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Guidelines for the aggregation and exchange of Usage Data

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Knowledge Exchange and Usage Statistics

KE is a co-operative effort between JISC, SURF, DEFF and DFG. International interoperability guidelines for the comparable exchange of usage data is one of these co-operative efforts.

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Document

information

| *

Title:

*

KE

Usage

Statistics

Guidelines

\\ *


Subject:

*

Usage

Statistics,

 

  Guidelines,

Repositories,

Publications,

Research

Intelligence

\\ *


Moderator:

*

Peter

Verhaar

(

[
|standards:KE Usage Statistics Guidelines Work group]) \\ *Version:* 0.9.5 \\ *Date published:*

)
Version: 1.0
Date published: 2010-05-18

\\ *


Excerpt

*

:

{

Excerpt

}

Guidelines

for

the

exchange

of

usage

statistics

from

a

repository

to

a

central

server

using

OpenURL

Context Objects via OAI

Context Objects via OAI-PMH

or

SUSHI.

{excerpt} \\ \\



(Optional

information)

\\ *


Type:

*

Guidelines,

[
|http://purl.org/info:eu-repo/semantics/technicalDocumentation]\\ *Format:*


Format: html/text

\\ *


Identifier:

* [
Guidelines] \\ *

Guidelines
Language:

* EN \\ *

EN
Rights:

*

CC-BY

\\ *Tags:*{page-info:labels}\\ |


Tags:

Date

version

Author

Description

PDF

2010-

03

05-

25

26

1.0

.1

Peter Verhaar

First draft, based on technical specifications from the OA-Statistics project (written by Daniel Metje and Hans-Werner Hilse), the NEEO project (witten by Benoit Pauwels) and the SURE project (written by Peter Verhaar and Lucas van Schaik)

 

2010-04-13

0.2

Maurice Vanderfeesten

Added the sections based on the Knowledge Exchange meeting in Berlin. And filled in some additional information to these sections.

Definitive version 1.0.; Comments made during the phone conference which took place on 25-05-2010 and which was attended by Thobias Schäfer, Hans-Werber Hilse, Jochen Schirrwagen, Marek Imialek, Paul Needham, Peter Verhaar, Maurice Vanderfeesten, Natalia Manola and Lefteris Stamatogiannakis

Download

2010-05-18

0.9.5

Peter Verhaar

DRAFT version 1.0 ; comments and layout improvements made by Jochen Schirrwagen, Max Kemman, Peter Verhaar and Maurice Vanderfeesten

 

2010-04-24

0.9

Peter Verhaar

Revised version, in which comments made by Benoit Pauwels, Hans-Werner Hilse, Thobias Schäfer, Daniel Metje and Paul Needham have been incorporated.

 

2010-

05

04-

18

13

0.

9.5

Peter Verhaar

DRAFT version 1.0 ; comments and layout improvements made by Jochen Schirrwagen, Max Kemman, Peter Verhaar and Maurice Vanderfeesten

2

Maurice Vanderfeesten

Added the sections based on the Knowledge Exchange meeting in Berlin. And filled in some additional information to these sections.

 

2010-

05

03-

26

25

0.1

.0

Peter Verhaar

Definitive version 1.0.; Comments made during the phone conference which took place on 25-05-2010 and which was attended by Thobias Schäfer, Hans-Werber Hilse, Jochen Schirrwagen, Marek Imialek, Paul Needham, Peter Verhaar, Maurice Vanderfeesten, Natalia Manola and Lefteris

First draft, based on technical specifications from the OA-Statistics project (written by Daniel Metje and Hans-Werner Hilse), the NEEO project (witten by Benoit Pauwels) and the SURE project (written by Peter Verhaar and Lucas van Schaik)

 

Abstract

Guidelines for the exchange of usage statistics from a repository to a central server using OAI-PMH and OpenURL Context Objects.

Info

This page is maintained by: KE Usage Statistics Work Group

...

...

Endorsement

The following projects and parties will endorse these guidelines, by applying these in their implementation.

Project       

Status       

SURF Sure

 

PIRUS2

 

OA-Statistics  

 

NEEO

 

COUNTER

 

...

1. Introduction

The impact or the quality of academic publications is traditionally measured by considering the number of times the text is cited. Nevertheless, the existing system for citation-based metrics has frequently been the target of serious criticism. Citation data provided by ISI focus on published journal articles only, and other forms of academic output, such as dissertations or monographs are mostly neglected. In addition, it normally takes a long time before citation data can become available, because of publication lags. As a result of this growing dissatisfaction with citation-based metrics, a number of research projects have begun to explore alternative methods for the measurement of academic impact. Many of these initiatives have based their findings on usage data. An important advantage of download statistics is that they can readily be applied to all electronic resources, regardless of their contents. Whereas citation analyses only reveal usage by authors of journal articles, usage data can in theory be produced by any user. An additional benefit of measuring impact via the number of downloads is the fact that usage data can become available directly after the document the item has been placed on-line.

Virtually all web servers that provide access to electronic resources record usage events as part of their log files. Such files usually provide detailed information on the documents items that have been requested, on the users that have initiated these requests, and on the moments at which these requests took place. One important difficulty is the fact that these log files are usually structured according to a proprietary format. Before usage data from different institutions can be compared in a meaningful and consistent way, the log entries need to be standardised and normalised. Various projects have investigated how such data harmonisation can take place. In the MESUR project, usage data have been standardised by serialising the information from log files into XML files structured according to the OpenURL Context Objects schema (Bollen and Van de Sompel, 2006). This same standard is recommended in the JISC Usage Statistics Final Report. Using this metadata standard, it becomes possible to set up an infrastructure in which usage data are aggregated within a network of distributed repositories.

...

The institution that is responsible for the repository that contains the requested document is referred to as a usage data provider. Data can be stored locally in a variety of formats, but to allow for a meaningful central collection of data, usage data providers must be able to expose the data in a standardised data format, so that they can be harvested and transferred to a central database. The institution that manages the central database is referred to as the usage data aggregator. The data must be transferred using a well-defined transfer protocol. The data aggregator harvests individual usage data providers minimally on a daily basis, and bears the primary responsibility for synchronising the local and the central data. Ultimately, certain services can be built on the basis of the data that have been accumulated (see figure 1)


Figure 1.

The approach that is proposed here coincides largely with scenario B that is described in the final report of PIRUS1 (see figure 2). In this scenario, "the generated OpenURL entries are sent to a server hosted locally at the institution, which then exposes those entries via the OAI-PMH for harvesting by an external third party".

...

A distinction will be made between a core set and extensions. Data in the core set can be recorded using standard elements or attributes that are defined in the OpenURL Context Object schema. The extensions are created to record aspects of usage events which cannot be captured using the official schema. They have usually been defined in the context of individual projects to meet very specific demands. Nevertheless, some of the extensions may be relevant for other projects as well. They are included here to inform the usage statistics community about the additional information that could be made available. Naturally, the implementation of all the extension elements is optional.

Note

There are also other profiles we coud incorporate the best practices from, see http://alcme.oclc.org/openurl/docs/pdf/SanAntonioProfile.pdf

3.1. Core set

3.1.1. <context-object>

The OpenURL Framework Initiative recommends that each community that adopts the OpenURL Context Objects Schema should define its application profile. Such a profile must consist of specifications for the use of namespaces, character encodings, serialisation, constraint languages, formats, metadata formats, and transport protocols. This section will attempt to provide such a profile, based on the experiences from the projects PIRUS, NEEO, SURE and OA-Statistics.
The root element of the XML-document must be <context-objects>. It must contain a reference to the official schema and declare the following namespace:

OpenURL Context Objects

info:ofi/fmt:xml:xsd:ctx

Each usage event must be described in a separate <context-object> element. All individual <context-object> elements must be wrapped into the <context-objects> root element.
Each <context-object> must have a timestamp attribute, and it may optionally be given an identifier attribute. These two attributes can be used to record the request time and an identification of the usage event. Details are provided below.

<context-object/@timestamp> | Request Time

Description

The exact time on which the usage event took place.

XPath

ctx:context-object/@timestamp

Usage

Mandatory

Format

The format of the request time must conform to ISO8601. The YYYY-MM-DDTHH:MM:SS representation must be used.

Example

2009-07-29T08:15:46+01:00

<context-object/@identifier> | Usage Event ID

Description

An identification of a specific usage event.

XPath

ctx:context-object/@identifier

Usage

Optional

Format

No requirements are given for the format of the identifier. If this optional identifier is used, it must be (1) opaque and (2) unique for a specific usage event.
In the Netherlands a MD5 Hash is generated from a concatenation of a code for the institution, the identifier of the publication and the timestamp. Other projects may of course use different ways to create identifiers, as long as these are globally unique.

Example

b06c0444f37249a0a8f748d3b823ef2a

Occurences of child elements in <context-object>

Within a <context-object> element, the following subelements can be used:

Element name

minOccurs

maxOccurs

Referent

1

1

ReferringEntity

0

1

Requester

1

1

ServiceType

1

1

Resolver

1

1

Referrer

0

1

 

3.1.2. <referent>

The <referent> element must provide information on the document the item that is requested. More specifically, it must record the following data elements.

<referent/identifier> | Location of object file or metadata file

Description

The URL of the object file or the metadata record that is requested. Since this document focuses on usage by means of the World Wide Web, there will always be one URL for each usage event.

XPath

ctx:context-object/ctx:referent/ctx:identifier

Usage

Mandatory

Format

URL

Example

https://openaccess.leidenuniv.nl/bitstream/1887/12100/1/Thesis.pdf

<referent/identifier> | Other identifier of requested

...

item

Description

A globally unique identification of the resource that is requested must be provided if there is one that is applicable to the

document

item. Identifiers should be 'communication protocol'-independent as much as possible. In the case of a request for an object file, the identifier should enable the aggregator to obtain the object's associated metadata file. When records are transferred using OAI-PMH, providing the OAI-PMH identifier is mandatory.

XPath

ctx:context-object/ctx:referent/ctx:identifier

Usage

Mandatory if applicable

Format

URI

Example

http://hdl.handle.net/1887/12100

3.1.3. <referringEntity>

The <ReferringEntity> provides information about the environment that has forwarded has directed the user to the document the item that was requested. This referrer can be expressed in two ways.

<referringEntity/identifier> | Referrer URL

Description

The entity which has directed the user to the

requested resource. As a minimal requirement, this must be

referent. When the request was mediated by a search engine, record the URL provided by the HTTP referrer string.

XPath

ctx:referring-entity/ctx:identifier

Usage

Mandatory if applicable

Format

URL

Example

http://www.google.nl/search?hl=nl&q=beleidsregels+artikel+4%3A84&meta=

...

3.1.4. <requester>

The user who has sent the request for the file is identified in the <requester> element.

<requester/identifier> |

...

IP-address of requester

Description

The

referrer may be categorised on the basis of a limited list of known referrers. All permitted values will be registered in the OpenURL registry.

XPath

ctx:referring-entity/ctx:identifier

Usage

Optional

Format

A URI that is registered in http://info-uri.info/registry/OAIHandler?verb=GetRecord&metadataPrefix=reg&identifier=info:sid/

Example

info:sid/google.com

3.1.4. <requester>

The user who has sent the request for the file is identified in the <requester> element.

<requester/identifier> | IP-address of requester

Description

The user can be identified by providing the IP-address. Including the full IP-address in the description of a usage event is not permitted by international privacy laws. For this reason, the IP-address needs to be obfuscated. The IP-address must be hashed using salted MD5 encryption. The salt must minimally consist of 12 characters. The IP address of the requester is pseudonymised using encryptions, before it is exchanged and taken outside the web-server to another location. Therefore individual users can be recognised when aggregated from distributed repositories, but they cannot be identified as 'natural persons'. This method appears to be consistent with the European Act for Protection of Personal data. The summary can be found here: ? http://europa.eu/legislation_summaries/information_society/l14012_en.htm . Further legal research is needed to determine of if this method is sufficient to protect the personal data of a 'natural person', in order to operate within the boundaries of the law.

XPath

ctx:context-object/ctx:requester/ctx:identifier

Usage

Mandatory

Format

A data-URI, consisting of the prefix "data:,", followed by a 32-digit hexadecimal number.

Example

data:,c06f0464f37249a0a9f848d4b823ef2a

<requester/.../dcterms:spatial> | Geographic location

Description

The country from which the request originated may also be provided explicitly

user can be identified by providing the IP-address. Including the full IP-address in the description of a usage event is not permitted by international privacy laws. For this reason, the IP-address needs to be obfuscated. The IP-address must be hashed using salted MD5 encryption. The salt must minimally consist of 12 characters. The IP address of the requester is pseudonymised using encryptions, before it is exchanged and taken outside the web-server to another location. Therefore individual users can be recognised when aggregated from distributed repositories, but they cannot be identified as 'natural persons'. This method appears to be consistent with the European Act for Protection of Personal data. The summary can be found here: ? http://europa.eu/legislation_summaries/information_society/l14012_en.htm . Further legal research is needed to determine of if this method is sufficient to protect the personal data of a 'natural person', in order to operate within the boundaries of the law.

XPath

ctx:context-object/ctx:requester/ctx:identifier

Usage

Mandatory

Format

A data-URI, consisting of the prefix "data:,", followed by a 32-digit hexadecimal number.

Example

data:,c06f0464f37249a0a9f848d4b823ef2a

<requester/.../dcterms:spatial> | Geographic location

Description

The country from which the request originated may also be provided explicitly.

XPath

ctx:context-object/ctx:requester/ctx:metadata-by-val/ctx:metadata/dcterms:spatial

If this element is used, the <metadata> element must be preceded by
ctx:requester/ctx:metadata-by-val/ctx:format
with value
"http://dublincore.org/documents/2008/01/14/dcmi-terms/"

Usage

Optional

Format

A two-letter code in lower case, following the ISO 3166-1-alpha-2 standard. http://www.iso.org/iso/english_country_names_and_code_elements

Example

ne

3.1.5. <service-type>

<service-type/.../dcterms:type> | Request Type

Description

The request type provides information on the type of user action. Currently, this element is only used to make a distinction between a download of an object file and a metadata record view. In the future, extensions can be defined for other kinds of user actions, such as downloads of datasets, or ratings.

XPath

ctx:context-object/ctx:

requester

service-type/ctx:metadata-by-val/ctx:metadata/dcterms:

spatial

type

If this element is used, the <metadata> element must be preceded by

ctx:requester/ctx:metadata-by-val/ctx:format

with value

"http://dublincore.org/documents/2008/01/14/dcmi-terms/"

Usage

Inclusion

Optional

Example

ne

Mandatory

Format

A two-letter code in lower case, following the ISO 3166-1-alpha-2 standard. http://www.iso.org/iso/english_country_names_and_code_elements

One of these values must be used:

  • info:eu-repo/semantics/objectFile or
  • info:eu-repo/semantics/descriptiveMetadata See for explanation of these concepts info:eu-repo Object types

Example

info:eu-repo/semantics/objectFile

 

3.1.

...

<service-type/.../dcterms:type> | Request Type

...

Description

...

6. <resolver> and <referrer>

<resolver/identifier> | Host name

Host name

 

Description

An identification of the institution that is responsible for the repository in which the requested item is stored.

XPath

ctx:context-object/ctx:

service-type

resolver/ctx:

metadata-by-val/ctx:metadata/dcterms:type
If this element is used, the <metadata> element must be preceded by
ctx:requester/ctx:metadata-by-val/ctx:format
with value
"http://dublincore.org/documents/2008/01/14/dcmi-terms/"

Inclusion

Mandatory

Format

One of these values must be used:

  • info:eu-repo/semantics/objectFile or
  • info:eu-repo/semantics/descriptiveMetadata See for explanation of these concepts info:eu-repo Object types

Example

info:eu-repo/semantics/objectFile

3.1.6. <resolver> and <referrer>

<resolver/identifier> | Host name

Host name

 

Description

An identification of the institution that is responsible for the repository in which the requested document is stored.

identifier

Usage

Mandatory

Format

The baseURL of the repository must be used. This must be a URI, and not only the domain name.

Example

http://openaccess.leidenuniv.nl/dspace-oai/request

<resolver/identifier> | Location of OpenURL Resolver

Description

In the case of link resolver usage data, the baseURL of the OpenURL resolver must be provided.

XPath

ctx:context-object/ctx:resolver/ctx:identifier

Usage

Optional

Format

URL

Example

http://sfx.gbv.de:9004/sfx_sub/

<referrer/identifier> | Referrer Identifier

Description

Identification of the external service that had provided a reference to the referent, e.g. a search engine

XPath

ctx:context-object/ctx:

resolver

referrer/ctx:identifier

Usage

Mandatory

Example

Optional

Format

The baseURL of the repository must be used. This must be a URI, and not only the domain name.

A URI that is registered in http://

www.worldcat.org/libraries/53238

<resolver/identifier> | Location of OpenURL Resolver

Description

In the case of link resolver usage data, the baseURL of the OpenURL resolver must be provided.

XPath

ctx:context-object/ctx:resolver/ctx:identifier

Usage

Optional

Format

URL

Example

http://sfx.gbv.de:9004/sfx_sub/

<referrer/identifier> | Link resolver Context Identifier

Description

The identifier of the context from within the user triggered the usage of the target resource.

XPath

ctx:context-object/ctx:referrer/ctx:identifier

Usage

Optional

Format

URL

Example

info:sid/dlib.org:dlib</identifier

3.2. Extensions

3.2.1. <requester>

<requested/identifier> | C-class Subnet

Description

When the IP-address is obfuscated, this will have the disadvantage that information

info-uri.info/registry/OAIHandler?verb=GetRecord&metadataPrefix=reg&identifier=info:sid/

Example

info:sid/dlib.org:dlib
info:sid/google.com

 

3.2. Extensions

3.2.1. <requester>

<requested/identifier> | C-class Subnet

Description

When the IP-address is obfuscated, this will have the disadvantage that information on the geographic location, for instance, can no longer be derived. For this reason, the C-Class subnet must be provided. The C-Class subnet, which consists of the three most significant bytes from the IP-address, is used to designate the network ID. The final (most significant) byte, which designates the HOST ID, is replaced with a '0'. The C-class Subnet may optionally be hashed using MD5 encryption.

XPath

ctx:context-object/ctx:requester/ctx:identifier If the C-Class subnet is hashed, the MD5 hash must be provided in the following element: ctx:context-object/ctx:metadata/dini:requesterinfo/dini:hashed-c If this element is used, the <metadata> element must be preceded by ctx:requester/ctx:metadata-by-al/ctx:format with value "http://dini.de/namespace/oas-requesterinfo"

Usage

Optional

Format

A data-URI, consisting of the prefix "data:,", followed either by a 32-digit hexadecimal number, or by three hexadecimal numbers separated by a dot, followed by a dot and a '0'.

Examples

data:,

118

208.

94

77.

150

188.0
data:,ec17f0564f32240c0a9d848d4b823ef2a

<requester/.../dini:classification> | Classification of the requester

Description

The user may be categorised, using a list of descriptive terms. If no classification is possible, it must be omitted.

XPath

ctx:context-object/ctx:requester/ctx:metadata/dini:requesterinfo/dini:classificationIf this element is used, the <metadata> element must be preceded by
ctx:requester/ctx:metadata-by-al/ctx:format
with value
"http://dini.de/namespace/oas-requesterinfo"

Usage

Optional

Format

Three values are allowed:

  • "internal": classification for technical, system-internal accesses. Examples would be automated availability and consistency checks, cron jobs, keep-alive queries etc.
  • "administrative": classification for accesses that are being made due to human decision but are for administrative reasons only. Examples would be manual quality assurance, manual check for failures, test runs etc.
  • "institutional": classifies accesses that are made from within the institution running the service in question, regardless whether they are for administrative reasons.

Example

institutional

<requester/.../dini:hashed-session> | Hashed session of the requester

Description

The identifier of the complete usage session of a given user.

XPath

ctx:context-object/ctx:requester/ctx:metadata/dini:requesterinfo/dini:hashed-session
If this element is used, the <metadata> element must be preceded by
ctx:requester/ctx:metadata-by-al/ctx:format
with value
"http://dini.de/namespace/oas-requesterinfo"

Usage

Optional

Format

If the session ID is a hash itself, it must be hashed. Otherwise, provide a MD5 hash of the session ID.

Example

660b14056f5346d0

<requester/.../dini:user-agent> | Full user agent string of the requester

Description

The full HTTP user agent string

XPath

ctx:context-object/ctx:requester/ctx:metadata/dini:requesterinfo/dini:classification/dini:user-agent
If this element is used, the <metadata> element must be preceded by
ctx:requester/ctx:metadata-by-al/ctx:format
with value
"http://dini.de/namespace/oas-requesterinfo"

Usage

Optional

Format

String

Example

Mozilla/5.0 (Windows; U; Windows NT 5.1; en-US; rv:1.9.0.6) Gecko/2009011913 Firefox/3.0.6 (.NET CLR 3.5.30729)

4. Transfer Protocols

4.1. OAI-PMH

...

Code Block
xml
xml
linenumbertrue
titleOAI-PMH listRecords metadataPrefix=oai_dc
collapsetrue

<?xml version="1.0" encoding="UTF-8"?>
<OAI-PMH>
...
<record>
    <header> ... (compare notes about the record header)</header>
    <metadata>
        <dc xmlns="http://www.openarchives.org/OAI/2.0/oai_dc/"
            xmlns:dc="http://purl.org/dc/elements/1.1/">
            <identifier>ID2</identifier>
            <description> Usage Event Data for Server ... from ... until ... </description>
        </dc>
    </metadata>
</record>
...
</OAI-PMH>

...

 

4.1.5. Usage of Sets

(see OAI-PMH specification, the identifier within the DC metadata set must link to the described document. When understood as being metadata, the data contained in one <contextobject> or in a <context-objects> aggregation is best described as being metadata of the usage events in a given time frame. Those usage events, however, regularly do not have their own identifiers yet. So in order to comply with DC requirements, too, identifiers have to be generated for those usage events as well (ID2 in the excerpt above). However, by now there seems to be no immediate use case for such identifiers. Therefore, in the context of these guidelines, offering DC metadata is not required.

4.1.5. Usage of Sets

(see OAI-PMH, 2.7.2 )

OAI-PMH optionally allows for structuring the offered data in "sets" to support selective harvesting of the data. Currently, this possibility is not further specified in these guidelines. Future refinements may use this feature, e. g. for selecting usage data for certain , 2.7.2 )

OAI-PMH optionally allows for structuring the offered data in "sets" to support selective harvesting of the data. Currently, this possibility is not further specified in these guidelines. Future refinements may use this feature, e. g. for selecting usage data for certain services. Provenance information is already included in the Context Objects.

...

The OAI-PMH provides functionalities for the tracking of deletion of records. Compared to the classic use case of OAI-PMH (descriptive metadata of documents) the use case presented here falls into a category of data which is not subject to long-term storage. Thus, the tracking of deletion events does not seem critical since the data tracking deletions would summarize to a significant amount of data.However, the service provider will accept information about deleted records and will eventually delete the referenced information in its own data store. This way it is possible for data providers to do corrections (e. g. in case of technical problems) on wrongly issued data.It is important to note that old data which rotates out of the data offered by the data provider due to its age will not to be marked as deleted for storage reasons. This kind of data is still valid usage data, but not visible anymore.The information about whether a data provider uses deletion tracking has to be provided in the response to the "identify" OAI-PMH query within the <deletedRecords> field. Currently, the only options are "transient" (when a data provider applies or reserves the possibility for marking deleted records) or "no".The possible cases are:

...

All data providers have to provide support for <context-object> documents or <context-objects> aggregations, respectively.This choice also has to be announced in the response to the "listMetadataFormats" query OAI-PMH, 4.4 by the data providerobjects> aggregations. While a specific "metadataPrefix" is not required, the information about "metadataNamespace" and "schema" is fixed for implementations:

Code Block
xml
xml
linenumbertrue
titleOAI-PMH listMetadataFormats
collapsetrue

<?xml version="1.0" encoding="UTF-8"?>
<OAI-PMH>
...
<metadataFormat>
  <metadataPrefix>ctxo</metadataPrefix>
  <schema>http://www.openurl.info/registry/docs/xsd/info:ofi/fmt:xml:xsd:ctx</schema>
  <metadataNamespace>info:ofi/fmt:xml:xsd:ctx</metadataNamespace>
</metadataFormat>
...
</OAI-PMH>

4.1.8. Inclusion of Context Objects in OAI-PMH records

Corresponding to the definition of XML encoded Context Objects as data format of the data exchanged via the OAI-PMH, the embedding is to be done conforming to the OAI-PMH:

Code Block
xmlxml
linenumbertrue
titlemethod 1 : all Context Objects in one OAI-PMH record : OAI-PMH listRecords metadataPrefix=ctxo
collapsetrue

<?xml version="1.0" encoding="UTF-8"?>
<OAI-PMH>
...
<record>
    <header>
        <identifier>urn:uuid:e5d037a0-633c-11df-a08a-0800200c9a66 </identifier>
        <datestamp>2009-06-02T14:10:02Z</datestamp>
    </header>
    <metadata>
        <context-objects xmlns="info:ofi/fmt:xml:xsd:ctx">
            <context-object datestamp="2009-06-01T19:20:57Z">
              ...
            </context-object>
            <context-object datestamp="2009-06-01T19:21:07Z">
              ...
            </context-object>
        </context-objects>
    </metadata>
</record>" encoding="UTF-8"?>
<OAI-PMH>
...
<metadataFormat>
  <metadataPrefix>ctxo</metadataPrefix>
  <schema>http://www.openurl.info/registry/docs/xsd/info:ofi/fmt:xml:xsd:ctx</schema>
  <metadataNamespace>info:ofi/fmt:xml:xsd:ctx</metadataNamespace>
</metadataFormat>
...
</OAI-PMH>

In the aforementioned example,  

4.1.8. Inclusion of Context Objects in OAI-PMH records

Corresponding to the definition of XML encoded Context Objects as data format of the data exchanged via the OAI-PMH record is identified by a UUID (in form of a URI), see RFC 4122. When offering single <context-object> documents rather than an aggregation using <context-objects> containers like above, a conformal OAI-PMH record may look like the following, the embedding is to be done conforming to the OAI-PMH:

Code Block
xml
xml
linenumbertrue
titlemethod 2 1 : each all Context Object Objects in separate one OAI-PMH records record : OAI-PMH listRecords metadataPrefix=ctxo
collapsetrue

<?xml version="1.0" encoding="UTF-8"?>
<OAI-PMH>
...
<record>
    <header>
        <identifier>urn:uuid:fd23522ee5d037a0-c447633c-480111df-9be4a08a-c93c60a2d550 <0800200c9a66</identifier>
        <datestamp>2009-06-02T14:10:02Z</datestamp>
    </header>
    <metadata>
        <context-objectobjects xmlns="info:ofi/fmt:xml:xsd:ctx" datestamp="2009-06-01T19:20:57Z">
          ...
        </context-object>       </metadata> </record>
<record>
 <context-object datestamp="2009-06-01T19:20:57Z">
   <header>         <identifier>urn:uuid:1ad69103-6bd0-4a90-ae75-e4b644c136a6 </identifier> ...
       <datestamp>2009-06-02T14:10:04Z</datestamp>     </header>
context-object>
   <metadata>         <context-object xmlns="info:ofi/fmt:xml:xsd:ctx" datestamp="2009-06-01T19:21:07Z">
              ...
            </context-object>
        </context-objects>
    </metadata>
</record>
...
</OAI-PMH>

4.2. SUSHI

OAI-PMH is a relatively light-weight protocol which does not allow for a bidirectional traffic. If a more reliable error-handling is required, the Standardised Usage Statistics Harvesting Initiative (SUSHI) must be used. SUSHI http://www.niso.org/schemas/sushi/ was developed by NISO (National Information Standards Organization) in cooperation with COUNTER. This document assumes that the communication between the aggregator and the usage data provider takes place as is explained in figure 4.


Figure 4.

The interaction commences when the log aggregator sends a request for a report about the daily usage of a certain repository. Two parameters must be sent as part of this request: (1) the date of the report and (2) the file name of the most recent robot filter. The filename that is mentioned in this request will be compared to the local filename. Four possible responses can be returned by the repository.

  • If the filename that is mentioned in the request exactly matches the filename that is maintained locally, and if a report for the requested data is indeed available, this report will be returned immediately.
  • In this protocol, only daily reports will be allowed. This was decided mainly to restrict the size of the data traffic between the servers. If a request is sent for a period that exceeds one day, an error message will be sent indicating that the date parameter is incorrect.
  • If the URI of the robot filter file, for some reason, cannot be resolved to an actual file, an error message will be sent about this.
  • If the parameters are correct, but if the report is not yet available, a message will be sent which provides an estimation of the time of arrival.

...

This request will active a special tool that can inspect the server logging and that can return the requested data. These data are transferred as OpenURL Context Object log entries, as part of a SUSHI response.
The reponse must repeat all the information from the request, and provide the requested report as XML payload
The usage data are subsequently stored in a central database. External parties can obtain information about the contents of this central database through specially developed web services. The log harvester must ultimately expose these data in the form of COUNTER-compliant reports.
Listing 2 1 is an example of a SUSHI request, sent from the log aggregator to a repository.

Code Block
xml
xml
titleListing 2
linenumberstrue
collapsetrue

<?xml version="1.0" encoding="UTF-8"?>
<soap:Envelope xmlns:soap="http://schemas.xmlsoap.org/soap/envelope/"
 xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance"
 xsi:schemaLocation="http://schemas.xmlsoap.org/soap/envelope/ http://schemas.xmlsoap.org/soap/envelope/">
 <soap:Body>
  <ReportRequest
   xmlns:ctr="http://www.niso.org/schemas/sushi/counter"
   xsi:schemaLocation="http://www.niso.org/schemas/sushi/counter
   http://www.niso.org/schemas/sushi/counter_sushi3_0.xsd"
   xmlns="http://www.niso.org/schemas/sushi"
   xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" >
   <Requestor>
    <ID>www.logaggregator.nl</ID>
    <Name>Log Aggregator</Name>
    <Email>logaggregator@surf.nl</Email>
   </Requestor>
   <CustomerReference>
    <ID>www.leiden.edu</ID>
    <Name>Leiden University</Name>
   </CustomerReference>
   <ReportDefinition Release="urn:robots-v1.xml" Name="Daily Report v1">
    <Filters>
     <UsageDateRange>
      <Begin>2009-12-21</Begin>
      <End>2009-12-22</End>
     </UsageDateRange>
    </Filters>
   </ReportDefinition>
  </ReportRequest>
 </soap:Body>
</soap:Envelope>

...

Note that the intent of the SUSHI request above is to see all the usage events that have occurred on 21 December 2009. The SUSHI schema was originally developed for the exhchange of COUNTER-compliant reports. In the documentation of the SUSHI XML schema, it is explained that COUNTER usage is only reported at the month level. In SURE, only daily reports can be provided. Therefore, it will be assumed that the implied time on the date that is mentioned is 0:00. The request in the example that is given thus involves all the usage events that have occurred in between 2009-12-21T00:00:00 and 2002-12-22T00:00:00.
As explained previously, the repository can respond in four different ways. If the parameters of the request are valid, and if the requested report is available, the OpenURL ContextObjects will be sent immediately. The Open URL Context Objects will be wrapped into element <Report>, as can be seen in listing 32.

Code Block
xml
xml
linenumbertrue
titleListing 3
collapsetrue

<?xml version="1.0" encoding="UTF-8"?>
<soap:Envelope xmlns:soap="http://schemas.xmlsoap.org/soap/envelope/"
				xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance"
				xsi:schemaLocation="http://schemas.xmlsoap.org/soap/envelope/ http://schemas.xmlsoap.org/soap/envelope/">
	<soap:Body>
		<ReportResponse xmlns:ctr="http://www.niso.org/schemas/sushi/counter"
						xsi:schemaLocation="http://www.niso.org/schemas/sushi/counter http://www.niso.org/schemas/sushi/counter_sushi3_0.xsd"
						xmlns="http://www.niso.org/schemas/sushi"
						xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" >
			<Requestor>
				<ID>www.logaggregator.nl</ID>
				<Name>Log Aggregator</Name>
				<Email>logaggregator@surf.nl</Email>
			</Requestor>
			<CustomerReference>
				<ID>www.leiden.edu</ID>
				<Name>Leiden University</Name>
			</CustomerReference>
			<ReportDefinition Release="urn:DRv1" Name="Daily Report v1">
				<Filters>
					<UsageDateRange>
						<Begin>2009-12-22</Begin>
						<End>2009-12-23</End>
					</UsageDateRange>
				</Filters>
			</ReportDefinition>
			<Exception>
				<Number>1</Number>
				<Message>The range of dates that was provided is not valid. Only daily reports are
				available.</Message>
			</Exception>
		</ReportResponse>
	</soap:Body>
</soap:Envelope>

 

If the begin date and the end date in the request of the log aggregator form a period that exceeds one day, an error message must be sent. In the SUSHI schema, such messages may be sent in an <Exception> element. Three types of errors can be distinguished. Each error type is given its own number. An human-readable error message is provided under <Message>.


 

Code Block
xml
xml
titleListing 4
linenumberstrue
collapsetrue

<?xml version="1.0" encoding="UTF-8"?>
<soap:Envelope xmlns:soap="http://schemas.xmlsoap.org/soap/envelope/"
				xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance"
				xsi:schemaLocation="http://schemas.xmlsoap.org/soap/envelope/ http://schemas.xmlsoap.org/soap/envelope/">
	<soap:Body>
		<ReportResponse xmlns:ctr="http://www.niso.org/schemas/sushi/counter"
						xsi:schemaLocation="http://www.niso.org/schemas/sushi/counter http://www.niso.org/schemas/sushi/counter_sushi3_0.xsd"
						xmlns="http://www.niso.org/schemas/sushi"
						xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" >
			<Requestor>
				<ID>www.logaggregator.nl</ID>
				<Name>Log Aggregator</Name>
				<Email>logaggregator@surf.nl</Email>
			</Requestor>
			<CustomerReference>
				<ID>www.leiden.edu</ID>
				<Name>Leiden University</Name>
			</CustomerReference>
			<ReportDefinition Release="urn:DRv1" Name="Daily Report v1">
				<Filters>
					<UsageDateRange>
						<Begin>2009-12-22</Begin>
						<End>2009-12-23</End>
					</UsageDateRange>
				</Filters>
			</ReportDefinition>
			<Exception>
				<Number>1</Number>
				<Message>The range of dates that was provided is not valid. Only daily reports are
				available.</Message>
			</Exception>
		</ReportResponse>
	</soap:Body>
</soap:Envelope>

 

A second type of error may be caused by the fact that the file that is mentioned in the request can not be accessed. In this situation, the response will look as follows:

Code Block
xml
xml
titleListing 5
linenumberstrue
collapsetrue

<?xml version="1.0" encoding="UTF-8"?>
<soap:Envelope xmlns:soap="http://schemas.xmlsoap.org/soap/envelope/"
				xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance"
				xsi:schemaLocation="http://schemas.xmlsoap.org/soap/envelope/ http://schemas.xmlsoap.org/soap/envelope/">
	<soap:Body>
		<ReportResponse xmlns:ctr="http://www.niso.org/schemas/sushi/counter"
						xsi:schemaLocation="http://www.niso.org/schemas/sushi/counter http://www.niso.org/schemas/sushi/counter_sushi3_0.xsd"
						xmlns="http://www.niso.org/schemas/sushi"
						xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" >
			<Requestor>
				<ID>www.logaggregator.nl</ID>
				<Name>Log Aggregator</Name>
				<Email>logaggregator@surf.nl</Email>
			</Requestor>
			<CustomerReference>
				<ID>www.leiden.edu</ID>
				<Name>Leiden University</Name>
			</CustomerReference>
			<ReportDefinition Release="urn:DRv1" Name="Daily Report v1">
				<Filters>
					<UsageDateRange>
						<Begin>2009-12-22</Begin>
						<End>2009-12-23</End>
					</UsageDateRange>
				</Filters>
			</ReportDefinition>
			<Exception>
				<Number>2</Number>
				<Message>The file describing the internet robots is not accessible.</Message>
			</Exception>
		</ReportResponse>
	</soap:Body>
</soap:Envelope>

 

When the repository is in the course of producing the requested report, a response will be sent that is very similar to listing 65. The estimated time of completion will be provided in the <Data> element. According to the documentation of the SUSHI XML schema, this element may be used for any other optional data.


 

Code Block
xml
xml
titleListing 6
linenumberstrue
collapsetrue

<?xml version="1.0" encoding="UTF-8"?>
<soap:Envelope xmlns:soap="http://schemas.xmlsoap.org/soap/envelope/"
				xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance"
				xsi:schemaLocation="http://schemas.xmlsoap.org/soap/envelope/ http://schemas.xmlsoap.org/soap/envelope/">
	<soap:Body>
		<ReportResponse xmlns:ctr="http://www.niso.org/schemas/sushi/counter"
						xsi:schemaLocation="http://www.niso.org/schemas/sushi/counter http://www.niso.org/schemas/sushi/counter_sushi3_0.xsd"
						xmlns="http://www.niso.org/schemas/sushi"
						xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" >
			<Requestor>
				<ID>www.logaggregator.nl</ID>
				<Name>Log Aggregator</Name>
				<Email>logaggregator@surf.nl</Email>
			</Requestor>
			<CustomerReference>
				<ID>www.leiden.edu</ID>
				<Name>Leiden University</Name>
			</CustomerReference>
			<ReportDefinition Release="urn:DRv1" Name="Daily Report v1">
				<Filters>
					<UsageDateRange>
						<Begin>2009-12-22</Begin>
						<End>2009-12-23</End>
					</UsageDateRange>
				</Filters>
			</ReportDefinition>
			<Exception>
				<Number>3</Number>
				<Message>The report is not yet available. The estimated time of completion is
				provided under "Data".</Message>
				<Data>2010-01-08T12:13:00+01:00</Data>
			</Exception>
		</ReportResponse>
	</soap:Body>
</soap:Envelope>

 

Error numbers and the corresponding Error messages are also provided in the table below.

Error number

Error message

1

The range of dates that was provided is not valid. Only daily reports are available.

2

The file describing the internet robots is not accessible

3

The report is not yet available. The estimated time of completion is provided under "Data"

5. Normalisation

5.1. Double Clicks

If a single user clicks repeatedly on the same document item within a given amount of time, this should be counted as a single request. This measure is needed to minimise the impact of conscious falsification by authors. There appears to be some difference as regards the time-frame of double clicks. The table below provides an overview of the various timeframes that have been suggested.

COUNTER

10

seconds

sec for a HTML-resource; 30 sec for a PDF

LogEC

1 month

AWStats

1 hour

IFABC

30 minutes

 

Individual usage data providers should not filter doubles clicks. This form of normalisation should be carried out on a central level by the aggregator.

...

The "user" as defined in section 2 of this report is assumed to be a human user. Consequently, the focus of this document is on requests which have consciously been initiated by human beings. Automated visits by internet robots must be filtered from the data as much as possible.

 

Info
titleDefinition of a "robot" according to robotstxt.org

A robot is a program that automatically traverses the Web's hypertext structure by retrieving a document, and recursively retrieving all documents that are referenced.
- http://www.robotstxt.org/faq/what.html, also used as definition by (Geens, 2006), (Heinonen, 1996})

5.2.2. Strategy

It is decided to make a distinction between two 'layers' of robot filtering (see also figure 5):

...

To implement requirement 5, the following mechanism will be implemented:

6. Legal boundaries

6.1. Usage of IP addresses and the protection of a 'natural person'

...

Info

In these guidelines the IP addresses are pseudonymized using a Salted MD5 hash encryption.

Appendices

Code Block
xml
xml
titleAppendix A: Sample OpenURL Context Object File
linenumberstrue
collapsetrue

<?xml version="1.0" encoding="UTF-8"?>
	<context-objects xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance"
						xmlns
        xmlns:dcterms="http://dublincore.org/documents/2008/01/14/dcmi-terms/"
						xmlns
        xmlns:sv="info:ofi/fmt:xml:xsd:sch_svc"
						xsi
        xsi:schemaLocation="info:ofi/fmt:xml:xsd:ctx [http://www.openurl.info/registry/docs/info:ofi/fmt:xml:xsd:ctx]"
						xmlns
        xmlns="info:ofi/fmt:xml:xsd:ctx">
   		<context <context-object timestamp="2009-07-29T08:15:46+01:00" identifier="b06c0444f37249a0a8f748d3b823ef2a">

			<referent>
				<identifier>https        <referent>
            <identifier>https://openaccess.leidenuniv.nl/bitstream/1887/12100/1/Thesis.pdf</identifier>
				<identifier>http
            <identifier>http://hdl.handle.net/1887/12100</identifier>
			<        </referent>


			<referring-entity>
				<identifier>http        <referring-entity>
            <identifier>http://www.google.nl/search?hl=nl&amp;q=beleidsregels+artikel+4%3A84&amp;meta="</identifier>
				<identifier>info
            <identifier>info:sid/google</identifier>
			<
        </referring-entity>

        <requester>
            <identifier> data:,b505e629c508bdcfbf2a774df596123dd001cee172dae5519660b6014056f53a</identifier>

       			<requester>
				<metadata     <metadata-by-val>
					<format>http                <format>http://dini.de/namespace/oas-requesterinfo</format>
					<metadata>
					<requesterinfo
                <metadata>
                    <requesterinfo xmlns="http://dini.de/namespace/oas-requesterinfo">
						<hashed-ip>b505e629c508bdcfbf2a774df596123dd001cee172dae5519660b6014056f53a<requesterinfo">
                        <hashed-ip>data:,b505e629c508bdcfbf2a774df596123dd001cee172dae5519660b6014056f53a</hashed-ip>
						<hashed-c>d001cee172dae5519660b6014056f5346d05e629c508bdcfbf2a774df596123d<
                        <hashed-c>data:,d001cee172dae5519660b6014056f5346d05e629c508bdcfbf2a774df596123d</hashed-c>
						<hostname>uni
                        <hostname>uni-saarland.de</hostname>
						<classification>institutional</classification>
						<hashed
                        <classification>institutional</classification>
                        <hashed-session>660b14056f5346d0</hashed-session>
						<user                        <user-agent>mozilla/5.0 (windows; u; windows nt 5.1; de; rv:1.8.1.1) gecko/20061204</user-agent>
					</requesterinfo>
				</metadata>
			<
                    </requesterinfo>
                </metadata>
            </metadata-by-val>
		<
        </requester>


		<service        <service-type>
			<metadata
            <metadata-by-val>
				<format>http
                <format>http://dublincore.org/documents/2008/01/14/dcmi-terms/</format>
				<metadata>
					<dcterms:format>objectFile</dcterms:format>
				</metadata>
			<dcmi-terms/</format>
                <metadata>
                    <dcterms:format>info:eu-repo/semantics/objectFile</dcterms:format>
                </metadata>
            </metadata-by-val>
		<
        </service-type>

		<resolver>
			<identifier>http        <resolver>
            <identifier>http://www.worldcat.org/libraries/53238</identifier>
		<
        </resolver>

		<referrer>
			<identifier>info        <referrer>
            <identifier>info:sid/dlib.org:dlib</identifier>
		<        </referrer>

   	< </context-object>
</context-objects>
Code Block
xml
xml
titleAppendix B: Schema for Robot filter List
linenumberstrue
collapsetrue

<?xml version="1.0" encoding="UTF-8"?>
<xs:schema xmlns:xs="http://www.w3.org/2001/XMLSchema" elementFormDefault="qualified">

	<xs:element name="exclusions">
		<xs:complexType>
			<xs:sequence>
				<xs:element ref="sources"/>
				<xs:element ref="robot-list"/>
			</xs:sequence>
			<xs:attributeGroup ref="attlist.exclusions"/>
		</xs:complexType>
	</xs:element>

	<xs:attributeGroup name="attlist.exclusions">
		<xs:attribute name="version" type="xs:string"/>
		<xs:attribute name="datestamp" type="xs:date"/>
	</xs:attributeGroup>

	<xs:element name="sources">
		<xs:complexType>
			<xs:sequence>
				<xs:element ref="source" minOccurs="0" maxOccurs="unbounded"/>
			</xs:sequence>
		</xs:complexType>
	</xs:element>

	<xs:element name="source">
		<xs:complexType>
			<xs:simpleContent>
				<xs:extension base="xs:string">
					<xs:attribute name="id" type="xs:ID" use="required"/>
					<xs:attribute name="name" type="xs:string"/>
					<xs:attribute name="version" type="xs:string"/>
					<xs:attribute name="datestamp" type="xs:date"/>
				</xs:extension>
			</xs:simpleContent>
		</xs:complexType>
	</xs:element>

	<xs:element name="sourceRef">
		<xs:complexType>
			<xs:simpleContent>
				<xs:extension base="xs:string">
					<xs:attribute name="id" type="xs:IDREF" use="required"/>
				</xs:extension>
			</xs:simpleContent>
		</xs:complexType>
	</xs:element>

	<xs:element name="robot-list">
		<xs:complexType>
			<xs:sequence>
				<xs:element ref="useragent" minOccurs="0" maxOccurs="unbounded"/>
			</xs:sequence>
		</xs:complexType>
	</xs:element>

	<xs:element name="useragent">
		<xs:complexType>
			<xs:sequence>
				<xs:element ref="regEx"/>
				<xs:element ref="sourceRef" minOccurs="0" maxOccurs="unbounded"/>
			</xs:sequence>
		</xs:complexType>
	</xs:element>

	<xs:element name="regEx" type="xs:string"/>

</xs:schema>
Code Block
xml
xml
titleAppendix C: Sample Robot filter list
linenumberstrue
collapsetrue

<?xml version="1.0" encoding="UTF-8"?>

<exclusions xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance"
			xsi:noNamespaceSchemaLocation="robotlist.xsd"
			version="1.0"
			datestamp="2010-04-10">

	<sources>
		<source id="l1" name="COUNTER" version="R3" datestamp="2010-04-01">COUNTER list of internet robotos</source>
		<source id="l2" name="PLOS">PLOS list of internet robotos</source>
	</sources>

	<robot-list>
		<useragent>
			<regEx>[^a]fish</regEx>
			<sourceRef id="l2"/>
		</useragent>
		<useragent>
			<regEx>[+:,\.\;\/-]bot</regEx>
			<sourceRef id="l2"/>
		</useragent>
		<useragent>
			<regEx>acme\.spider</regEx>
			<sourceRef id="l2"/>
		</useragent>
		<useragent>
			<regEx>Brutus\/AET</regEx>
			<sourceRef id="l1"/>
			<sourceRef id="l2"/>
		</useragent>
		<useragent>
			<regEx>Code\sSample\sWeb\sClient</regEx>
			<sourceRef id="l1"/>
		</useragent>

	</robot-list>

</exclusions>

 

https://www.surfgroepen.nl/sites/surfshare/ArticleWorkspace/Gedeelde%20documenten/OpenRepositories2010/posters/OR2010-PosterPresentation-DRAFT-Linking%20institutional%20repositories%20to%20the%20Open%20Data%20Web-Thomas%20Place,%20Maurice%20Vanderfeesten.pdf