the RIOXX metadata application profile and guidelines

RCUK RIOXX Application Profile Version 1.5

Note that there is a newer version of the application profile - please check here for the latest version

This is an updated version of the RIOXX application profile, enhanced following the outcomes of the V4OA project.

Changes since version 1.0

  • the <free_to_read> element has been added
  • the <license_ref> element has been added
  • the <dc:rights> element has been removed - the introduction of the new <license_ref> has superceded this
  • the recommendations for the <rioxxterms:funder> element have changed - the use of FundRef is now recommended.
  • the <rioxxterms:apc> element has been added
  • the <rioxxterms:version> element has been added
  • the <rioxxterms:creator> element has been replaced with <rioxxterms:author>
  • the new <rioxxterms:project> element has replaced both <rioxxterms:projectid> and <rioxxterms:funder>
  • the <rioxxterms:version_of_record> element has been added, and the recommendation to include, under <dc:relation>, the DOI to the version of record has been removed.
  • the <dcterms:issued> element has been replaced with the <dcterms:dateAccepted> and the meaning of this element has changed.
  • the <dc:type> element has been replaced with the <rioxxterms:type> and this element has been constrained with a controlled list of allowed values.
  • the <dcterms:audience> element has been removed.
  • the <dcterms:references> element has been removed.
  • <rioxxterms:publication_date> has been added

Terminology

the resource refers to the electronic copy of an article held in a repository, and is the thing being described by the RIOXX metadata record.

version of record refers to the instance of the article being described in the RIOXX metadata record which has been made available, electronically, by the publisher.

The terms MUST, MUST NOT, REQUIRED, SHALL, SHALL NOT, SHOULD, SHOULD NOT, RECOMMENDED, MAY, and OPTIONAL used in the table below should be interpreted as described in RFC 2119.

Element Cardinality Description
dc:coverage Zero or more

The Openaire Guidelines recommend the inclusion of this element. It is not used in a RIOXX context, but RIOXX strives to allow onward compatability with other important standards in the repository space.

dc:description Zero or more

This field may be indexed and its contents presented to people conducting searches. The goal is to describe the content of the resource using free text. It is RECOMMENDED that an English language abstract be used where available. HTML or other markup tags SHOULD NOT be included in this field.

dc:format Zero or more

This refers to the format of the resource. The MIME type of the object pointed to by this RIOXX record’s dc:identifier element MUST be entered here. Note that this element should not be confused with rioxxterms:type

dc:identifier Exactly one

This field MUST contain a globally unique and persistent identifier for the resource. The identifier SHOULD be an HTTP URI that can be de-referenced (and is, thus, "actionable"). The purpose of this field is to allow access to the resource, therefore it is RECOMMENDED that this identifier should point to the actual resource being described by the RIOXX record (typically a file in MS Word format), rather than to an intermediary resource such as a repository web page.

To describe another version of the resource with a different identifier, a completely separate RIOXX record should be created.

dc:language One or more

This refers to the primary language in which the content of the resource is presented. The element MAY be repeated if the resource contains multiple languages. Values used for this element MUST conform to ISO 639–3. This offers two and three letter tags e.g. "en" or "eng" for English and "en-GB" for English used in the UK.

dc:publisher Zero or more

This element contains the name of the entity, typically a 'publisher', responsible for making the version of record of the resource available. This could be a person, organisation or service.

Where available, the name of the publisher entered here SHOULD be from a controlled list.

dc:relation Zero or more

The format of this element SHOULD be an HTTP URI which points to a related resource, e.g. a data-set which underpins the resource. An exception to this is the DOI identifying a related 'version of record' - this should be recorded in the rioxxterms:version_of_record element.

Each related resource MUST appear as a separate instance of the field.

dc:source Zero or one

The source label describes a resource from which the resource is derived (in whole or in part). It is RECOMMENDED that the source is referenced using a unique identifier from a recognised system e.g. the unique 8-digit International Standard Serial Numbers (ISSN) assigned to electronic periodicals.

Use of this element is applicable where the resource is to be published as part of a larger resource. Eaxmples might include a journal article, a conference paper or a chapter of a book, but not a complete book for example.

dc:subject Zero or more

Normally keywords, phrases or classification codes are used to describe the topic of the resource. If using free text, the use of general keywords SHOULD be avoided. It is RECOMMENDED to use a formal classification scheme or controlled vocabulary e.g Library of Congress Classification Headings or Medical Subject Headings (MeSH). When including terms from multiple vocabularies, separate instances of this element MUST be used. If multiple vocabulary terms or keywords are used, terms SHOULD be separated with one of the following approaches:

  • the use of semi-colons to separate individual terms

or

  • the use of separate iterations of this element for each term
dc:title Exactly one

This refers to the title, and any sub-titles, of the resource. The title should be represented using the original spelling and wording. The RECOMMENDED format for expressing subtitles is:

Title:Subtitle

Note that where the resource is a chapter in a book, the chapter title MUST be entered here, with the book title being recorded in the dc:source element

dcterms:dateAccepted Exactly one

The date on which the resource was accepted for publication. The date SHOULD be encoded using ISO 8601 (post–2004 versions) which follows the following format: YYYY-MM-DD. Year (YYYY) or year and month (YYYY-MM) MAY be used if the full date is not known.

free_to_read Zero or one

This is defined in the NISO Open Access Metadata and Indicators. This element is not used in a RIOXX context, but RIOXX strives to allow onward compatability with other important standards in the repository space.

This element MUST NOT take a value. The semantics of <free_to_read> are conveyed by its presence or absence. This element may be modified by two optional attributes

  • start_date
  • end_date

Each of these attributes, if present, takes a date value which MUST be encoded using ISO 8601 (post–2004 versions) which follows the following format: YYYY-MM-DD. Examples:

<free_to_read start_date="2013-03-28" end_date="2014-04-30">
<free_to_read start_date="2013-03-28">
<free_to_read>

The absence of a start_date attribute implies that the meaning conveyed by the free_to_read element is current and immediate, unless an end_date attribute which is a date in the subjective past, is present in the element.

license_ref One or more

This is defined in the NISO Open Access Metadata and Indicators. This element MUST take an HTTP URI for its value. This HTTP URI MUST point to a resource which expresses the license terms specifying how the resource may be used.

This element MUST include the attribute:

  • start_date

This attribute takes a date value which MUST be encoded using ISO 8601 (post–2004 versions) which follows the following format: YYYY-MM-DD.

This atribute is used to indicate the date upon which this license takes effect. Multiple <license_ref> elements may be included. Where several such elements are included, the one with the start_date attribute indicating the most recent date takes precendence.

Example:

<license_ref start_date="2015-02-17">http://creativecommons.org/licenses/by/3.0/deed.en_US</license_ref>

This approach allows the expression of 'embargoes', where a particular license takes effect at a date in the subjective future.

rioxxterms:apc Zero or one

This element expresses whether or not the resource has an associated 'article processing charge'. The value of this element MUST be one of the following:

  • paid
  • partially waived
  • fully waived
  • not charged
  • not required
  • unknown
rioxxterms:author One or more

The author of the resource may be a person, organisation or service, but is most commonly a person. This element SHOULD take an optional attribute called id, designed to hold an HTTP URI, if available, which uniquely identifies the author. Where there is more than one author, a separate rioxxterms:author element MUST be used for each. As many authors may be entered as required. If the author is a person and it is desired to record that person’s affiliation, the affiliation SHOULD be recorded as a rioxxterms:contributor element (see rioxxterms:contributor). The ideal use of this element is to include both an HTTP URI in the id attribute, and a text string in the body of the element, thus:

<rioxxterms:author id="identifier-for-this-author-entity">
    name-of-this-author-entity
</rioxxterms:author>

Where the author is a person, the RECOMMENDED format is to add text in the form Last Name, First Name(s), and to include an ORCID ID, if known, in its HTTP URI form, e.g.

<rioxxterms:author id="http://orcid.org/0000-0002-1395-3092">
    Lawson, Gerald
</rioxxterms:author>

Where the rioxxterms:author element appears multiple times for one record, it CAN be assumed that the order is significant, in that the first element describes the 'first named author' of the resource. In order to make this more explicit, an extra attribute, first-named-author, SHOULD be used to indicate which of the rioxxterms:author elements describes the first named author of the resource, thus:

<rioxxterms:author id="http://orcid.org/0000-0002-1395-3092" first-named-author="true">
    Lawson, Gerald
</rioxxterms:author>
rioxxterms:contributor Zero or more

This field is designed to describe an entity – for example the name of a person, organisation or service – responsible for making contributions to the content of the resource. As many rioxxterms:contributor elements may be entered as required. If the contributor is a person and it is desired to record that person's affiliation, the affiliation MUST be recorded as a separate rioxxterms:contributor element. This element SHOULD take an optional attribute called id, designed to hold an HTTP URI, if available, which uniquely identifies the contributor. The ideal use of this element is to include both an HTTP URI in the id attribute, and a text string in the body of the element, thus:

<rioxxterms:contributor id="identifier-for-this-contributor-entity">
    name-of-this-contributor-entity
</rioxxterms:contributor>

Where the contributor is a person, the RECOMMENDED format is to add text in the form Last Name, First Name(s), and to include an ORCID ID, if known, in its HTTP URI form, e.g.

<rioxxterms:contributor id="http://orcid.org/0000-0002-1395-3092">
    Lawson, Gerald
</rioxxterms:contributor>
rioxxterms:project One or more

This is designed to collect the project ID(s), issued by the funder(s), that relate to the resource, together with the name and/or global identifier for the funder(s).

The element MUST contain one project ID, an alphanumeric identifier provided by the funder in its original format. In cases where the resource has been funded internally, an appropriate internal code might be used.

The element takes two attributes, funder_name and funder_id. One or both of funder_name and funder_id MUST be supplied.

funder_name

The canonical name of the entity responsible for funding the resource SHOULD be recorded here as text. A controlled list of funder names MUST be used for this. The list of funder names provided by the FundRef service is RECOMMENDED

funder_id

A globally unique identifier for the funder of the resource SHOULD be recorded here. An HTTP URI MUST be used for this. It is RECOMMENDED that a DOI (in its HTTP URI form) made available by the FundRef service is used for this.

Example

<rioxxterms:project
    funder_name="Engineering and Physical Sciences Research Council"
    funder_id="http://dx.doi.org/10.13039/501100000266"
>
    EP/K023195/1
</rioxxterms:project>

Where the resource has been funded by more than one funder a separate rioxxterms:project element MUST be added for each. Similarly, where several project IDs provided by the same funder have been attached to the resource, a separate rioxxterms:project element MUST be added for each.

This means that it is quite normal for a given funder_name, funder_id or project_id to appear in multiple instances of the rioxxterms:project element in a single RIOXX metadata record.

rioxxterms:publication_date Zero or one

This element takes the publication date of the resource in the form in which it would be cited. This element is not used in a RIOXX context but allows for a RIOXX record to become a reasonable bibliographic record for the resource. This is a free-text field.

Examples:

rioxxterms:publication_date2011-02-23/rioxxterms:publication_date rioxxterms:publication_dateSpring, 2010/rioxxterms:publication_date

As RIOXX is primarily concerned with such issues as compliance with funders' mandates and licensing of open access publications, the critical dates for the assertion of compliance are those held in the start_date attributes of the license_ref elements.

rioxxterms:type Zero or more

Type refers to the 'type' - the nature or genre of the content of the resource. Take care not to confuse this with dc:format.

Values recorded here MUST be from the following controlled list of types:

  • Book
  • Book chapter
  • Book edited
  • Conference Paper/Proceeding/Abstract
  • Journal Article/Review
  • Manual/Guide
  • Monograph
  • Policy briefing report
  • Technical Report
  • Technical Standard
  • Thesis
  • Other
  • Consultancy Report
  • Working paper
rioxxterms:version Exactly one

This element indicates which 'version' of the resource is being described. The value of this element MUST be one of the following:

  • AO
  • SMUR
  • AM
  • P
  • VoR
  • CVoR
  • EVoR
  • NA

These terms are adopted from the Journal Article Versions (JAV): Recommendations of the NISO/ALPSP JAV Technical Working Group and have the following meanings:

  • AO = Author's Original
  • SMUR = Submitted Manuscript Under Review
  • AM = Accepted Manuscript
  • P = Proof
  • VoR = Version of Record
  • CVoR = Corrected Version of Record
  • EVoR = Enhanced Version of Record
  • NA = Not Applicable (or Unknown)
rioxxterms:version_of_record Zero or one

This field MUST contain a globally unique and persistent identifier for the published version of the resource. The identifier SHOULD be an HTTP URI that can be de-referenced (and is, thus, "actionable"). If a DOI has been issued by the publisher then this MUST be used. Such a DOI MUST be represented in its HTTP form, for example:

<rioxxterms:version_of_record>
    http://dx.doi.org/10.1006/jmbi.1995.0238
</rioxxterms:version_of_record>