STRATEGY DOCUMENT
Digital Library Service Framework V 0.7
Innovation Branch
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Strategy Document
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Document history
Version
Date
Author
Comments
0.1
31/10/2007
Innovation Branch
first cut by the Business Integration Taskforce
0.2
2/1/2008
Innovation Branch
early internal exposure draft
0.3
8/2/2008
Innovation Branch
exposure draft for inclusion in BIT report to CMG
0.4
14/2/2008
Innovation Branch
comments from Collection Management and Delivery Group
0.5
21/2/2008
Innovation Branch
comments from walkthrough with Warwick
0.6
26/2/2008
Innovation Branch
mappings from DLF API recommendations
0.7
28/2/2008
Innovation Branch
comments from walkthrough with IT Apps managers
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Strategy Document
Digital Library Service Framework V 0.7
Introduction
The National Library of Australia is developing its digital library services as a single business.
Figure 1 is a diagrammatic representation of an overarching service framework that will be
used to enable the development of this business through a service-oriented approach.
The purpose of this document is to outline how each of the functions in this diagram are
currently supported in the Library and to identify strategies for migrating to a more integrated
technical infrastructure based on standard protocols where there is a demonstrable benefit to
the Library and its users in doing so.
In this document function is defined as a business process supported by a service that needs to
be distinguished for access control, interoperability or reporting purposes. Service is defined
as a system that provides one or more functions of value to the end user (ISO 2146 Information
and Documentation – Registry services for libraries and related organizations).
This is a working document and new functions may be added and existing ones renamed,
split or merged with other functions in order better to provide a roadmap for ongoing
development of the Library’s digital library services.
Generally speaking, for a function to be included it needs to be executed through a service
request or trigger and a service response. Some of the functions included in this document
may, on further analysis, resolve to a sequence of functions executed as a workflow that can be
described through a Service Usage Model (SUM). An example of a SUM is given in Annex 1.
The document may therefore evolve over time into a quite small set of core functions, a set of
SUMs and a set of workflows expressed in the form of BPMN diagrams.
The Library’s Business Integration Taskforce has been developing the Metadata Services and
Discovery Services functions but has still to complete this work. A separate working group
was set up to populate the Collection and Delivery Services functions during January but this
is a large task that will need to be carried forward through specific projects. The framework is
also being tested by APSR against usage scenarios for the future Australian National Data
Service (ANDS).
In the National Library of Australia, the framework will be used in conjunction with business
process modelling diagrams under development through a range of separate Balanced
Scorecard initiatives in order to provide a complete view of the interfaces required to support
the Library’s digital library workflows.
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Strategy Document
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Figure 1 – Digital Library Service Framework
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High level usage scenarios
The diagram in Figure 1 was included in an early form in the ISO/CD draft of ISO 2146 that
was balloted in 2007. In the ISO/DIS draft to be balloted in 2008, the current version will be
included in an informative annex providing guidelines for the development of registry
services.
A registry is defined in ISO 2146 as a collection of registry objects compiled to support the
business of a given community. A registry object may be a party, collection, activity or service.
Figure 1 shows how this data is the glue that makes a function work1.
Figure 2 was developed for the ISO 2146 annex to provide guidelines for the development of
collection service registries. It shows the relationship between the functions defined in the
framework and the four different kinds of collections defined in the standard – collections (or
collective works), repositories, catalogues or indexes and registries.
Figure 2 – Collection Service Registries
Items and collections (published or unpublished, physical or digital) are located in
repositories owned and managed by collecting agencies (libraries, museums, archives,
learning and research institutions and data and documentation centres).
1
For example, to execute an authorisation request the requester passes user details such as affiliation and
category to the responder. The responder tests these against access policies. To do this information must
be managed (or accessible) by the requester about the authorisation attributes needing to be presented to
access a given service and the responder must maintain a set of machine-readable access policies.
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The contents of repositories and collections within them are described by catalogues or
indexes2. Registries may describe collections, repositories or catalogues or indexes. A registry
is itself a collection and may be described in a super-registry.
The functions and protocols needing to be described in collection service registries will
depend on the collection type:
▪ Creators employ Content services to create, submit, publish, value and annotate content.
▪ Managers of repositories employ Collection services to select, acquire, ingest, describe,
control and preserve content. They also use Delivery services to enable users to resolve to
items and collections in the repository and to reproduce or lend items not yet available
online or to put on item on hold for a user if it is not immediately available.
▪ Managers of catalogues or indexes and of registries employ Metadata services to aggregate,
ingest, augment and share metadata. Users of catalogues and indexes use Discovery
services to search and scan, locate, bookmark or request items.
Common services (authenticate, authorise, pay, log, audit, alert) and User services (register,
ask, personalise, commission, track, report, comply) may apply to all usage scenarios.
2
The Dublin Core Collection Description Type (CDType) Vocabulary categorizes these as analytic finding
aids, hierarchical finding aids and indexing finding aids. Analytic finding aids are a collection of
individual records, hierarchic finding aids describe items in a collection using a hierarchical arrangement
and may not describe each item individually. Indexing finding aids contain information derived from
documents or metadata records, for example full-text indexes of digital or digitized works.
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Information model
Figure 1 identifies three categories of data needed to support the functions defined in the
service framework. These are listed below with their associated information models. Protocols
and data schemas appropriate to each function are identified in the service framework itself.
Registry object (party, collection, activity, service)
ISO/CD 2146 Information and Documentation – Registry Services for Libraries and Related
Organizations
Metadata (resource, topic)
International Standard Bibliographic Description (ISBD)
Functional Requirements for Bibliographic Records (FRBR)
Functional Requirements for Authority Data (FRAD)
Functional Requirements for Subject Authority Data (FRSAD)
Resource Description and Acces (RDA)
Business data (user, transaction)
ISO/DIS 8459 Bibliographic Data Element Directory
Users and Information Resources: An Extension of the Analytical Model of Collections and their
Catalogues into Usage and Transactions
ebxml: Enabling a Global Electronic Market
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Arrangement
This document is arranged according to the service hierarchy outlined in figure 1. Each
function is described as follows:
E-framework: Link to the corresponding service genre in the E-framework where one exists
or an indication of a missing service genre3.
DLF:
Link to the corresponding APIs in the DLF ILS and Discovery Systems Draft
Recommendations (15 February 2008)4.
Definition:
Definition of the function based on the E-framework definition where one
exists but modified to reflect the Library’s single business directions.
Use cases:
Identification of the primary behaviours or business processes needing to be
supported by the function (e.g. Authorise) and the interface objects needing to
be exchanged to execute the function (e.g., Decision request, Decision
response).5
Protocols:
List of known protocols that are candidates for executing the function and
schemas that are candidates for packaging content and data.
Data:
The data needed to support execution of the function.
Systems:
Summary of the systems already in place in the Library to support this
function with an assessment of limitations and gaps needing to be addressed.
Strategies:
Statement of the Library’s directions for delivering this function.
References:
Relevant documents.
Note that functions to create, read, update and delete data objects are grouped under a single
‘Manage’ use case.
3
The E-framework is “an international initiative that provides information to institutions on investing in and
using information technology infrastructure. It advocates service-oriented approaches to facilitate
technical interoperability of core infrastructure as well as effective use of available funding.” The partners
are DEST (Australia) and JISC (UK), New Zealand’s Ministry of Education (MoE) and the Netherlands'
SURF Foundation. Note that this document is not intended to duplicate the E-framework definitions but to
test the Library’s digital library requirements against existing service genres as a way of benefiting from
the work already done and contributing to the international initiative.
4
The ILS and Discovery Systems group is a group convened by DLF to ‘analyze the issues involved in
integrating "integrated library systems" and discovery systems, and create a technical proposal for how
such integration should be accomplished’.
5
In most cases the use case name may be the same as the function but some functions may split out into more
than one sub-function
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Strategy Document
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1
Common Services
Common services are services with systems as the primary actor. They work across
applications to identify who the user is, what they are able to do and the conditions that
apply. They manage any e-commerce obligations, log and audit usage and provide
notifications or alerts.
1.1 AUTHENTICATE
E-framework:
Authenticate
DLF:
Core function (Patron functionality/AuthenticatePatron)
Registry (Patron functionality/LookupPatron; GetPatronInfo; GetPatronStatus)
Definition:
Process whereby a system verifies the identity of a user. The user may be a
person using a computer, a computer itself or a computer program.
Use cases:
Login (Authentication request, Authentication response)
Logout (Logout request, Logout response)
Protocols:
LDAP, Shibboleth, OpenID, Secure Shell Keys, Certificates
Data:
Business (User, Password, Session)
Systems:
All systems requiring authenticated access.
Strategies:
The Library’s longer term solution will be developed by the Identity
Management Project. This Project has not yet been scheduled in the IT
Operational Plan. In the short term, these services will be provided by a
combination of the Libraries Australia Administration module and the Patron
Administration service. Internally, our identity management infrastructure is
based on LDAP. There is a future need to support both Shibboleth and
OpenID. Kent Fitch has also proposed that we build a gateway between
Shibboleth and web-based public library authentication services.
References:
Licensed electronic content (NLA, Jan 10, 2008)
https://wiki.nla.gov.au/display/NSLAIAP/Licensed+electronic+content
1.2 AUTHORISE
E-framework:
Authorise
DLF:
Doesn’t separate Authenticate from Authorise
Definition:
Process whereby a system verifies that a known user has the authority to
undertake a particular action with a specified resource, with associated registry
functions to manage policies and authorisation attributes.
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Use cases:
Authorise (Decision request, Decision response)
Data:
Registry (Access policy)
Business (User category, Authorisation attributes)
Protocols:
XACML, auEduPerson, MAMS Autograph, Unix file permissions, database
permissions
Systems:
Strategies: The Library has based its Rights Management System on a data
model that will support XACML-encoded requests and responses. Libraries
Australia has a controlled vocabulary for user category that can be mapped to
auEduPerson values. The Australian Access Federation has developed support
for decision requests and responses using these Protocols. The Library will
need to build up its capability to engage in discussions in this space if it wants
to interoperate with the research sector.
1.3 PAY
E-framework:
No equivalent yet.
DLF:
No recommendation yet.
Definition:
Process whereby a system supports the making of a payment for a service or
product.
Use cases:
Pay (Payment request, Payment response)
Data:
Registry (Customer, Service, Product, Charge)
Business (Payment details)
Protocols:
UN/EDIFACT, ANSI X12, XML EDI, Micro Payment Transfer Protocol (MPTP),
W3C XML E-commerce Protocols (e.g. Biztalk, WSDL, ebXML)
Systems:
NAB Payment system (withdrawn); Secure server for collecting payment
details for manual processing; Finance 1
Strategies:
Proposed projects relating to E-commerce (Finance Branch) and the Online
Shop (Publications and Events Branch) will provide long term solutions. The
Library’s strategy will be to use modern mainstream protocols and to
investigate adapting an existing service developed by someone like CISTI.
References:
Metadata for Electronic Commerce (Tom Worthington, 2001-2006)
http://www.tomw.net.au/technology/it/ecommerce/Protocols.shtml#Protocols
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1.4 LOG
E-framework:
Log
DLF:
No recommendation yet.
Definition:
Process whereby a system records the usage of a service or product for audit,
reporting and/or billing purposes
Use cases:
Log (log trigger, log response)
Data:
Registry (Service, Product)
Business (User, Usage details)
Protocols:
NISO Standardized Usage Statistics Harvesting Initiative (SUSHI)
Systems:
Most of the Library’s services have a logging function.
Strategies:
Build on our experience with Libraries Australia and the guidance provided by
protocols such as SUSHI .
1.5 AUDIT
E-framework:
Audit
DLF:
No recommendation yet.
Definition:
Process whereby a system compares a log, or audit trail, against a set of
policies. Auditable events will have already been defined and the log to be
audited will have already been created
Use cases:
Undertake audit (Audit trigger, Audit response)
Data:
Business (Audit details)
Protocols:
None yet identified
Systems:
The Library monitors all services to ensure that they are operating but this is
done through a test event. Application-specfic audits are also conducted.
Strategies:
None yet articulated
1.6 ALERT
E-framework:
Alert
DLF:
No recommendation yet.
Definition:
Process whereby a system provides alerts or notifications to users based on a
trigger that may be time-based or generated as the outcome of an audit.
Use cases:
Generate alert (Alert trigger, Alert response)
Data:
Business (Alert details)
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Protocols:
RSS, Atom, Email, ftp, sms
Systems:
Some of our internal systems have alerts that result in emails to staff; some of
our discovery services have alerts that result in emails or feeds of resource
descriptions to external users.
Strategies:
Implement alerts wherever needed to ensure that users are informed about
changes to the content of collections or the state of business transactions or
systems and services. For example, implement alerts to inform collection
managers about file formats at risk of obsolescence using information from the
AONS system as a trigger.
Note that alerts can be used as a form of metadata syndication. The function is
included under common services rather than metadata services because the
alert mechanism may be used in a number of other business contexts. When
used as a syndication mechanism, the strategy will be to move to feeds as the
default alert mechanism but to continue to offer email and ftp to users who
prefer these delivery methods.
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2
Creation Services
Creation services support the creation of content, its submission to a publishing system or
repository, its publication, valuation and archiving.
2.1 CREATE
E-framework:
Add6, author activities?
DLF:
Not applicable?
Definition:
Process whereby a creator produces a manifestation of an expression of a
work. The process may create a new work or a new expression of an existing
work or a new manifestation of an existing expression.
Create includes update because a significant act of update creates a new
expression. Create may also be the outcome of a derivation or transformation
workflow.
Use cases:
Manage content
Data:
Metadata (Rights)
Registry (Rights holder)
Business (Creation event)
Protocols:
File system, DocBook, TEI
Systems:
Text (Microsoft Word, Adobe In-Design, Adobe Contribute, Atlassian
Confluence); audio and video (TBA)
Strategies:
The National Library of Australia creates print and online books, websites,
wikis, pictures, oral histories, etcetera and also hosts an electronic journal
publishing system using the Open Journal System (OJS) software. The Library
is exploring multi-channel publication technologies for text works based on a
master xml document using standards such as DocBook and TEI that are
appropriate to the material.
6
E-framework has a generic Add service genre for CRUD activities within collections of like data that can be
applied to the creation of content as well as metadata.
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2.2 SUBMIT
E-framework:
Under development, see wiki (requires password)
DLF:
Not applicable?
E-framework: Under development, see wiki (requires password)
Definition:
Process whereby a creator submits an item for publication; or whereby a
creator, publisher or distributor submits an item for deposit in a repository or
archive.
Use cases:
Submit (, Submission response), SWORD
Data:
Content (Submission Information Package)
Registry (Submit service protocol information, Access policy)
Protocols:
FTP, OAI-PMH, SWORD, METS, ORE, other packaging formats
Systems:
PKP Open Journals System (OJS), Digital Collections Manager, VTLS Vital
Strategies:
Development and maintenance of an Australian METS profile to support the
creation of submission information packages. Development of content modelspecific sub-profiles in line with project priorities. Redevelopment of DCM to
separate the submission process from the ingest process using METS as a
Submission Information Package.
2.3 PUBLISH
E-framework:
No equivalent yet.
DLF:
Not applicable?
Definition:
Process whereby a creator, publisher or distributor makes an item publically
available.
Use cases:
Publish (Published manifestation)
Data:
Metadata (Identifier)
Protocols:
NLA InfoURI scheme, Handle system
Systems:
PKP Open Journals System (OJS), NLA Website.
Strategies:
Ensure that all content published by the NLA is managed for persistence.
Ensure that the Library’s InfoURI persistent identifier scheme can operate
within a national persistent identifier infrastructure. Encourage publishers to
manage their publications for persistence.
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2.4 ANNOTATE
E-framework:
Annotate.
DLF:
No equivalent yet.
Definition:
Process that allows users to make comments, notes or other annotations to
content, without altering the base item itself.
Use cases:
Manage annotation
Data:
Content (Annotation)
Registry (User, Access Policy)
Protocols:
SRU Update, Annotea
Systems:
Vu Find.
Strategies:
Annotation is distinct from augmentation, where a metadata record is
enhanced through processes such as tagging but in the user interface both
functions may be supported together. Our strategy is to work with the NSLA
(National and State Libraries of Australasia) to develop a service model and
data schema for annotations that will enable data to be shared.
2.5 VALUE
E-framework:
No equivalent yet.
DLF:
No equivalent yet.
Definition:
Process whereby a creator, publisher or collection manager places a price or
value on an item, either for the purposes of sale or as a selection aid or as part
of valuing a collection.
Note that this may be a service usage model, not a service:
e.g., Commission Track Describe
Use cases:
Commission valuation / Track valuation / Describe value
Data:
Metadata (Value)
Registry (Valuer)
Protocols:
The value will need to be recorded using an update protocol
Systems:
Spreadsheets
Strategies:
The National Library values its own publications in order to set a sale price
and also commissions valuations of items being considered for the collection.
Much of the commissioning work is done manually but there is a requirement
to track the process and to record the outcome in the form of a purchase order
or a decision not to proceed if the price is too high.
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3
Collection Services
Collection services support the development and maintenance of a collection. The National
Library of Australia has a requirement for systems to support these services in its role as a
collection manager. In its role as an aggregator, it needs the National Library of Australia’s
systems to support the contribution of metadata and content to the national data store and the
sharing of data contributed by others (including end users) that will assist in the Library’s
collection management processes and the discovery of the Library’s collections.
Currently these services are provided by a combination of the Voyager ILMS, Digital
Collection Manager and PANDAS. The Library should plan for the evolution of these services
to support collection management workflows through a service-oriented approach. One
possible strategy is to participate in the open source ILMS project which will be funded by the
Mellon Foundation. The Library could contribute by building open source software to
support the workflows that are particularly needed by national libraries. Some of these
workflows relate to manuscripts and other unique materials. In addition, the Archivists
Toolkit may support some workflow needs.
3.1 SELECT
E-framework:
No equivalent yet.
DLF:
No equivalent yet.
Definition:
Process whereby a collection manager selects collection material by registering
pending items or contributors of items, tracking negotiation and/or evaluation
processes and recording the final selection decision.
Note that this is probably a service usage model, not a function:
e.g., Describe [ Value] Track  Approve
Blanket orders are covered under Acquire.
Use cases:
Describe pending item
[Value pending item]
Track pending item
Approve pending item
Data:
Metadata (Pending item)
Registry (Donor, Vendor)
Protocols:
SRU Update
Systems:
Voyager ILMS, PANDAS
Strategies:
The selection workflow itself is very complex and may take place over a long
time for original materials. Our understanding of it in a service-oriented
architecture is still immature. Use of BPMN to document current and optimal
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workflows will determine exactly what services are required to support the
selection workflow and how they will interoperate with describe, audit, alert
and track in a service usage model.
3.2 ACQUIRE
E-framework:
No equivalent yet.
DLF:
No equivalent yet.
Definition:
Process whereby a collection manager acquires collection material, with
associated registry functions to manage providers.
Use cases:
Order (Acquisition request, Acquisition response)
Data:
Metadata (Content)
Registry (Donor, Vendor)
Business (Purchase order)
Protocols:
Edifact, ebxml, EDItEUR
Systems:
Voyager
Strategies:
Use modern mainstream protocols and investigate adapting an existing service
developed for e-commerce application.
Note that an order can be a blanket order.
3.3 INGEST (CONTENT)
E-framework:
Archive (Ingest)7
DLF:
No equivalent yet.
Definition:
Process whereby a system processes content in order to bring it into a
collection.
Use cases:
Ingest (Ingest request, Ingest response)
Data:
Content (Archival information package)
Metadata (Identifier, Location)
Registry (Repository)
Business (Ingest event details)
Protocols:
METS, WARC
Systems:
DCM, PANDAS, VTLS Vital, OJS, Voyager
Strategies:
Migration of existing digital content management systems to a service-oriented
architecture that receives content in a standard packaging format from a
7
Archive is an umbrella term. Ingest needs to be given its own service genre in the e-Framework.
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submission workflow system and processes it for ingest.
Note that the ingest process may result in metadata being extracted from a
Submission Information Package and ingested into a catalogue or index.
Note that full-text indexes may also be generated from an ingest process for
importing into a catalogue or index.
3.4 DESCRIBE
E-framework:
Add8.
DLF:
No equivalent yet.
Definition:
Process whereby a collection manager describes items in a collection or that
are in the process of being selected and acquired.
Use cases:
Manage manifestation
Manage item
Manage authority
Manage rights
Data:
Metadata (Resource, Topic)
Registry (Repository, Catalogue or index)
Protocols:
Data (MARCXML, DCMI, MODS, EAD, EAC, RDF, SKOS)
Update (SRU Update)
Systems:
Voyager ILMS, DCM, PANDAS
Strategies:
Single descriptive record, many uses. Move to RDA as content description
standard. Support for multiple data schemas. Development of expertise in
RDF and the Dublin Core Information Model so as to participate
internationally in the testing of RDA and the development of a replacement to
MARC for encoding RDA data elements.
Note that the act of description will result in a request to update a catalogue or
index and that this request may be passed to more than one catalogue or index
in order to mirror content in local, regional and national aggregations.
8
Add is a generic service genre covering both content and metadata. Note that the e-framework Update use
case does not yet support selective update but just replaces the whole record.
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3.5 CONTROL
E-framework:
No equivalent yet.
DLF:
No equivalent yet.
Definition:
Process whereby collection managers track where collection items are at a
given time. This includes the circulation of items to internal and external users,
as well as the movement of items for exhibition, preservation management or
repository management purposes.
Use cases:
Manage item
Data:
Resource (Item)
Registry (Location)
Business (Movement event details)
Protocols:
SRU Update
Z39-83-2002 Circulation Interchange Part 1: Protocol (NCIP)
Z39-83-2002 Circulation Interchange Part 2: Protocol Implementation Profile 1
Systems:
Voyager, Digital Collections Manager, PANDAS
Strategies:
Need to move to a single movement register for physical material; need to
register and profile sub-repository locations so that capacity and occupation
can be monitored. Note the distinction between sub-repositories where items
are stored (LG2C DOSS) and collection sets (maps, pictures) that promote the
discovery and use of items, as represented in figure 3:
Figure 3 – Sub-repositories and collection sets
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Our repository contains resources of various types. These are described in our
catalogue and located in a sub-repository. Views of our catalogue (collection
sets) may be defined that only describe resources of a given type. It is possible
that a sub-repository may only contain resources of a given type or that a
collection set may only describe resources in a given sub-repository, but this is
unlikely in most cases. The ‘Manage sub-repository’ use case needed to
support the control function deals with the sub-repositories where collection
items are stored. The ‘Manage collection set’ use case is treated in this
framework as a metadata service needed to support the aggregate function.
3.6 PRESERVE
E-framework:
E-framework:
Archive (Archival storage)9
DLF:
No equivalent yet.
Definition:
Process whereby a collection manager manages content in a repository to
ensure its preservation for future access.
Note that this may be a service usage model, not a service:
e.g., Commission Track Approve
Use cases:
Commision preservation action
Track preservation event
Approve preservation outcomes
Data:
Content (Submission information package, Dissemination information
package)
Registry (Agent)
Business (Preservation event details)
Protocols:
METS, WARC
Systems:
Digital Collections Manager, PANDAS, Voyager, Audio system
Strategies:
Treat preservation as a continuum of processes applied to both physical and
digital collection items. Record all preservation actions as events. Assume that
all events logically have an input copy (submission information package) and
an output copy (dissemination information package) that records event and
agent details. Use the PREMIS event ontology as a starter list for event types:
capture - the process whereby a repository actively obtains an object
compression - the process of coding data to save storage space or transmission time
9
Archive is an umbrella term. Preserve needs to be given its own service genre in the e-Framework.
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creation - the act of creating a new object
deaccession - the process of removing an object from the inventory of a repository
decompression - the process of reversing the effects of compression
decryption - the process of converting encrypted data to plaintext
deletion - the process of removing an object from repository storage
digital signature validation - the process of determining that a decrypted digital signature
matches an expected value
dissemination - the process of retrieving an object from repository storage and making it
available to users
fixity check - the process of verifying that an object has not been changed in a given period
ingestion - the process of adding objects to a preservation repository
message digest calculation - the process by which a message digest ("hash") is created
migration - a transformation of an object creating a version in a more contemporary format
normalization - a transformation of an object creating a version more conducive to
preservation
replication - the process of creating a copy of an object that is, bit-wise, identical to the
original
validation - the process of comparing an object with a standard and noting compliance or
exceptions
virus check - the process of scanning a file for malicious programs
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4
Metadata Services
Metadata services support the aggregation of metadata into a repository, the delivery of
metadata products to users and the sharing of metadata with other aggregators.
4.1 AGGREGATE
E-framework:
Add, Harvest10, Authenticated harvest
DLF:
Data aggregation / HarvestBibliographicRecords; HarvestAuthorityRecords;
HarvestExpandedRecords; HarvestHoldingsRecords
Definition:
Process that supports the collection of metadata into a catalogue or index or
authority file through a push or pull process, with associated registry functions
to manage contributors and collection views.
Note that the push process may be fully represented by Describe and may not
need to be included here.
Use cases:
Push (Update request, Update response)
Pull (Harvest trigger, Harvest response)
Data:
Registry (contributing repository)
Business (Harvest details)
Protocols:
Data (MARCXML, DCMI, MODS, EAD, EAC, RDF, SKOS)
Push protocol (SRU update)
Pull protocol (OAI-PMH, FTP)
Strategies:
Our principal strategy for the push process is to use SRU update to accept
requests from local collection management systems as a by-product of
describing content or from ingest systems as a by-product of unpacking a
submission information package. We also envisage using Web 2.0 technologies
to develop targeted web-based workflow systems to support collaborative
development of the national metadata store, with update of local systems
through SRU Update or a syndication process.
Our principal strategy for the pull process is the Harvest Task which has been
scheduled within the People Australia Project.
10
The E-framework Harvest service genre includes the metadata source function Expose which this
framework includes under Metadata Services since different organizations and systems are involved.
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4.2 INGEST (METADATA)
E-framework:
No equivalent yet.
DLF:
No equivalent yet.
Definition:
Process whereby a system ingests metadata into a catalogue or index or
authority file with associated checks for duplicates.
Use cases:
Convert (input copy, output copy)
Match (input copy, match algorithm)
Merge (input copy, merge algorithm)
Resolve (input copy, potential matches, match decision)
Index (input copy, index update details)
Data:
Metadata (Resource, Topic, Index)
Registry (Collection set)
Business (Conversion rules, Indexing rules, Matching algorithm, Merging
algorithm)
Protocols:
FRBR, FRAD, FRAR
Systems:
CBS Record Import Service, ARROW Record Import Service.
Strategies:
Note that convert includes augmentation of records to support discovery at the
conversion stage. Our strategy is to provide support for multiple input and
output formats but with priority given to MARCXML, MODS, (MADS?),
DCMI, EAD and EAC. We have tested and decided not to map to a single
internal storage format but have still not settled on exactly how data for
different resource types will be stored internally. One strategy will be to build
up expertise in RDF and to be actively involved in processes to map RDA data
elements to the DCMI Information Model. Currently we apply match and
merge algorithms to incoming data to create a single merged record. Match
and merge rules are similar to those we would apply to FRBRise result sets.
One strategy under consideration is to keep all input copies and to match and
merge at the rendering stage.
4.3 AUGMENT
E-framework:
Classify.
DLF:
No equivalent yet.
Definition:
Process whereby users enhance contributed metadata through the addition of
rankings, ratings, classifications or recommendations.
Use cases:
Update (Update request, Update response)
Data:
Metadata (Tag)
Registry (Access policy)
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Protocols:
SRU Update
Strategies:
Our strategy is to provide the capability to tag metadata in our own discovery
services and also to pull tags from other services such as Library Thing or
del.icio.us.
Note that the distinction being made here between Augment and Annotate is
that Augment changes the metadata whereas Annotate creates a new ‘work’
with its own author and access policies that provides commentary on the
annotated work. Augment is a term used by the Repository Federation
Service Usage Model (FRED) but they include annotation as an augmentation
type. This model assumes that annotation is annotating the work while
augmentation is augmenting the metadata.
4.4 EXPOSE
E-framework:
Harvest11
DLF:
No equivalent yet.
Definition:
Process whereby a system exposes metadata for harvesting by other agencies.
Use cases:
Expose (Harvest request, Harvest response)
Data:
Metadata (Resource, Topic)
Registry (Collection set)
Protocols:
OAI-PMH
Strategies:
An OAI exposure service is due to be developed within the People Australia
Project by March 2008. Note that metadata may also be shared through search
and retrieval protocols.
4.5 PACKAGE
E-framework:
No equivalent yet.
DLF:
No equivalent yet.
Definition:
Process whereby a system packages metadata in response to a one-off or
standing order, based on a range of specified criteria.
Use cases:
Package (Package Request, Package Response)
Data:
Metadata (Resource, Topic)
Registry (Product, Charge)
Business (User, Order details)
11
The E-framework Harvest service genre includes the metadata source function Expose which this
framework includes as Syndicate under Metadata Services since different organizations and systems are
involved.
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Protocols:
RSS, ATOM, email, ftp
Strategies:
This service is meant to represent the Libraries Australia Products service and
is not yet very fully developed.
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5
Discovery Services
Discovery services support the finding of wanted resources and the transfer of requests for
access or use to the resource provider.
5.1 SEARCH
E-framework:
Search
DLF:
Core functions (Real Time Search/Search; GetRecords, getAuthorityRecords, OPAC Embed
and Escape; SearchCourseReserves)
Registry (Explain)
Definition:
Process whereby users find resources or topics by searching for items that
match the user’s input criteria. The system returns results in ways that assist
the user to further refine the search if necessary or to navigate to more
information. Users of this service include third party systems.
This service may also be used by a user to search within a found resource or
topic.
Use cases:
Select target (Target selection list, Selected targets)
Search selected targets (Search request; Syntax rules; Search result)
Data:
Metadata (Resource, Topic, Index)
Registry (Collection, Collection service)
Protocols:
SRU, OpenSearch, Z39.50
Systems:
Z39.50-SRU Gateway, Teratext, Voyager.
Strategies:
Collection views, spell checking, topic-based approach to searching, faceted
clustering, FRBRised result sets.
5.2 SCAN
E-framework:
No equivalent yet.
DLF:
Real Time Search/Scan
Definition:
Process whereby a user finds resources or topics by scanning an index, with
the capability to specify a start place in the index.
Use cases:
Select index (Index selection list, Selected index)
Scan index (Browse start request; Syntax rules; Browse result)
Data:
Metadata (Resource, Topic, Index)
Registry (Collection, Collection service)
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Protocols:
SRU, Z39.50
Systems:
Z39.50-SRU Gateway, Teratext, Voyager.
Strategies:
Scan in this model applies to the function called Scan in Z39.50 and SRU that
allows a user to step through an index or to be placed at a point in the
sequence where the term they have input would appear (whether or not it
does). Note that new generation catalogue products such as Vu Find have
focused on relevance ranking and faceted clustering of result sets as ways of
enhancing the user experience. One of our challenges will be to identify usage
scenarios that confirm the ongoing need for the scan function, as SOLR does
not natively support it.
5.3 LOCATE
E-framework:
No equivalent yet.
DLF:
Real Time Search/GetRecords; GetAvailability
Definition:
Process whereby a user can view current availability information, detailed
holdings information or usage information that may only be available from a
local system.
Use cases:
Get holdings (Holdings request, Holdings response)
Data:
Metadata (Item)
Registry (Collection service )
Protocols:
SRU, Z39.50, XML Holdings schema
Systems:
Voyager, Vu Find, Libraries Australia.
Strategies:
The Voyager OPAC uses proprietary calls to get this information from the
database. The new Vu Find catalogue also has a proprietary relationship with
the Voyager database to get this information. Libraries Australia is limited at
the moment to deep linking to the local catalogue. Our strategy is to use the
XML Holdings Schema over SRU to get this information from local catalogues
of all kinds and to present it in a seamless manner to users through our
discovery interfaces. This will require ILMS vendors as well as our own
systems to support the XML Holdings Schema.
ILMS vendors have been slow to make such enhancements so this may be
something that we pursue with Ex Libris in a collegiate way; or that we
contribute to the development of an open source ILMS. Having a demonstrator
that uses the XML Holdings Schema as an interface object is the best way to
take this forward, even if outputs from the Voyager database have to be
mapped to the schema in the first instance.
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5.4 BOOKMARK
E-framework:
No equivalent yet.
DLF:
No equivalent yet.
Definition:
Process whereby a user is able to save searches and metadata between
sessions.
Use cases:
Bookmark (bookmark request, bookmark response)
Manage bookmark collection
Data:
Metadata (Identifier)
Registry (Access policy, Collection)
Business (User)
Protocols:
CoINS, SRUUpdate
Strategies:
This service goes beyond the current Save search and Save record Use cases in
Libraries Australia or the trails in Music Australia and Picture Australia to
allow users individually or collaboratively to construct their own collections,
including user developed trails and subject guides. Our preferred strategy is to
identify an existing toolset to support this workflow [is Heurist relevant here?]
5.5 REQUEST
E-framework:
No equivalent yet.
DLF:
No equivalent yet.
Definition:
Process that enables a user to lodge a request for a wanted resource with a
resource provider, taking into account availability, access and use policies and
any conditions and obligations these impose on the requester.
Use cases:
Request (Resource request, Resource request response)
Note that the request use case includes an alternate course when the item is
not currently available that allows the user to reserve the item.
Note that, when rendering wanted resource details, the system may use an
algorithm to calculate current copyright status and this may then determine
the options presented to the user as part of the request workflow.
Data:
Metadata (Resource details, Copyright status)
Registry (Access policy)
Business (User, Request)
Protocols:
OpenURL Request transfer message
Strategies:
The Voyager OPAC has a proprietary relationship with the circulation system.
The new Vu Find catalogue also has a proprietary relationship with the
Voyager circulation system. Libraries Australia provides deep links to the local
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catalogue where users can place their requests as well as a web form that uses
a non-standard schema to exchange requests with local systems. Our strategy
is to use the OpenURL Request transfer message to interface with the
circulation systems or interlibrary loan systems of libraries in order to enable
seamless requesting through our discovery interfaces.
This will require ILMS and ILL system vendors as well as our own systems to
support the OpenURL Request Transfer message. As with the XML Holdings
Schema, ILMS vendors have been slow to make such enhancements so this
may be something that we pursue with Ex Libris in a collegiate way; or that we
contribute to the development of an open source ILMS. Having a demonstrator
that uses the OpenURL Request Transfer Message as an interface object is the
best way to take this forward, even if interfacing with Voyager or Relais is
done through a kluge in the first instance.
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6
Delivery Services
Delivery services – Resolve, Disseminate, Reproduce, Lend and Hold - support the delivery of
wanted resources, either by resolving directly to the resource once conditions have been met
for access, by supplying or lending a copy or by reserving a copy if it is currently in use.
Note the primacy of the Resolve and Disseminate functions in delivery workflows. A delivery
system will use a URI to resolve to a METS Dissemination Information Package and then
unpack it using the descriptive metadata, structural maps and file group use attributes to
generate a navigation workflow system with behaviours appropriate to the content model.
Derivatives needed to deliver the required behaviours (e.g., zoom for still images) will be
invoked through the Resolve service, as will related objects defined in the descriptive
metadata or through the structural map.
6.1 RESOLVE
E-framework:
Resolve Identifiers.
DLF:
No equivalent yet.
Definition:
Process whereby a URI resolves to a service that provides access to an
appropriate copy of a wanted resource once conditions have been met.
Use cases:
Resolve (Resolve request, Resolve response)
Data:
Metadata (Identifier)
Registry (Access policy)
Business (User)
Protocols:
Handles, OpenURL, InfoURI
Systems:
NLA Resolver Service
Strategies:
Our bid to operate a national persistent identifier resolution service; our need
to ensure that our own InfoURI identifiers can interoperate in this context.
Enhancement of the NLA Resolver Service to utilise rights management
information including current copyright status to simplify the resolution
process for users and to support a more automated process for getting
permissions when these are required.
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6.2 DISSEMINATE
E-framework:
No equivalent yet.
DLF:
No equivalent yet.
Definition:
Process whereby a repository supplies a digital copy of a resource to another
system in response to a trigger from a resolution service.
Use cases:
Disseminate (Dissemination request, Dissemination response)
Data:
Content (Dissemination Information Package)
Registry (Delivery Service/Disseminate function)
Protocols:
METS, OpenURL
Systems:
DCM, Newspapers, etc.
Strategies:
Our work on the Australian METS Profile. Evolution of our generic delivery
system to operate based on a service-oriented approach using METS as an
interface object.
6.3 REPRODUCE
E-framework:
No equivalent yet.
DLF:
No equivalent yet.
Definition:
Process whereby a resource provider supplies a digital or physical
reproduction of a resource to a requester once conditions have been met.
Note that the workflow may be interrupted due to the need for the requester to
get permission from the rights holder.
Use cases:
Manage request
Data:
Metadata (Resource details, Copyright status)
Registry (Access policy)
Business (User, Request, Permission)
Protocols:
ISO ILL Protocol, OpenURL Request transfer message
Systems:
Libraries Australia Document Delivery, Relais.
Strategies:
Single business approach to the supply of items from our collections;
enhancement of Copies Direct to utilise rights management information
including current copyright status to simplify the requesting process for users
and support a more automated process for getting permissions when these are
required. Digitisation on demand.
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6.4 LEND
E-framework:
No equivalent yet.
DLF:
Patron functionality/RenewLoan; RecallItem; CancelRecall
Definition:
Process that lends an item to a requester once conditions have been met and
that manages the loan until the item has been returned.
Note that the workflow may be interrupted due to the need for the requester to
get permission from the rights holder.
Note that Reproduce, Lend and Hold could be seen as alternate courses in a
more generic function such as Supply.
Use cases:
Manage request
Data:
Metadata (Resource details, Copyright status)
Registry (Access policy)
Business (User, Request, Permission)
Protocols:
ISO ILL Protocol, OpenURL Request transfer message
Systems:
Libraries Australia Document Delivery, Relais.
Strategies:
As for get/supply, with digital lending and further exploration of the netbooks
idea.
6.5 HOLD
E-framework:
No equivalent yet.
DLF:
Patron functionality/HoldTitle; HoldItem; CancelHold
Definition:
Process that reserves an item for a requester if it is not currently available for
some reason.
Note that the workflow may be interrupted due to the need for the requester to
get permission from the rights holder.
Note that Reproduce, Lend and Hold could be seen as alternate courses in a
more generic function such as Supply.
Use cases:
Manage request
Data:
Metadata (Resource details, Copyright status)
Registry (Access policy)
Business (User, Request, Permission)
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Protocols:
ISO ILL Protocol, OpenURL Request transfer message
Systems:
Libraries Australia Document Delivery, Relais, Voyager
Strategies:
See above.
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7
User Services
User services deal with the relationship of the user with the service - enabling the user to
register for value-added services, to engage in a dialogue with the service provider in order to
get help or provide feedback, to set preferences for their interaction with the service and to
monitor their own usage. Track and report also allows the service provider to monitor the
status of transactions and usage across all users and functions.
7.1 REGISTER
E-framework:
No equivalent yet.
DLF:
Registry (Patron functionality/LookupPatron; GetPatronInfo; GetPatronStatus)
Definition:
Process whereby a user registers for a service.
Note that this is probably a workflow, not a function. It will be implemented as
a version of the registry Manage User function.
Use cases:
Register (Registration request, Registration response)
Data:
Business (User)
Protocols:
SRU Update, X.500, LDAP
Strategies:
Register once to access multiple services.
7.2 PERSONALISE
E E-framework: No equivalent yet.
DLF:
No equivalent yet
Definition:
Process that enables a user to customise their experience with a service and its
look and feel.
Note that this is probably a workflow, not a function. It will be implemented as
a version of the registry Manage User profile function.
Use cases:
Manage personalisation option
Data:
Business (User profile)
Protocols:
SRU Update, X.500, LDAP
Strategies:
Users able to define there own default collections, etc.
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7.3 ASK
E-framework:
No equivalent yet.
DLF:
No equivalent yet
Definition:
Process that enables a user to ask reference questions of a service provider
Use cases:
Ask (Reference request, Reference response)
Data:
Business (User, Reference request)
Protocols:
SMS, Chat, Email
Systems:
Reference Enquiry System; Ask Now.
Strategies:
Be where the users are. Collaborate nationally and internationally.
7.4 COMMISSION
E-framework:
No equivalent yet.
DLF:
No equivalent yet.
Definition:
Process whereby a manager commissions a task such as the creation of a work
or the valuation of an item from a third party.
Use cases:
Commission (Commission request, Commission response)
Data:
Registry (Provider)
Business (Task details)
Protocols:
SRU Update
Systems:
People’s heads, manual records.
Strategies:
BPMN analysis of workflows as an extension to the Select workflow.
7.5 TRACK
E E-framework: No equivalent yet.
DLF:
No equivalent yet
Definition:
Process that monitors the status of a task and allows a task to be advanced to a
new status when approvals are required.
Use cases:
Track (Status request, Status report)
Approve (Approval request, Approval response)
Note that Approve may end up being a separate function.
Data:
Business (Status)
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Protocols:
None yet identified
Systems:
Strategies:
None yet articulated.
7.6 REPORT
E E-framework: No equivalent yet.
DLF:
No equivalent yet
Definition:
Process that enables users to get reports
Use cases:
Report (Report request, Report response)
Data:
Business (Report details)
Protocols:
Standardized Usage Statistics Harvesting Initiative (Sushi)
Strategies:
7.7 COMPLY
E-framework:
E E-framework: Comply
DLF:
No equivalent yet
Definition:
process where a user acknowledges acceptance of a policy in order to complete
a workflow.
Use cases:
Get compliance (Compliance request, Compliance response)
Data:
Registry (Access policy, Obligation)
Business (User)
Protocols:
XACML
Systems:
Copies Direct.
Strategies:
To automate the compliance process as much as possible by documenting
policies in machine-readable form. The Rights Management System Project will
enable this.
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8
Workflows and service usage models
This document focuses on functions needing to be implemented in order to build workflow
systems to support delivery of the Library’s digital library services.
Business process workflows will involve a series of functions and stakeholders. For example,
the term ‘Archive’ covers the submission and ingest process and may also cover preservation
management actions. The e-framework uses Service Usage Models (SUMs) to provide
stakeholders with another way of visualising requirements and testing that needs are being
met. Below is a hastily-put together SUM for archiving which is really just a starting point.
It would be useful for the Library to get some practice in the development of SUMs, perhaps
through a workshop with the e-Framework, and also to understand the relationship between
SUMs and Business Process Modelling Notation (BPMN) diagrams and narratives as ways of
modelling requirements.
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