OpenAIRE guidelines and broker service for repository managers - OpenAIRE #OAW2016 webinar

OPENAIRE GUIDELINES & BROKER
SERVICES FOR REPOSITORY MANAGERS
“Webinar on the Openaire compatibility guidelines and the dashboard for Repository Managers”
Friday October 28, 2016 at 12.00 CEST
info@openaire.eu
Paolo
Manghi
ISTI-CNR
Pedro
Príncipe
UNIVERSITY OF
MINHO

OPENAIRE GUIDELINES &
BROKER SERVICES
FOR REPOSITORY MANAGERS
Pedro Principe & Paolo Manghi
Webinar – Oct. 28 2016

Agenda
1. OpenAIRE infrastructure & content acquisition policy
2. OpenAIRE guidelines and tools for compatibility
3. Notification Broker service & Repository manager dashboard
4. OpenAIRE and repositories moving towards Open Science publishing
#OAW2015 3

An Open Knowledge & Research
Information Infrastructure
 Foster and facilitate the shift of
scholarly communication
towards making science Open
and Reproducible
 Collaborative and
participatory approach at
European and Global level
Research
communitie
s
Research
admins
Researchers
Funders
SMEs
Content providers in
scholarly
communication
Neworking &
e-Infrastructure

OpenAIRE’s e-infrastructure Commons
Publications
repositories
Research Data
repositories
CRIS
systems
Registries
(e.g. projects)
OA
Journals
Software
Repositories
Validation
Cleaning De-duplication
Enrichment
By inference
Funders, research admins,
research communities
• Research impact
• Project reporting and monitoring
• Open Access trends
Content providers
• Repository guidelines and validation
• Repository notification broker
• Repository analytics and usage stats
Researchers
• Claim publications, datasets, software
• Deposit publications, datasets, software
• Search & browse: interlinked publications, datasets,
projects
• Open Access & DMP Helpdesk
• End-User feedback
CONTENT PROVIDERS
INFO SPACE SERVICES
KEY STAKEHOLDERS SERVICES
Project initiative
FunderFunding
Result
Publication Data Software
Organization
GUIDE
LINES
TERMS
OF USE

OPEN ACCESS
OpenAIRE implements the
EC requirements
& SUPPORTS THE OPEN DATA PILOT

Align OA policies. Sync infrastructures.
OpenAIRE provides services for other funders
(EU national funders)
7

8
OpenAIRE Content Acquisition
AUTHORITATIVE INFORMATION RESEARCH DATAPUBLICATIONS
• Registries of Data
Providers
• OpenDOAR,
• re3data,
• DOAJ journal list, …
• Funding Information
• Author-/Contributor info
OpenAIRE will expand the current policy to other dataset
classes (Open Access datasets) because OpenAIRE would
like to have some for quality certification.

INTEROPERABILITY:
GUIDELINES & VALIDATOR
Data providers
9
Common standards/best practices for data providers (Guidelines for
literature, data repositories, aggregators, OA journals, CRIS systems).
Validator: web service or standalone

OpenAIRE Guidelines
• Common standards/best practices for data providers (Guidelines for
literature, data repositories, aggregators, OA journals, CRIS systems).
Validator: web service or standalone.
• OpenAIRE has collaborated with key stakeholders and has produced three
sets of guidelines for its data providers, all based on existing well-
established standards.
• Best practices for the use of transfer protocol (OAI-PMH), metadata
formats, controlled vocabularies.
10
INTEROPERABILITY IS KEY

1 2 3Literature
Repositories
(and journal platforms)
Dublin Core (DRIVER)
Data
Repositories
(and archives/data centres)
Datacite
CRIS systems
CERIF-XML
Guidelines for Data Providers
11

Why Guidelines?
Format and Protocol to Collect
FUNDING INFORMATION
ACCESS RIGHTS AND LICENSE INFO
+
REFERENCED DATASETS & RELATED PUBLICATIONS,
EMBARGO DATE INFORMATION
12

How do they work?
• Identification of Open Access and funded research results by OAI-Sets:
• ‘openaire’ for publications
• ‘openaire_data’ for research datasets
• Latest schema guarantees backward-compatibility with previous versions.
• Complemented by metadata enrichment thanks to OpenAIRE’s text-mining
services.
13

Literature Guidelines: OpenAIRE OAI-Set
• To group metadata relevant for OpenAIRE
• See https://www.openaire.eu/content-acquisition-policy/content-acquisition-
policy/content-acquisition-policy
• Metadata about Open Access Publications
• Metadata about Publications funded in EC-FP7 / H2020
• Metadata about Publications funded by other funders
• OpenAIRE provides information about supported funding information
14
setName setSpec*
The OpenAIRE set OpenAIRE openaire

projectID
15
Element name projectID
DCMI definition dc:relation
Usage Mandatory (if applicable)
Usage instruction A vocabulary of projects is exposed by the OpenAIRE API:
http://api.openaire.eu/#cha_projects_http
, and available for all repository managers. Values include
funder, project name and projectID.
The projectID equals the Grant Agreement number, and is
defined by the namespace: info:eu-
repo/grantAgreement/Funder/
FundingProgram/ProjectNumber/
Jurisdiction/ProjectName/ProjectAcronym/
Example:
<dc:relation> info:eu-repo/grantAgreement/EC/FP7/123456 </dc:relation>
<dc:relation> info:eu-repo/grantAgreement/EC/FP7/12345/EU//Acronym
</dc:relation>

accessRights
16
Element name accessRights
DCMI definition dc:rights
Usage Mandatory
Usage instruction Use values from vocabulary Access Rights at
http://purl.org/eu-repo/semantics/#info-eu-repo-
AccessRights
• info:eu-repo/semantics/closedAccess
• info:eu-repo/semantics/embargoedAccess
• info:eu-repo/semantics/restrictedAccess
• info:eu-repo/semantics/openAccess
Examples:
<dc:rights> info:eu-repo/semantics/openAccess </dc:rights>

embargoEndDate
Element name embargoEndDate
DCMI definition dc:date
Usage Mandatory (if applicable)
Usage instruction Recommended when accessRights = info:eu-
repo/semantics/embargoedAccess
The date type is controlled by the name space info:eu-
repo/date/embargoEnd/, see
http://wiki.surffoundation.nl/display/standards/info-
eu-repo/#info-eu-repo-DateTypesandvalue. Encoding
of this date should be in the form YYYY-MM-DD
(conform ISO 8601).
Examples:
<dc:date> info:eu-repo/date/embargoEnd/2011-05-12 <dc:date>

Alternative Identifier
18
Element name Alternative Identifier
Usage Recommended
Usage instruction List alternative identifiers for this publication that are
not the primary identifier (repository splash page),
e.g., the DOI of publisher’s version, the PubMed/arXiv
ID. The term is defined by info:eu-
repo/semantics/altIdentifier info:eu-
repo/semantics/altIdentifier/<scheme>/<identi
fier> where <scheme> must be one of the
following: ark,arxiv, doi, hdl, isbn, purl…
Example
<dc:relation> info:eu-repo/semantics/altIdentifier/doi/10.1234/789.1
</dc:relation>

Referenced Dataset
19
Element name Referenced Dataset
Usage Recommended
Usage instruction Encodes links to research datasets connected
with this publication. The syntax of info:eu-
repo/semantics/dataset is: info:eu-
repo/semantics/dataset/<scheme>/<identifier>
where <scheme> must be one of the following:
ark,arxiv, doi, hdl, isbn, purl…
Example
<dc:relation> info:eu-repo/semantics/dataset/doi/10.1234/789.1
</dc:relation>

Referenced Publication
20
Element name Referenced Publication
Usage Recommended
Usage instruction Encode links to publications referenced by this
publication. The syntax of info:eu-
repo/semantics/reference is: info:eu-
repo/semantics/reference/<scheme>/<identifier
> where <scheme> must be one of the following:
ark, arxiv, doi, hdl, isbn…
Examples:
<dc:relation> info:eu-repo/semantics/reference/doi/10.1234/789.1
</dc:relation>

OpenAIRE Compatibility Status:
Levels and OAI Sets
21
OpenAIRE
basic
Only Open
Access content
via driver oai set
OpenAIRE
2.0
EC funded
content
via
ec_fundedresour
ces oai set
OpenAIRE
2.0 +
Open Access and
EC funded
content
via driver and
ec_fundedresourc
es oai set
OpenAIRE
3.0
Open Access
and/or EC funded
and/or
National/other
funded content
via openaire oai
set

Meet H2020 OA Guidelines
22
Property DC Field Value
EU funding
acknowledgment
dc:contributor “controlled” terms :
["European Union (EU)" and "Horizon 2020"]["Euratom" and "Euratom research
and training programme 2014-2018"]
Peer reviewed dc:type info:eu-repo/semantics/publishedVersion
Embargo period dc:date
dc:rights
• info:eu-repo/date/embargoEnd/<YYYY-MM-DD>
• <YYYY-MM-DD> (as publication date)
• info:eu-repo/semantics/embargoedAccess
Project information dc:relation info:eu-
repo/grantAgreement/EC/H2020/[ProjectID]/[Jurisdiction]/[ProjectName]/[Project
Acronym]/
Persistent identifier dc:identifier or
dc:relation
License dc:rights URL of license condition
Persistent IDs for authors
and contributors
dc:creator
dc:contributor
<Lastname, Firstname; id_orcid 0000-0000-0000-0000>
Reference to related
research outcome
dc:relation info:eu-repo/semantics/dataset/<scheme>/<id>

Sample DC-Record<dc:language>eng</dc:language>
<dc:creator>Stanojević, Miloš</dc:creator>
<dc:creator>Sima’an, Khalil</dc:creator>
<dc:title>Evaluating MT systems with BEER</dc:title>
<dc:subject>info:eu-repo/classification/ddc/400</dc:subject>
<dc:source>The Prague bulletin of mathematical linguistics 104(1), 17-26(2015).
doi:10.1515/pralin-2015-0010</dc:source>
<dc:type>info:eu-repo/semantics/article</dc:type>
<dc:type>info:eu-repo/semantics/publishedVersion</dc:type>
<dc:publisher>Univ.</dc:publisher>
<dc:date>2015</dc:date>
<dc:rights>info:eu-repo/semantics/openAccess</dc:rights>
<dc:coverage>DE</dc:coverage>
<dc:identifier>http://publications.rwth-aachen.de/record/668768</dc:identifier>
<dc:identifier>http://publications.rwth-aachen.de/search?p=id:%22RWTH-2016-
07014%22</dc:identifier>
<dc:identifier>http://publications.rwth-
aachen.de/record/668768/files/Stanojevi%C2%B4%20c%20_%5BThe%20Prague%20Bulletin%20of%20Mathem
atical%20Linguistics%5D%20Evaluating%20MT%20systems%20with%20BEER.pdf</dc:identifier>
<dc:audience>Researchers</dc:audience>
<dc:relation>info:eu-repo/semantics/altIdentifier/doi/10.1515/pralin-2015-0010</dc:relation>
<dc:relation>info:eu-repo/semantics/altIdentifier/issn/1804-0462</dc:relation>
<dc:relation>info:eu-repo/semantics/altIdentifier/urn/urn:nbn:de:hbz:82-rwth-2016-
070142</dc:relation>
<dc:relation>info:eu-repo/semantics/altIdentifier/issn/0032-6585</dc:relation>
<dc:relation>info:eu-repo/grantAgreement/EC/H2020/645452</dc:relation>
23

CONTINUE TO BE DEVELOPED
OpenAIRE guidelines
to establish an open and sustainable
scholarly communication infrastructure
24

OpenAIRE guidelines – future directions
25
OpenAIRE Guidelines for Data Archive Managers:
* to comply with latest DataCite Metadata Schema 4.0 (schema.datacite.org)
* new property FundingReference and subproperties funderName, funderIdentifier, awardNumber, awardURI
OpenAIRE Guidelines for CRIS Managers
* update of CERIF-XML (to make entities less normalized, e.g. to find all relevant metadata properties in the cf_publication entity; improved semantic
vocabulary) - in collaboration and alignmnent with EuroCRIS
OpenAIRE Guidelines for Literature Repository Managers
* continues its principle to follow and adopt established standards
* but will have changes in form of a new application profile
* replacement of info:eu-repo by other controlled vocabularies and identifier systems, e.g
* COAR Resource Type Vocabulary
* recommends the use of ORCID for author identifiers
* recommends the use of FundRef and ISNI identifiers for funding organizations
* extends simple Dublin Core by attributes
* includes specific metadata properties from latest DataCite metadata kernel
* FundingReference
* Creator and Contributor incl. subproperties creatorName, contributorName, nameIdentifier
* file element(s) to locate the fulltext file(s) incl. mimeType and accessRights
* includes optionally properties from the bibo ontology to express details of serials (volume, issue, startPage, endPage)
* OpenAIRE will start consultation phase with LA Referencia, JISC and SHARE

Make Your Repository Available
to OpenAIRE!
26

Becoming an OpenAIRE data provider
27
1. Register your repository in OpenDOAR / re3data
* institutional/thematic repository -> OpenDOAR
* data repository -> re3data
2. Test compliancy with OpenAIRE Guidelines
Make your repository OpenAIRE compliant –>
by help of the OpenAIRE validator service
3. Add your repository in OpenAIRE
Register your repository in OpenAIRE; pre-filled information
imported from OpenDOAR or re3data

1. Registration in Repository directories
• For literature repositories use:
OpenDOAR (http://opendoar.org/ )
• For research data repositories use:
re3data (http://re3data.org )
• If you are already registered in OpenDOAR:
• Check if the information is up to date
• Take care on admin email contact and
OAI configuration:
baseURL, OAI-Set, Guidelines Compatibility
28

www.openaire.eu/validator
Test compatibility and Join OpenAIRE

2. Test the OpenAIRE Compliance
30
Choose from the menu
Finally check results

3. Registration Form
31

Choose Your Repository From The List
Via validator tool
32

OpenAIRE compatibility: Addons, patchs or
plugins for Repositories & Journals software
Dspace add-ons and versions compliance
https://wiki.duraspace.org/pages/viewpage.action?pageId=33238567
OpenAIRE Plug-in (OpenAIRE 2.0) http://files.eprints.org/649/
EPrints - OpenAIRE compliance example (3.0)
https://gist.github.com/alenkovich/9596992
OAI_DC_OpenAIRE implementation for Zenodo
https://github.com/zenodo/zenodo/blob/master/zenodo/base/format_templates/OAI_DC_OpenAIRE.xsl
OJS Plugin: OpenAIRE
http://pkp.sfu.ca/support/forum/viewtopic.php?f=28&t=7085
+ OJS DRIVER-Plug-In
33https://www.openaire.eu/rep-managers/rep-man-toolkit/repository-managers

http://api.openaire.eu/
Need to integrate project and funding information into your institutional
repository based on DSpace or ePrints?
• Go for the DSpace/ePrints endpoints.
Do you prefer a TSV with the list of projects by funding?
• TSV endpoint is meant for
34

Dspace Add-ons for project ids
• OpenAIRE Authority Control
• Dspace 3.2
• http://goo.gl/cEPTZN (updated March 2014)
• Dspace 1.8.2
• http://projeto.rcaap.pt/index.php/lang-en/consultar-recursos-de-
apoio/remository?func=fileinfo&id=354
• OpenAIRE funders projects list addon (NEW)
• In use on the RCAAP Project (PT repositories)
• https://gitlab.fccn.pt/dev-rcaap/addon-openaire/tree/OpenAIRE5.X
• https://gitlab.fccn.pt/dev-rcaap/addon-openaire/tree/OpenAIRE3.X
Using the projects list provided by the OpenAIRE API
35
Allows users to search and include EC (+ WT + FCT) projects ID in
the metadata of the records disposed in accordance with OpenAIRE

Submission Workflow
Searching by the name or the project id number
Select the project and accept… the necessary namespace will be filled

REDUCE WORKLOAD OF AUTHORS
Repository managers
to fulfill the EC Open Access requirements
or other funders OA mandates
37

RESEARCHER
DECIDES WHERE TO
PUBLISH
Check publishers
policies on
www.sherpa.ac.uk/romeo
Open Access Journals
doaj.org
Check for Article
Processing Charges
Subscription-based journal Self-archive in a repository
Find at: openaire.eu
IMMEDIATE
OPEN ACCESS
IMMEDIATE OR DELAYED
OPEN ACCESS

LOCATE AN APPROPRIATED REPOSITORY
Deposit once!
Via OpenAIRE
39

DEPOSIT ALL
PROJECT
PUBLICATIONS
Automatically
REACH MORE PEOPLE,
HAVE GREATER IMPACT,
SIMPLIFY H2020 REPORTING

Funded projects info in OpenAIRE
Collect metadata
including project
grantID from
OpenAIRE compliant
repositories
Metadata publications
record enrichments by
OpenAIRE
deduplication
Link Publications to
projects by
inference (text
mining procedures)
Link Publications to
projects using the
end-user service:
claim publications

NOTIFICATION BROKER
Repositories
43
(Meta)data and links exchange among different data providers.

Scenario
• OpenAIRE aggregates metadata about publications from hundreds of
repositories, aggregators, OA journals, and publishers
• OpenAIRE guidelines: DC fields + access rights + funding projects + links to
datasets or publications
• Infers information about publications
• Relationships to projects and datasets, citations, similarities
• Find duplicates of metadata records for the same publications and merges
them to build a (possibly richer) representative record
44

Idea
• Institutional repositories are interested to acquire metadata that improves
their collection of metadata records
• Enrichment: enrich the records they already have with extra metadata
information
• Addition: add to their collection records that are “related with” the repository,
i.e. they should/could be part of their collection
45

OpenAIRE Literature
Broker sketch
OpenAIRE
Notification Broker
OpenAIRE
Information Space
Graph
(deduplication,
Inference,
Aggregation)
…
Subscriptions
Potential
Notifications
subscribe
notifyrepository
admin
OpenAIRE Data
Sources
Identifying “events”
relevant to repositories
(enrichments & additions)
Sending
events
Delivered
Notifications
Event (potential notification):
• Message
• Topic
• TargetRepository
• Trust

The Challenge
•Enrichment is straightforward
• Harvesting from repository and return to repository its records if
they have been “enriched” by deduplication and/or inference
•Addition is less obvious
• Based on relationships, in turn identified by inference algorithms
• Must be augmented with notion of “trust” to enable “tuning”
options in order to reduce false positive notifications
47

Examples of enrichments topics
ENRICHMENT.[MORE | NEW]
• dc:rights: dc:rights is present and original record was missing it
• dc:identifier-if-DOI: DOI is present and original record was missing it
• dc:type: dc:type is present and original record was missing it
• dc:subject: dc:type is present and original record was missing it
• rel-to-project: relationship to project is present and original record
was missing it
• rel-to-dataset/software/similar-publication: relationship is present
48

Examples of additions topics
ADDITIONS
• authorAffiliation: The publication has an author whose organization has a given
institutional repository of reference
• sharedProject: The publication has been funded by a project whose participants
(orgs that are beneficiaries of the grant) have a given institutional repository of
reference
• authorRepositoryOfReference: The publication has an author with a given
institutional repository of reference
49

Affiliation criterion
Exploits relationships
publication  author  organization  repository

Author’s repository of reference
Publication  author  repository
(where author  repository is
“frequency of deposition”)

Relevance by project funding
publication  project  organization  repository
high chances to yield false positive notifications

Subscriptions
• Repository managers can subscribe to the service to receive notifications
about records “assigned to them” and specify
• Topics: enrichment.[more | new].X or addition.Y
• How to be notified: RSS feed, email, APIs, etc.
• When to be notified: instantly, every K days
• Criteria on record fields (predicate)
• Repository managers can test their subscription by searching the
collection of potential notifications
53

Notifications
• The service can notify the repositories in different ways
• OpenAIRE recommended repository APIs for metadata ingestion (e.g. SWORD
project); software modules for known platforms will be considered (e.g. DSpace,
Eprints)
• email to the repository managers
• RSS feeds
• The service avoids redundant notifications by keeping a history of
delivered notifications
54

Service architecture
OpenAIRE
Information
Space
Potential
Notifications
Subscriptions
New Notifications
by subscription
Notifications Past Notifications
by subscriptionPhase 1
Phase 2
Phase 3
Web
Dashboard
Test subscriptions
Inspect notification history
Manage subscription configs

Standards for brokers
Working with similar initiatives
(Jisc, SHARE-US) on the definition
of recommendations to enable
information exchange between a
network of Scholarly
Communication Broker Services
Producers of events
Subscriptions Subscriptions Subscriptions
Consumers of events
subscribe notify subscribe notify subscribe notify
Exchanging
Subscriptions
& channeling
notifications
Exchanging
Subscriptions
& channeling
notifications

OpenAIRE
Repository Manager
Dashboard
60

Dashboard Functionalities
•Data source registration and validation (against OpenAIRE
guidelines)
• Repository, data archive, journal, aggregator, CRIS system
•Data source enrichment and fixing
•Data source statistics
•Data source usage statistics
•Data source notification

Repository metrics: OpenAIRE
perspective

Repository metrics: Local perspective

OpenAIRE to support Open Science
Facilitate Research Communities
adoption of Open Science publishing
principles by supporting publishing tools
as-a-Service
Facilitate repositories at moving towards
Open Science publishing by supporting
notification-based research communication
as-a-Service

Open Science as-a-Service (OSaaS) in OpenAIRE
Catch-All-Notification
Broker
Methods
Packages
Articles DataProjects
Research Community
Dashboard
Harvesting
Search-Browse-
Monitor-Research
Impact
Subscribe & Receive Notification
Articles
Data
Researchers
Content Providers
Articles
Data
Projects
Methods

Research Communication barriers to
Open Science
Repositories lack
support to Open
Science publishing
No support for integration of repositories for methods or packages
Minimal or no support for links between artefacts in different repositories
No support for keeping repositories with up-to-date links between
artefacts
Research communities
lack culture of Open
Science publishing
Lack of e-infrastructure for Open Science: e.g. repository limits above,
exchange formats, workflows
Difficulties to self-organize and sustain research communication
solutions: e.g. identify the problems, see the benefits, devise solutions,
apply economy of scale

Enabling a Network of Research
Communication Brokers
Producers of events
Subscriptions Subscriptions Subscriptions
Consumers of events
subscribe notify subscribe notify subscribe notify
Exchanging
Subscriptions &
channeling
notifications
Exchanging
Subscriptions &
channeling
notifications

Repositories: Open Science benefits
• Enabling addition of links to artefacts of any kind
Extending repository metadata models to
Open Science
• “Almost real-time” exchange of information: notifications about links to other
artefacts, missing properties, and missing artefacts
Keeping their collection up-to-date:
enrichments and additions
• Enabling repositories to be notified of content of interest, enabling
construction of research-focused aggregators by notifications
Fostering notification-based and federated
dissemination of knowledge

OpenAIRE towards Open Science
Research Community Dashboard
Repository Notification Broker
Served on-demand according to the OSaaS approach
Customizable by different disciplines and providers, each with
different practices and maturity levels
Framework aligning communities and repositories on practices
addressing transparent evaluation and reproducibility

www.openaire.eu
@openaire_eu
facebook.com/groups/openaire
linkedin.com/groups/OpenAIRE-3893548
Thanks!
info@openaire.eu
73
Paolo Manghi & Pedro Principe

OpenAIRE guidelines and broker service for repository managers - OpenAIRE #OAW2016 webinar

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OpenAIRE guidelines and broker service for repository managers - OpenAIRE #OAW2016 webinar