned with adoption problems and (first line at top of page;

footnote at bottom of page “Printed by St. Christopher Press Limited, Letchworth, Hertfordshire”

(second sequence)

P.[1] – Title page “DAME EVELYN FOX 1875-1955 Some Personal Tributes”

P.[6] – the temporary if urgent needs of the areas where we worked. I (first line at top of page;

footnote at bottom of page “Printed by St. Christopher Press Limited, Letchworth, Hertfordshire”

2.3 Excluded Material

2.3.1 Volume Front Cover (outside and inside) of the Bound Volume

2.3.2 Volume Back Cover (outside and inside) of the Bound Volume

2.3.3 Blank Page (including blank dividers inserted to protect plates or illustrations, and, both blank flyleaves inserted at the beginning or end of an issue or volume as well as entirely blank pages that may appear within a document.)

2.3.4 Extraneous Page (includes reader-service cards, advertising inserts, and subscription forms bound into the issue but printed on a card or other paper significantly smaller than the substantive pages of the issue, or otherwise obviously intended to be removed from the issue and used or discarded by the reader, unless the item is part of a pagination sequence or contains substantive information. Also, non-substantive items inserted loose into the issue or volume, e.g. advertising supplements or meeting programs that are not part of a pagination sequence). Note: Tissue paper or glassine leaves inserted to protect plates or illustrations are also extraneous pages, unless they contain text or are part of the pagination sequence.

2.4 Poor Quality Source

Source quality varies greatly across the collection. Some of the source is in poor condition—brittle and yellowish, thin paper with bleed-through, torn, etc.

Page 2-3 January 2018

NLM is aware of the source condition and expects production to proceed unless the condition of an entire Volume or Issue precludes scanning (i.e., cannot be scanned without further damaging the source). In such cases, NLM is to be notified (see also section 10.4).

2.5 Missing Pages

2.5.1 Missing Pages in Articles

Technical target images are to appear in place of “missing” article pages in an issue (See Supplemental Example 3). Make note of the missing page in the batch conversion report file delivered to NLM.

Missing page targets spec:

Page cropped to the size of the rest of the volume One missing page target image is inserted for any given string of missing pages. Examples, o If page 5 is missing, a single target is inserted.

o If pages 5-8 are missing, a single target is inserted.

o If pages 5-8 and 11-12 are missing, two targets are inserted, one for each range of missing pages.

Text "Page(s) missing" Times New Roman; 36pt; black Text centered horizontally on page, vertical center of text 2" from top of page o White background

2.5.2 Missing Pages in non-Article Content

Do not insert a missing page technical target image. Make note of the missing non-Article pages in the batch conversion report file delivered to

NLM.

2.5.3 Missing Issues in Source Batches

Occasionally an issue may not be available in a journal set. NLM will note this in the electronic packing list. Use the following treatments for such cases.

Missing page target is not required if the entire issue is missing with the indication in the electronic packing list.

Include the missing issue information in the conversion report when the batch is delivered.

Page 2-4 January 2018

2.5.4 Missing Plates in Articles

Technical target images are to appear in place of “missing” plates in an issue (See Supplemental Example 3). Make note of the missing plate in the batch conversion report file delivered to NLM.

Missing plate targets spec:

Page cropped to the size of the rest of the volume One missing page target image is inserted for any given string of missing pages. Examples, o If plate 5 is missing, a single target is inserted.

o If plates 5-8 are missing, a single target is inserted.

o If plates 5-8 and 11-12 are missing, two targets are inserted, one for each range of missing pages.

Text "Plate(s) missing" Times New Roman; 36pt; black Text centered horizontally on page, vertical center of text 2" from top of page o White background

2.6 Content Types

Content page types determine how a page is converted and delivered. Pages containing multiple page types are duplicated for each of the corresponding page types. For example, if a page contains Table of Contents, Advertising and Article text, the page is identified as having “article” page type, “advertising” page type and “table of contents” page type. This page will appear in the deliverable for the article, the table of contents and advertising.

There is no exception to this rule, all pages are duplicated for each page type.

2.6.1 Front Cover

This is the Front Cover of the Issue. Volume Front Covers and inside front covers of the bound volumes are to be excluded.

2.6.2 Administrative

Administrative content consists of:

• NLM call number hand-written on a blank page, usually on the verso of the title page

• Journal Masthead (when appearing on a page without issue content)

• Title Pages

• Editorial Board

• Indexes (except for Advertising Indexes, or Index-only Issues)

• Instructions to Authors

• Announcements for Society Members

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• Meeting Notices (not meeting reports)

• Death Notice Lists (not Obituaries)

• Calls for Papers

• Annual Report

• Announcements

• Subscription information

• Lists of Books / Book Notices/ New Book Lists

Note that a journal tagline appearing on a TOC or the first page of an issue is not administrative content.

Indexes

Indexes are Administrative content, except for:

- Issue Supplements solely comprised of Indexes are treated as Article.

- Advertising indexes are treated as Advertisement

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- Volume indexes are treated as Administrative and are to appear with the Issue in which it was bound (if the Volume Index appears with the first issue of the volume, it should be placed in the Administrative Content of the first issue, and so on).

- A multi-Volume index is to be treated as its own separate Issue. Articles will either be logical divisions of the index (Subjects, Authors, letters or ranges of letters of the alphabet).

The article-type values will be "index". (See Supplemental Example 4)

2.6.3 Table of Contents

There are several types of TOCs: Multi-Volume, Volume, and Issue; their expected treatment is below:

- The Issue TOC is to be treated as “Table of Contents”, when present.

- If only a Volume TOC is present (and no Issue TOC), the Volume TOC is to be used as the “Table of Contents” for each Issue in Production for resolving Article title details. However, in delivery the Volume TOC will be included in only the first Issue of the Volume.

- If both Volume and Issue TOCs are present, the Issue TOC is treated as “Table of Contents” and the Volume TOC is treated as Administrative and placed with the nearest Issue (at the end of Administrative Content).

- If there are no Issue or Volume TOCs, review the Journal Style Guide for instructions on resolving article title and division details.

- TOCs of forthcoming issues are treated as “Administrative”.

(See Supplemental Example 5).

- Note that a journal tagline appearing on a TOC is not administrative content.

2.6.4 Advertisement

Advertisement Content includes:

- All advertisements, including partial and full-page ads

- Advertiser Index / Index to Advertisements, etc. (See Supplemental Example 6)

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2.6.5 Articles

Articles compromise the majority of most issues; they include full-length research content, as well as shorter content such as meeting reports, commentaries, reviews, etc. With few exceptions, most entries listed in the TOCs are considered Articles.

Note: Filler material is extraneous short paragraphs or images found on a page. It does not relate to the subject of the articles around it. It is used to fill white space on a page. If a journal contains filler, it will be noted on the Journal Style Guide and examples will be provided. Filler should be treated as part of the preceding Article.

Article Type

Each Article is to be assigned a Type per Table 2 below.

Table 2: Article Type

Article Type Description abstract Abstracts of paper(s) published in separate publication or in previous issue of the same journal; may also be abstracts of presentations (See Supplemental Example 7).

article-commentary Discussion or opinion whose subject or focus is another Article(s). May appear under a heading “Commentary” or “Discussion”. For example, the editors of a publication might invite an author of the opposing opinion to comment on an Article, and publish the two together. This type also includes an invited discussion related to a specific topic or Article (e.g, Panel Discussion) (See Supplemental Example 8).

book-review Review or analysis of one or more books. (See Supplemental Example 9).

correction Modification or correction to previously published material, sometimes referred to as errata. The correction is to contain the volume and first page reference to the corrected article via the <related-article> tag (See Supplemental Example 10).

editorial Opinion piece, policy statement, or general commentary, typically written by staff of the publication. Note: article-commentary is reserved for commentary on specific article(s) (See Supplemental Example 11).

Page 2-8 January 2018 index Issue Supplement that consists entirely of an Index and has no "regular" article content (See Supplemental Example 4).

Could also appear as an article in a regular issue.

introduction Introduction to the publication, a series of articles within the publication, etc., typically for a special section or issue (See Supplemental Example 12).

letter Letter to the publication, typically commenting upon a published item (See Supplemental Example 13).

meeting-report Report of a conference, symposium, or meeting. Also, includes conference proceedings (See Supplemental Example 14).

news News item; often related to a society or its membership (See Supplemental Example 15).

obituary Announcement of a death or appreciation of a colleague who has recently died (usually such announcements appear in an issue with a publication date close to the date of death of the individual), typically describing the deceased individual’s life and accomplishments; they typically have a contributor.

Note: Distinguished from death notices which are simply lists of deceased individuals (names, birth and death dates, etc.) (See Supplemental Example 16).

other Not any of the Article Categories explicitly named including, but not limited to:

addendum: A published item that adds additional information or clarification to another item Similar value "correction" corrects an error in previously published material announcement: Material announced in the publication (may or may not be directly related to the publication) calendar: A list of events in brief: Summary of items in the current issue product review: Description, analysis, or review of a product or service, for example a new medical device (not book review which is a type).

(See Supplemental Example 17).

Page 2-9 January 2018 poster Abstracts for posters sessions in a conference proceeding, they are typically entitled, “Poster Session Abstracts” or similar title (See Supplemental Example 18).

reply Reply to a letter or commentary, typically by the original author commenting upon the comments. These are to be linked to the Article that is the object of the Reply/Discussion via the <related-article> element.

If the letter being replied to cannot be identified or if multiple letters are being replied to, then the letter is categorized as “letter” and not as “reply” (See Supplemental Example 19).

research-article Substantive, full-length scholarly work. In the older journals, this may be presented as a paper read before an audience or a paper submitted to the journal’s editorial staff for consideration. In addition, this type includes:

Brief report: A short announcement or late-breaking news of research results.

Case report: Case study, case report, or other description of a case.

(See Supplemental Example 20).

retraction Retraction of previously published material. It is to contain the volume and first page reference to the previously published article via the <related-article> tag if present (See Supplemental Example 21).

review-article Summary that describes the current state of understanding or the history of the science related to a topic. May be under a heading such as Review Article or Review of the Literature.

(See Supplemental Example 22)

Other article-type classifications assigned for non-article content cover Issue Front Covers. See Section 2.6.1 admin Administrative Content. See Section 2.6.2 advert Advertising Content. See Section 2.6.4 toc Table of Contents. See Section 2.6.3

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Article Boundaries

The TOC should be used as a guide to establish Article boundaries.

Typically, if the item is listed in the TOC, it is treated as an individual Article.

Occasionally, Articles are split across Issues. In such instances, each article-part would be treated as an individual Article within the Issue.

Grouped Content

The following grouped content would be treated as individual articles:

Each book review in a “Book Reviews” section that is listed separately in the TOC. If no TOC is available, capture book reviews separately only when a contributor is present in the source. In cases where a contributor is present in the source but is identified only as initials, the book review is a separate article even though the initial-only contributor is not captured in the XML.

Each letter in a “Letters to the Editor”. Note that a brief editorial comment or author response following the letter is part of the preceding letter and not a separate article.

Each correction or retraction item in an “Errata” section

Each obituary

Each “Reply” or “Discussion” of a previous Article (these will be linked to the preceding Article via the <related-article> element (see Section 6.19)

In some cases, the customer supplied Journal Style Guide may require that grouped articles should be treated as a single article, for example, a book review section containing multiple book reviews could be treated as a single article on an exception basis for a particular title.

Poster Session Abstracts

Poster session abstracts grouped under a heading (e.g., “Abstracts of Poster Session – Biochemical Risk”) are to be treated as a single Article. Note: individual abstracts are not Articles.

Conference Proceedings

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Generally, Conference Proceedings are to be treated as a single Article, including the proceedings content, abstracts, schedules, timetable, President’s Address, etc.

However, if a Conference Proceeding comprises an entire issue, the content is to be segmented accordingly, i.e., each paper would be an Article, advertisements would be treated as such, and so on.

The customer-provided Journal Style Guide will often provide details on the treatment of proceedings articles.

2.7 Source Page Numbers

Every page must have a source page number in the data file and the source page must be unique within the Issue.

2.7.1 Missing Source Page Numbers

Where a source page number is missing, it must be inferred or created.

Missing source page numbers are to be inferred based on surrounding page numbers or the TOC. The TOC is useful when the missing number is the first page of the article. Additionally, if the missing number occurs on the first article page of an issue and the last numbered page of the previous issue is known, then the missing number can be inferred using the sequence of the last known page number of the previous issue. For example, if the first page of the first article in an issue is unnumbered, but the last numbered page in the previous issue is 157, then you may infer the missing page number as 158.

Where source page numbers cannot be inferred, create as follows:

If the missing source page number is preceded by a numbered page within the same Content Type, then that numbered page is appended with a numeric suffix (e.g., 148-1)

Example: There are two unnumbered pages between pages 234 and 235. The unnumbered pages would be numbered, respectively as "234-1" and "234-2".

Where an unnumbered page has no sufficient reference point, it would be treated as nila, where a is a sequence number for each “nil” page within the issue (See Supplemental Example 23).

2.7.2 Duplicate Source Page Numbers

Duplicate source page numbers must be appended with a sequence number. Example: There are a total of three source pages numbered “27”. These would appear in the database as: 27, 27-1, 27-2.

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2.7.3 Misprinted Source Page Numbers

Misprinted source pages may be noted in either the batch inventory or the Journal Style Guide, in which case the instructions provided in those documents should be followed.

If a pagination misprint is observed but not noted in either document, an effort should be made to apply the intended pagination to the document.

Misprints Corrected in the Source

In some cases, the misprint is corrected by hand-written notes in the source document:

In these cases, capture the handwritten corrected pagination as though it were the printed source page numbers

Misprints and Page Gaps

When misprinted pagination leads to numeric gaps but it can be determined that there is no gap in the content, do not treat these as missing pages. In the example below, page 432 is followed by 455, then 436. No break is observed in the content, so no Missing Page target is needed.

The correct capture of the pagination for this range of pages is <fpage>431</fpage> <lpage>437</lpage>. In the XML for this article, the image for the third page is to be identified as page 433: xlink:role="433". Because normal, consecutive pagination

Page 2-13 January 2018 then resumes with 436 and 437, those pages are to be identified as such in the XML.

Additionally, no <page-range> element is to be used in these cases.

2.8 OCR Specifications

Raw ASCII OCR text will be created using Abbyy FineReader for the following Content Types:

Cover

TOC

Article Administrative

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Target Specification – Images

3.1 Full-page Images

Resolution 400 dpi Bit-depth 24-bit color File Format TIFF (LZW compression) Scan Area Full printed page including headers and footers;

Image Size “Tight” Crop: Pages are cropped with a minimal border around the printed text. Handwritten text in margins should be included whenever possible. The image size should be uniform in the entire issue/volume (excluding oversized fold-outs and pages with handwritten notes in the margins).

Orientation Oriented for reading; possible rotation required.

3.2 Cropped Graphic Images

Resolution 400 dpi Bit-depth 24-bit color File Format TIFF (LZW compression) Scan Area Cropped graphic, including caption and label Image Size Per Source Orientation Oriented for reading; possible rotation required.

3.3 Foldouts

Foldouts are to be treated as a single page image.