UKOLN is supported by: The Open Archives Initiative Protocol for Metadata Harvesting and ePrints UK AULIC Institutional Repositories Meeting University of Bristol – 23 May 2005 Andy Powell, UKOLN, University of Bath [email_address] www.bath.ac.uk A centre of expertise in digital information management www.ukoln.ac.uk

Contents a brief history of OAI 10 technical things you should know about the OAI-PMH potential impact… institutional context the role of the library? the researcher ePrints UK project

a brief history of OAI

10 technical things you should know about the OAI-PMH

potential impact…

institutional context

the role of the library?

the researcher

ePrints UK project

OAI roots the roots of OAI lie in the development of eprint archives… arXiv, CogPrints, NACA (NASA), RePEc, NDLTD, NCSTRL each offered Web interface for deposit of articles and for end-user searches difficult for end-users to work across archives without having to learn multiple different interfaces recognised need for single search interface to all archives Universal Pre-print Service (UPS)

the roots of OAI lie in the development of eprint archives…

arXiv, CogPrints, NACA (NASA), RePEc, NDLTD, NCSTRL

each offered Web interface for deposit of articles and for end-user searches

difficult for end-users to work across archives without having to learn multiple different interfaces

recognised need for single search interface to all archives

Universal Pre-print Service (UPS)

Searching vs. harvesting two possible approaches to building a single search interface to multiple eprint archives… cross-searching multiple archives based on protocol like Z39.50 harvesting metadata into one or more ‘central’ services – bulk move data to the user-interface digital library experience in this area indicated that cross-searching not preferred approach distributed searching of N nodes viable, but only for small values of N

two possible approaches to building a single search interface to multiple eprint archives…

cross-searching multiple archives based on protocol like Z39.50

harvesting metadata into one or more ‘central’ services – bulk move data to the user-interface

digital library experience in this area indicated that cross-searching not preferred approach

distributed searching of N nodes viable, but only for small values of N

Harvesting requirements in order that harvesting approach can work there need to be agreements about… transport protocols – HTTP vs. FTP vs. … metadata formats – DC vs. MARC vs. … quality assurance – mandatory elements, mechanisms for naming of people, subjects, etc., handling duplicated records, best-practice intellectual property and usage rights – who can do what with the records work in this area resulted in the “Santa Fe Convention”

in order that harvesting approach can work there need to be agreements about…

transport protocols – HTTP vs. FTP vs. …

metadata formats – DC vs. MARC vs. …

quality assurance – mandatory elements, mechanisms for naming of people, subjects, etc., handling duplicated records, best-practice

intellectual property and usage rights – who can do what with the records

work in this area resulted in the “Santa Fe Convention”

Development of OAI-PMH 2 year metamorphosis thru various names Santa Fe Convention, OAI-PMH versions 1.0, 1.1… OAI Protocol for Metadata Harvesting 2.0 development steered by international technical committee simplicity and inter-version stability helped developer confidence move from focus on eprints to more generic protocol move from OAI-specific metadata schema to mandatory support for Dublin Core

2 year metamorphosis thru various names

Santa Fe Convention, OAI-PMH versions 1.0, 1.1…

OAI Protocol for Metadata Harvesting 2.0

development steered by international technical committee

simplicity and inter-version stability helped developer confidence

move from focus on eprints to more generic protocol

move from OAI-specific metadata schema to mandatory support for Dublin Core

Bluffer’s guide to OAI OAI-PMH short for Open Archives Initiative Protocol for Metadata Harvesting a low-cost mechanism for harvesting metadata records from ‘data providers’ to ‘service providers’ allows ‘service provider’ to say ‘give me some or all of your metadata records’ where ‘some’ is based on date-stamps, sets, metadata formats eprint heritage but widely deployed images, museum artefacts, learning objects, … http://www.openarchives.org/

OAI-PMH short for Open Archives Initiative Protocol for Metadata Harvesting

a low-cost mechanism for harvesting metadata records

from ‘data providers’ to ‘service providers’

allows ‘service provider’ to say ‘give me some or all of your metadata records’

where ‘some’ is based on date-stamps, sets, metadata formats

eprint heritage but widely deployed

images, museum artefacts, learning objects, …

Bluffer’s guide to OAI based on HTTP and XML simple, Web-friendly, fast deployment OAI-PMH is not a search protocol but use can underpin search-based services based on Z39.50 or SRW or SOAP or… OAI-PMH typically carries metadata content (e.g. full-text or image) made available separately – typically at URL in metadata mandates simple DC as record format but extensible to any XML format – IEEE LOM, ONIX, MARC, METS, MPEG-21, etc.

based on HTTP and XML

simple, Web-friendly, fast deployment

OAI-PMH is not a search protocol

but use can underpin search-based services based on Z39.50 or SRW or SOAP or…

OAI-PMH typically carries metadata

content (e.g. full-text or image) made available separately – typically at URL in metadata

mandates simple DC as record format

but extensible to any XML format – IEEE LOM, ONIX, MARC, METS, MPEG-21, etc.

Bluffer’s guide to OAI metadata and ‘content’ often made freely available – but not a requirement OAI-PMH can be used between closed groups or, can make metadata available but restrict access to content in some way underlying HTTP protocol provides access control – e.g. HTTP BASIC compression mechanisms (for improving performance of harvesters) could, in theory, also provide encryption if required

metadata and ‘content’ often made freely available – but not a requirement

OAI-PMH can be used between closed groups

or, can make metadata available but restrict access to content in some way

underlying HTTP protocol provides

access control – e.g. HTTP BASIC

compression mechanisms (for improving performance of harvesters)

could, in theory, also provide encryption if required

Dublin Core OAI-PMH mandates use of simple DC as lowest common denominator agreed XML schema – ‘oai_dc’ simple DC – 15 metadata properties all DC properties optional and repeatable http://dublincore.org/ Rights Identifier Publisher Coverage Format Description Relation Type Subject Language Date Creator Source Contributor Title

OAI-PMH mandates use of simple DC as lowest common denominator

agreed XML schema – ‘oai_dc’

simple DC – 15 metadata properties

all DC properties optional and repeatable

Impact on institutions… OAI-PMH technology provides an open, relatively stable technical framework allows institution to re-consider management of intellectual output greater confidence in availability of external services (e.g. discovery, access, analysis) the technical bit is easy eprints.org software (Southampton), DSpace (MIT/HP), Fedora but, technical solutions are always easy! real problem is cultural change required to get academics to deposit

OAI-PMH technology provides an open, relatively stable technical framework

allows institution to re-consider management of intellectual output

greater confidence in availability of external services (e.g. discovery, access, analysis)

the technical bit is easy

eprints.org software (Southampton), DSpace (MIT/HP), Fedora

but, technical solutions are always easy!

real problem is cultural change required to get academics to deposit

Impact on libraries… library is natural choice as ‘managing agent’ for the institutional repository quality control metadata enhancement preservation but technical strengths of libraries quite variable, therefore technical collaboration within institution may be required beginning to see some evidence of externally ‘hosted’ repository services being offered

library is natural choice as ‘managing agent’ for the institutional repository

quality control

metadata enhancement

preservation

but technical strengths of libraries quite variable, therefore technical collaboration within institution may be required

beginning to see some evidence of externally ‘hosted’ repository services being offered

Impact on researchers… OAI-PMH technology provides a ‘disruptive’ technical framework that supports new ways for individual researcher to disclose his/her research output development of new kinds of ‘research’ discovery services can use ‘personal’ OAI repository but, need to clarify roles of institutional, discipline and personal repositories overcome FUD – IPR, peer-review, ability to ‘publish’, quality control, inertia

OAI-PMH technology provides a ‘disruptive’ technical framework that supports

new ways for individual researcher to disclose his/her research output

development of new kinds of ‘research’ discovery services

can use ‘personal’ OAI repository

but, need to

clarify roles of institutional, discipline and personal repositories

overcome FUD – IPR, peer-review, ability to ‘publish’, quality control, inertia

ePrints UK RDN project funded by JISC under FAIR programme now finished but ‘service’ still running UK ‘service provider’ harvesting metadata from all UK eprint archives single point of discovery to UK eprints working with OCLC and University of Southampton to automatically enhance harvested metadata http://eprints-uk.rdn.ac.uk/search/

RDN project funded by JISC under FAIR programme

now finished but ‘service’ still running

UK ‘service provider’

harvesting metadata from all UK eprint archives

single point of discovery to UK eprints

working with OCLC and University of Southampton to automatically enhance harvested metadata

ePrints UK eprint archive(s) ePrints UK OAI-PMH name authority subject classification citation analysis End-user

What did we learn? impact of eprint archives still quite low national coverage is potentially interesting to funders but not to end-users automatically enhancing metadata is difficult, particularly w.r.t. subject classification name authority approaches to metadata creation varied – no clear cataloguing guidelines linkage to full-text from metadata record inconsistent

impact of eprint archives still quite low

national coverage is potentially interesting to funders but not to end-users

automatically enhancing metadata is difficult, particularly w.r.t.

subject classification

name authority

approaches to metadata creation varied – no clear cataloguing guidelines

linkage to full-text from metadata record inconsistent

OAI and Google OAI gateway OAI gateway makes harvested metadata available to Google… eprint archive(s) HTTP OAI-PMH Examples… DSpace and Google OAIster and Yahoo

Current activities/issues protocol now stable and few changes being discussed some lightweight noises about re-implementing OAI-PMH using SOAP (Web services) but little enthusiasm for pushing these kinds of changes forward some work on OAI-rights issues – formalising mechanisms for attaching IPR statements and/or licences to the records being exchanged using the protocol, e.g. Creative Commons

protocol now stable and few changes being discussed

some lightweight noises about re-implementing OAI-PMH using SOAP (Web services) but little enthusiasm for pushing these kinds of changes forward

some work on OAI-rights issues – formalising mechanisms for attaching IPR statements and/or licences to the records being exchanged using the protocol, e.g. Creative Commons

Creative Commons CC is “ devoted to expanding the range of creative work available for others to build upon and share ” provides ‘standard’ licences for content attribution noncommercial no derivative works share alike mechanisms for indicating licence on Web pages http://www.creativecommons.org/

CC is “ devoted to expanding the range of creative work available for others to build upon and share ”

provides ‘standard’ licences for content

attribution

noncommercial

no derivative works

share alike

mechanisms for indicating licence on Web pages

Works vs. manifestations implementers have tended to see ‘eprints’ as single-entity objects some evidence that this is too simplistic some repositories expose metadata about the ‘work’, others expose metadata about the ‘expressions’ need more consistency in our use the OAI-PMH to expose metadata about both ‘works’ and ‘manifestations’ complex objects encoded using METS or MPEG-21 DIDL (may include ‘objects’ as well as ‘metadata about objects’)

implementers have tended to see ‘eprints’ as single-entity objects

some evidence that this is too simplistic

some repositories expose metadata about the ‘work’, others expose metadata about the ‘expressions’

need more consistency in our use the OAI-PMH to expose metadata about both ‘works’ and ‘manifestations’

complex objects encoded using METS or MPEG-21 DIDL (may include ‘objects’ as well as ‘metadata about objects’)

Questions…