the RIOXX metadata application profile and guidelines

RIOXX Application Profile Version 3.0 Beta 1

Note that this is a draft version of the application profile - please check here for the current version

Terminology

the resource refers to the resource in the repository which identified by the dc:identifier property in the RIOXX metadata record.

version of record refers to a version of the resource described in the RIOXX metadata record, which has been made available, electronically, by a 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.

Properties in this profile

ali:license_ref | dc:coverage | dc:description | dc:format | dc:identifier | dc:language | dc:publisher | dc:relation | dc:source | dc:subject | dc:title | dcterms:date_accepted | rioxxterms:author | rioxxterms:contributor | rioxxterms:project | rioxxterms:publication_date | rioxxterms:record_public_release_date | rioxxterms:type | rioxxterms:version | rioxxterms:version_of_record

Property details and examples

Element Cardinality Description
dc:relation Zero or more

Although this property is not strictly mandated in the RIOXX application profile, it SHOULD be included because this is the property which harvesting software will inspect - for example to find the "full text" associated with a repository record.

The resource described by a RIOXX record is commonly a web page containing metadata and links to other resources, such as (in the case of a publication) a PDF file. The dc:relation property identifies these other, related resources. Each dc:relation property MUST contain an HTTP(S) URI, and MUST include the following attributes:

  • type
  • deposit_date
  • resource_exposed_date

The type attribute must contain a value which is an identifier from the schema.org vocabulary. For example, for in the case of the related resource being a PDF of a journal article, then the recommended value would be https://schema.org/ScholarlyArticle

The deposit_date attribute takes the date on which this related resource was first deposited, irrespective of any relevant embargoes or dark archiving, and irrespective of any subsequent file replacement(s). It is anticipated that in some circumstances the deposit_date will be captured and exposed in repository metadata when the resource described is under temporary embargo or temporary dark archiving. This attribute's value MUST be encoded according to the W3CDTF (a profile of ISO 8601) which typically follows the following format: YYYY-MM-DD.

The resource_exposed_date attribute takes the date on which this related resource was made publicly available, irrespective of any subsequent file replacement(s). This attribute's value MUST be encoded according to the W3CDTF (a profile of ISO 8601) which typically follows the following format: YYYY-MM-DD. Repositories will typically fulfil resource_exposed_date if the related resource is made publicly visible immediately upon deposit, or when an applicable embargo ends.

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

(Note that the related 'version of record' is not recorded here but MUST be recorded in the rioxxterms:version_of_record element.)

Example:

<dc:relation type="https://schema.org/ScholarlyArticle" deposit_date="2021-07-06" resource_exposed_date="2021-07-20">
    https://www.repsitory.org/article_123456.pdf
</dc:relation>
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 allows for a RIOXX record to become a reasonable bibliographic record for the resource.

Where possible the element content SHOULD be encoded according to the W3CDTF (a profile of ISO 8601) which typically follows the following format: YYYY-MM-DD.

Example:

<rioxxterms:publication_date>
    2011-02-23
</rioxxterms:publication_date>

As RIOXX can form a mechanism for establishing 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 ali:license_ref elements.

It is acknowledged that the publication date conventions of certain publishers vary, making the identification of precise publication dates problematic, especially in instances where a publisher assigns a resource to a seasonal issue date, e.g. Spring 2020, Winter 2019, etc. To maintain adherence to the above noted encoding conventions, resources with publication dates assigned to seasonal issues should be expressed according to the following convention, with months expressed as per:

  • 01 = winter (beginning of year)
  • 04 = spring
  • 07 = summer
  • 10 = autumn
  • 12 = winter (end of year)

Examples:

Spring 2020

<rioxxterms:publication_date>
    2020-04
</rioxxterms:publication_date>

Winter 2019 (end of year)

<rioxxterms:publication_date>
    2019-12
</rioxxterms:publication_date>
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.

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.

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 one of the following identifier schemes is used:

  • an ISNI ID
  • a DOI (in its HTTPS URI form) made available by FundRef

Example

<rioxxterms:project
    funder_name="Engineering and Physical Sciences Research Council"
    funder_id="https://isni.org/isni/0000000403948681">
    EP/K023195/1
</rioxxterms:project>

or

<rioxxterms:project
    funder_name="Engineering and Physical Sciences Research Council"
    funder_id="https://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: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)
dc:identifier Exactly one

This field MUST contain an HTTP(S) URI which is a persistent identifier for the resource. In repositories, this is typically a webpage which provides links to other related resources. In the common case of a "splash-page" linking to related files (potentially in different formats), then one or more instances of the dc:relation property may be used to convey this.

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: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, or the 13 digit International Standard Book Number (ISBN13) assigned to books. In the latter case, the ISBN13 for the electronic version of the book SHOULD be used if available.

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

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 ISBN13 of the book being recorded in the dc:source element.

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 and possible, the RECOMMENDED format is to add the official name of the publisher, and to include an ISNI ID, if known, in its HTTP(S) URI form, e.g.

<dc:publisher uri="https://isni.org/isni/000000040482455X">
    Public Library of Science
</dc:publisher>

Where an ISNI is unavailable or cannot be provided, the name of the publisher entered here SHOULD instead be from a controlled list.

rioxxterms:version_of_record Zero or one

This field MUST contain an HTTP(S) URI which is a persistent identifier for the published version of the resource. If a DOI has been issued by the publisher then this MUST be used (and such a DOI MUST be represented in its HTTP(S) form). For example:

<rioxxterms:version_of_record>
    https://doi.org/10.1103/PhysRevD.102.043015
</rioxxterms:version_of_record>
dc:coverage Zero or more

Coverage (dc:coverage) will typically include a temporal period (a period label, date, or date range) or jurisdiction (such as a named administrative entity).

In line with the Openaire Guidelines, which recommends the inclusion of this element, dc:coverage is also considered a recommended property in RIOXX.

dcterms:date_accepted Exactly one

The date on which the resource was accepted for publication. Element content MUST be encoded according to the W3CDTF (a profile of ISO 8601) which typically follows the following format: YYYY-MM-DD.

dc:subject Zero or more

The Openaire Guidelines recommend the inclusion of this element.

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. This element SHOULD take an optional attribute called uri, which MUST contain a URI which uniquely identifies the contributor. The ideal use of this element is to include both an HTTP(S) URI in the uri attribute, and a text string in the body of the element, thus:

<rioxxterms:contributor uri="https-uri-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 HTTPS URI form, e.g.

<rioxxterms:contributor uri="https://orcid.org/0000-0002-1919-4138">
    Milgrom, Paul
</rioxxterms:contributor>

Where the contributor is an organisation, the RECOMMENDED format is to add the official name of the organisation, and to include an ISNI ID, if known, in its HTTPS URI form, e.g.

<rioxxterms:contributor uri="https://isni.org/isni/0000000419368956">
    Stanford University
</rioxxterms:contributor>
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 uri, which MUST contain a URI 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.

The ideal use of this element is to include both an HTTP(S) URI in the uri attribute, and a text string in the body of the element, thus:

<rioxxterms:author uri="https-uri-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 HTTPS URI form, e.g.

<rioxxterms:author uri="https://orcid.org/0000-0001-5305-9450">
    Riccardi, Annalisa
</rioxxterms:author>

Where the author is an organisation, the RECOMMENDED format is to add the official name of the organisation, and to include an ISNI ID, if known, in its HTTP(S) URI form, e.g.

<rioxxterms:author uri="https://isni.org/isni/0000000419368139">
    University of Strathclyde
</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 uri="https://orcid.org/0000-0001-5305-9450" first-named-author="true">
    Riccardi, Annalisa
</rioxxterms:author>
rioxxterms:type One or more

Type refers to the 'type' - the nature or genre of the content of the resource. This element should not be confused this with dc:format.

Values recorded at rioxxterms:type MUST be taken from the COAR Controlled Vocabulary for Resource Type Genres (Version 2.0), which provides a hierarchical model of resource type genres supported by language independent HTTP(S) URIs.

Example:

<rioxxterms:type uri="https://purl.org/coar/resource_type/c_5794">
    conference paper
</rioxxterms:type>

The COAR Controlled Vocabulary for Resource Type Genres is detailed in its treatment of type genres. It is anticipated that only the largest repositories would accommodate all vocabulary values, with most others implementing a subset in line with the resource types managed by the repository.

ali:license_ref One or more

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

Element content MUST be encoded according to the W3CDTF (a profile of ISO 8601) which typically follows the following format: YYYY-MM-DD.

This element MUST include the attribute:

  • start_date

This attribute indicates the date upon which this license takes effect. Multiple ali: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 precedence.

Example:

<ali:license_ref start_date="2020-11-17"></ali:license_ref>
    https://creativecommons.org/licenses/by/4.0
</ali:license_ref>

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

In the absence of any other license, the copyright holder reserves all rights automatically. As a convenience, RIOXX provides two URLs which may be used to explicitly convey this state:

rioxxterms:record_public_release_date Zero or one

This element takes the date upon which metadata about the resource being described was first made publicly visible. Element content MUST be encoded according to the W3CDTF (a profile of ISO 8601) which typically follows the following format: YYYY-MM-DD.

Examples:

<rioxxterms:record_public_release_date>
    2020-10-02
</rioxxterms:record_public_release_date>

or

<rioxxterms:record_public_release_date>
    2020-09-29T19:20+01:00
</rioxxterms:record_public_release_date>

It is anticipated that in many circumstances rioxxterms:record_public_release_date will be captured and exposed in repository metadata prior to availability of related resources such as the "full text" for a publication; for example as the result of a delay in depositing the full text, or where it is under temporary embargo or temporary dark archiving.

dc:format Zero or one

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 (offical list of MIME Types). Note that this element should not be confused with rioxxterms:type.

Examples might include:

  • application/pdf
  • text/html
  • application/msword