Institutional Archives & Repositories: What this digital movement means for Federal Libraries
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Institutional Archives Technology Overview
Michael L. NelsonOld Dominion University
[email protected]://www.cs.odu.edu/~mln/
Institutional Archives & Repositories: What this digital movement means for Federal Libraries
Library of Congress Workshop
September 12, 2003
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Acknowledgements
• ODU: K. Maly, M. Zubair, J. Bollen• LANL: R. Luce, X. Liu• NASA: G. Roncaglia, J. Rocker• Cornell: C. Lagoze, S. Warner• MAGiC (UK): Paul Needham• and, of course, Herbert Van de Sompel (LANL)
– the OpenURL slides are nicked from his presentations
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Outline
• A bit of history
• Core technologies– OAI-PMH– OpenURL
• Example implementations
• Download and go…
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OAI-PMH
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Background
• I met Herbert Van de Sompel in April 1999...– we spoke of a demonstration project he had in mind and
had received sponsorship from Paul Ginsparg and Rick Luce
– We wanted to demonstrate a multi-disciplinary DL that leveraged the large number of high quality, yet often isolated, tech report servers, e-print servers, etc.
• most digital libraries (DLs) had grown up along single disciplines or institutions
– little to no interoperability; isolated DL “gardens”
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Universal Preprint Service
• A cross-archive DL that that provides services on a collection of metadata harvested from multiple archives– Nelson: NCSTRL+; a modified version of Dienst
• support for “clustering”• support for “buckets”
– Krichel: ReDIF metadata format– Van de Sompel: SFX Linking
• Demonstrated at Santa Fe NM, October 21-22, 1999– http://web.archive.org/web/*/http://ups.cs.odu.edu/– D-Lib Magazine, 6(2) 2000 (2 articles)
• http://www.dlib.org/dlib/february00/02contents.html
– UPS was soon renamed the Open Archives Initiative (OAI) http://www.openarchives.org/
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• Self-describing archives– Much of the learning about the constituent UPS
archives occurred out of band…
• Data Providers– publishing into an archive– providing methods for metadata “harvesting”
• provide non-technical context for sharing information also
• Service Providers– harvest metadata from providers– implement user interface to data
Data and Service Providers
Even if theseare done bythe same DL,these are distinct roles
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Metadata Harvesting• Move away from distributed searching• Extract metadata from various sources• Build services on local copies of metadata
– data remains at remote repositories
user
. . .
search for “cfd applications”
local copy ofmetadata
metadataharvested offline
metadataharvested offline
metadataharvested offline
metadataharvested offline
each node independently maintained
all searching, browsing, etc. performed on the metadata hereindividual nodes can
still support direct userinteraction
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Result… OAI
• The OAI was the result of the demonstration and discussion during the Santa Fe meeting– OAI = a bunch of people, a religion, a cult, etc.
– OAI Protocol For Metadata Harvesting (OAI-PMH) = the protocol created and maintained by the OAI
• Initial focus was on federating collections of scholarly e-print materials…
• …however, interest grew and the scope and application of OAI-PMH expanded to become a generic bulk metadata transport protocol
• Note:– OAI-PMH is only about metadata -- not full text!
• but what is metadata vs. full-text?
– OAI is neutral with respect to the nature of the metadata or the resources the metadata describes
• read: commercial publishers have an interest in OAI-PMH too...
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Open Archives Initiative
The protocol is openlydocumented, and metadatais “exposed” to at least somepeer group (note: rights management still applies!)
Archive defined as a“collection of stuff” --not the archivist’s definition of “archive”. “Repository” used in most OAI documents.
TLA; needed anothervowel...
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OAI-PMH MechanicsRequest is encoded in http
Response is encoded in XML
XML Schema for theresponses are defined in the OAI-PMH document
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Overview of OAI-PMH Verbs
Verb Function
Identify description of archive
ListMetadataFormats metadata formats supported by archive
ListSets sets defined by archive
ListIdentifiers OAI unique ids contained in archive
ListRecords listing of N records
GetRecord listing of a single record
archivalmetadata
harvestingverbs
most verbs take arguments: dates, sets, ids, metadata formatsand resumption token (for flow control)
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resource
all available metadata about David
item
Dublin Coremetadata
MARCmetadata
SPECTRUMmetadata records
item = identifier
record = identifier + metadata format + datestamp
set-membership is item-level property
OAI-PMH Data Model
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Data Providers / Service Providers
data providers(repositories)
service providers(harvesters)
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Aggregators
data providers(repositories)
service providers(harvesters)
aggregator
aggregators allow for:• scalability for OAI-PMH• load balancing • community building• discovery
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Aggregators• Frequently interchangeable terms:
– aggregators: likely to be community / institutionally focused– caches: stores a copy, less likely to be community-oriented– proxies: less likely to store a copy, may gateway between OAI-PMH and
other protocols• Dienst / OAI Gateway; Harrison, Nelson, Zubair, JCDL 03
• To learn more about aggregators, caches & proxies:– http://www.openarchives.org/OAI/2.0/guidelines-aggregator.htm– http://www.cs.odu.edu/~mln/jcdl03/
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Example Aggregators
• Arc - http://arc.cs.odu.edu/– first described “hierarchical harvesting” in D-
Lib Magazine, 7(4) 2001• http://www.dlib.org/dlib/april01/liu/04liu.html
• Celestial - http://celestial.eprints.org/– among other services, it provides a history of
harvests (successful vs. errors)• http://celestial.eprints.org/cgi-bin/status
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OAI-PMH 2.0 Registration
Data Providers: http://www.openarchives.org/Register/BrowseSites.plService Providers: http://www.openarchives.org/service/listproviders.html
75 repositories registered
??? unregistered repositories
unregistered because:• testing / development• not for public harvesting • public, but “low-profile”• never got around to it…• ???
DP:SP ~= 5:1
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Registration is Nice……But Not Required
• OAI-PMH is (becoming) the “http” for digital libraries– there is no central registry of http servers
• remember the NCSA “What’s New” page? (ca. 1994)
• There will never be “registration support” in OAI-PMH– registries are a type of service provider, built on top of OAI-PMH– registration will be an integral part of community building– friends…
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<friends>…</friends>
http://techreports.larc.nasa.gov/ltrs/oai2.0/ http://naca.larc.nasa.gov/oai2.0/
http://ntrs.nasa.gov/oai2.0/
http://ston.jsc.nasa.gov/collections/TRS/oai/
http://horus.riacs.edu/perl/oai/
harvester
Identify
NASA <friends> example
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Field of Dreams• It should be easy to be a data provider, even if it
makes more work for the service provider.– if enough data providers exist, the service providers
will come (DPs >> SPs)
• Open-source / freely available tools– “drop-in” data providers
• at the end of this presentation
– tools to make your existing DL a data provider:• http://www.openarchives.org/tools/tools.htm• also: OAI-implementers mailing list / mail archive!
– service providers:• http://oaiarc.sourceforge.net/
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OAI-PMH Meeting History
OAI Open Day, Washington DC
1/2001
2nd OAI WorkshopCERN 10/2002
Protocol definition,development tools
DPs, retrofittingexisting DLs
SPs, new services
Socio-Economic-Political Issues
4 1
5 4
1 11
0 6
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Shift of Topics
• From the protocol itself, supporting & debugging tools and how to retrofit (existing) DLs…
• …to building (new) services that use the OAI-PMH as a core technology and reporting on their impact to the institution/community
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Arc
• http://arc.cs.odu.edu/
• harvests all known archives
• first end-user service provider
• source available through SourceForge
• hierarchical harvesting
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NCSTRL
• http://www.ncstrl.org/
• metadata harvesting replacement for Dienst-based NCSTRL
• based on Arc• computer science
metadata
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Archon
• http://archon.cs.odu.edu/
• physics metadata• based on Arc• features:
– citation indexing– equation-based
searching
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Torii
• http://torii.sissa.it/
• physics metadata• features
– personalization– recommendations– WAP access
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iCite
• http://icite.sissa.it/
• physics metadata• features
– citation based access to arXiv metadata
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my.OAI
• http://www.myoai.com/
• covers all registered metadata
• features– result sets– personalization– many other advanced
features
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Cyclades• http://www.ercim.org/cyclades
• scientific metadata
• features– personalization– recommendations– collaboration
• status?
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citebase
• http://citebase.eprints.org/
• arXiv metadata• citation based
indexing, reporting
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OAIster
• http://oaister.umdl.umich.edu/
• harvests all known archives
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Others…• Commercial publishers
– American Physical Society (APS)– Institute of Physics– Elsevier / Scirus (www.scirus.com)
• Department of Energy– OSTI– LANL
• Institutional servers– DSpace (MIT; www.dspace.org) – Eprints (www.eprints.org)– DARE (All Dutch universities)
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NACA Technical Report Server• publicly available
– began in 1996– details in NASA TM-1999-
209127
• scanned reports from 1917-1958– NACA = predecessor to NASA
• contents mirrored with the MaGIC project– a UK-based grey-literature
preservation project– OAI-PMH used to mirror
contents
http://naca.larc.nasa.gov/http://naca.larc.nasa.gov/oai2.0/
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NACA Report 1345
as seen through its native DLhttp://naca.larc.nasa.gov/
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NACA Report 1345
as seen through MAGiChttp://www.magic.ac.uk/
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NACA Report 1345
as seen through its Scirus(Elsevier)http://www.scirus.com/
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NACA Report 1345
as seen through my.OAI(FS Consulting)http://www.myoai.com/
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NASA Technical Report Server• replacement for the previous
distributed searching version of NTRS– MySQL
– Va Tech harvester
– modified “bucket”
– details in Nelson, Rocker, Harrison, Library Hi-Tech, 21(2) (March 2003)
• a service provider & aggregator– same OAI baseURL as used
for interactive searching
http://ntrs.nasa.gov/
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NASA Technical Report Server
• advanced, fielded search
• explicit query routing – 10 NASA repositories
– 4 non-NASA repositories
• turned “off” by default
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non-NASArepositories
> 0.5M records
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NASA DLs in the Larger STI Realm
NTRS
LTRS ATRS CASITRS…
DOEDODUniversitiesPublishers . . .International
NTRS could also be a data provider from the point of view of other DLs; allowing theharvesting of NASAreport metadata.
NTRS could also harvestmetadata from other DLs,and provide access to non-NASA content.
We hope to influencethe direction of the science.gov effort to useOAI-PMH
this could be a fully connected graph
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Service Providers• It is clear that SPs are proliferating, despite
(because of?) the inherent bias toward DPs in the protocol– easy to be a DP -> many DPs -> SPs eventually emerge– hard to be a DP -> SPs starve– currently 5x DPs more than SPs
• SPs are beginning to offer increasingly sophisticated services– competitive market originally envisioned for SPs is
emerging
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OpenURL
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The Context: Library Automation Environment anno 1998
• distributed information environment• local & remote A&I databases• rapidly growing e-journal collection• need to interlink the available information
The Problem: • links are delivered by info providers• links are not sensitive to user’s context
• appropriate copy problem• links dependent on business agreements between information vendors• links don’t cover the complete collection
Origins & Motivation
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The Context: Library Automation Environment anno 1998
• distributed information environment• local & remote A&I databases• rapidly growing e-journal collection• need to interlink the available information
The REAL Problem:
• libraries have no say in linking • libraries are losing core part of the “organizing information” task• expensive collection is not used optimally• users are not well served
Origins & Motivation
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Origins & Motivation
The Solution:
In information services:
• DO NOT provide a link which is an actual service related to a referenced item (e.g. a link from a record in an A&I database to the corresponding full-text)
• BUT rather provide• a link that transports metadata about the referenced item
to • others that are better placed to provide service links
OpenURL
Linking server operated by library
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link source
link destination
link to referenced work .
resource
resolution of metadata into link
reference
non-OpenURL linking
resource
link
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link source.
user-specific
resolution of metadata & identifiers into services
reference
OpenURL linking
OpenURL
OpenURLlinking
server
provision of OpenURL
linklink
destination
linklink
destinationlink
linkdestination
linklink
destination
transportation of metadata & identifiers
context-sensitive
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• Nature of solution determined
• Experiment with local databases at Ghent University
• Demonstrated October 1998 at Belgian Library meeting
• Problem statement & Experiment described in 2 D-Lib Magazine papers, April 1999
Evolution ~ 1998
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• Feasibility of solution tested in 2 complex environments
• Experiments:• SFX@Ghent & SFX@LANL: LANL, Ghent, APS, Wiley, SilverPlatter, Ex Libris• UPS Prototype: arXiv, SLAC/SPIRES, LANL, Ghent, …
• Demonstrated:• June 1999 at ALA LiTA session, New Orleans • October 1999 at OAI meeting, Santa Fe
• Experiments described in 2 D-Lib Magazine papers, October 1999 and February 2000
Evolution ~ 1999
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• OpenURL 0.1 released
• Quick adoption of OpenURL 0.1 in information community
• SFX linking server goes beta
Evolution ~ 2000
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• Integration of OpenURL Framework and DOI/CrossRef framework
• Experiment involving CNRI, LANL, OhioLink, Academic Press, Ex Libris, …
• DOI/OpenURL integration described in 2 D-Lib Magazine papers, March 2001 and September 2001
• First non-SFX linking servers appear
Evolution ~ 2001
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• Proposal to standardize OpenURL
• Generalization of OpenURL Framework concepts beyond scholarly information community
• Described in:Van de Sompel, Herbert and Beit-Arie, Oren. Generalizing the OpenURL Framework beyond References to Scholarly Works: the Bison-Futé model. July/August 2001. D-Lib Magazine.
• NISO AX Committee starts standardization of the OpenURL Framework using the Bison-Futé model as the basis of its work.
Evolution ~ 2001
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NISO OpenURL Standardization Charge
• Use existing “OpenURL Framework” as starting point• notion of context-sensitive services• notion of transporting “contextual” metadata packages to obtain context-sensitive services
• Define syntax and transport-method for “contextual” metadata packages
• Ensure extensibility:• must support future applications• must support other information communities
=> Generalize and Standardize
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NISO OpenURL Standardization Charge
Therefore, to be addressed were:
• OpenURL Framework beyond scholarly resources
• “contextual” metadata packages
• Syntax for “contextual” metadata packages
• Transport of “contextual” metadata packages
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metadata planeresource1
resource2 resource3
default links
herbert van de sompel
default links:• restricted in nature• action-radius restricted by business agreements• not context-sensitive
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metadata plane
extended services plane
resource1
servicecomponent1
servicecomponent2
default links
appropriate links
Ope
nURL
resource2 resource3
herbert van de sompel
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Download and Go!
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Where Do You Want to Build?
user
. . . dataprovider
dataprovider
dataprovider
dataprovider
serviceprovider
local context-sensitive services
EPrints.org
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Fedora
• joint project between Cornell & UVa – funded by the Mellon Foundation
• a repository management system– focuses on complex digital objects and their behaivors
• more info:– http://www.fedora.info/
– D-Lib Magazine, 9(4)• http://www.dlib.org/dlib/april03/staples/04staples.html
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• MIT + HP Labs• constructed to capture all the output of MIT’s
faculty• now generalized to the DSpace Federation
– 8 top universities in the US & Canada
• More info:– http://www.dspace.org/– http://sourceforge.net/projects/dspace/– D-Lib Magazine 9(1)
• http://www.dlib.org/dlib/january03/smith/01smith.html
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EPrints.org
• developed at Southampton University– part of larger suite of institutional/author self-archiving
tools and services• e.g.: citebase; paracite
• widely adopted -- 100+ sites– http://software.eprints.org/#ep2
• more info– http://www.eprints.org/– http://www.arl.org/sparc/core/index.asp?page=g20#6
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• P2P publishing for academia– community servers for coordination,
management– archivelets for individual laptops, PCs
• more info:– http://kepler.cs.odu.edu/– D-Lib Magazine 7(4)
• http://www.dlib.org/dlib/april01/maly/04maly.html
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• developed by UKOLN– open source
• OpenURL 0.1 format resolver– NISO 1.0 format???
• more info:– Ariadne, 28
• http://www.ariadne.ac.uk/issue28/resolver/• ftp://ftp.ukoln.ac.uk/metadata/tools/openresolver/• http://www.ukoln.ac.uk/distributed-systems/openurl/
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Conclusions
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Why The OAI-PMH is NOT Important
• Users don’t care• OAI-PMH is middleware
– if done right, the uninterested user should never have to know
OAI
Inside
• Using OAI-PMH does not insure a good SP
• OAI-PMH is (or is becoming) HTTP for DLs– few people get excited about http now
• http & OAI-PMH are core technologies whose presence is now assumed
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Other Uses For the OAI-PMH• Assumptions:
– Traditional DLs / SPs will continue on their present path of increasing sophistication
• citation indexing, search results viz, personalization, recommendations, subject-based filtering, etc.
– growth rates remain the same (5x DPs as SPs)• Premise: OAI-PMH is applicable to any scenario that needs
to update / synchronize distributed state– Future opportunities are possible by creatively interpreting
the OAI-PMH data model• See Van de Sompel, Young & Hickey, D-Lib Magazine July 2003,
http://www.dlib.org/dlib/july03/young/07young.html
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OpenURL Framework evolution
A spec based on HTTP GET to transport metadata about• a scholarly referent & • the context in which the referent is referenced
Draft Van de Sompel, Beit-Arie, Hochstenbach - 05/2001
A framework Standard that enables different Communities to:• describe a referent• describe the context in which the referent is referenced• transport these descriptions
NISO Draft Standard -04/2003
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The Future: Community Building
• Ultimately, protocols and metadata formats are not what makes a difference
• Rather, the critical mass afforded by a common set of utilities (cf. http, Dublin Core, XML)
• The best current example: The Open Language Archives Community – http://www.language-archives.org/
• OAI-PMH provides the basis for communication between strangers, but allows even richer communication between friends