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<article xmlns:xlink="http://www.w3.org/1999/xlink">
  <front>
    <journal-meta />
    <article-meta>
      <title-group>
        <article-title>Towards Interoperable Metadata Provenance</article-title>
      </title-group>
      <contrib-group>
        <contrib contrib-type="author">
          <string-name>Kai Eckert, Magnus Pfeffer</string-name>
          <email>eckert/pfeffer@bib.uni-mannheim.de</email>
          <email>pfeffer@bib.uni-mannheim.de</email>
          <xref ref-type="aff" rid="aff1">1</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Johanna V o¨lker</string-name>
          <email>voelker@informatik.uni-mannheim.de</email>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <aff id="aff0">
          <label>0</label>
          <institution>KR&amp;KM Research Group, University of Mannheim</institution>
          ,
          <addr-line>Mannheim</addr-line>
          ,
          <country country="DE">Germany</country>
        </aff>
        <aff id="aff1">
          <label>1</label>
          <institution>University Library, University of Mannheim</institution>
          ,
          <addr-line>Mannheim</addr-line>
          ,
          <country country="DE">Germany</country>
        </aff>
      </contrib-group>
      <abstract>
        <p>-Linked data has finally arrived. But with the availability and actual usage of linked data, data from different sources gets quickly mixed and merged. While there is a lot of fundamental work about the provenance of metadata and the commonly recognized demand for expressing provenance information, there still is no standard or at least best-practice recommendation. In this paper, we summarize our own requirements based on experiences at the Mannheim University Library for metadata provenance, examine the feasibility to implement these requirements with currently available (de-facto) standards, and propose a way to bridge the missing gaps. By this paper, we hope to obtain additional feedback, which we will feed back into ongoing discussions within the recently founded DCMI task-group on metadata provenance.</p>
      </abstract>
    </article-meta>
  </front>
  <body>
    <sec id="sec-1">
      <title>I. INTRODUCTION</title>
      <p>At the Mannheim University Library (MUL), we
recently announced a Linked Data Service1 (LDS). Our
complete catalog with about 1.4 million is made available
as RDF, with proper dereferenceable URIs and a
humanreadable presentation of the data as HTML pages. The
title records are linked to classification systems, subject
headings and to other title records. The Cologne
University Library made its catalog data available under a
creative commons CC-0 license, so we converted it to
RDF and made it available along our own catalog.</p>
      <p>The HTML view2 provides browsable pages for all
resources described in the RDF data. It fetches additional
statements when users click on the URIs, provided that
they are available by URI dereferencing. The resulting
statements are presented to the user within the LDS
layout and cannot be easily distinguished from the data
that is made available by the Mannheim University
Library itself. There is only a note about the “data space”,
basically indicating the domain where the dereferenced
URI resides.</p>
      <p>A good thing is that the service is totally
sourceagnostic and fetches and presents everything that is
available. With two clicks, the user gets subject data
from the library of congress (LoC), just because we use
the German subject headings and the German National</p>
    </sec>
    <sec id="sec-2">
      <title>1http://data.bib.uni-mannheim.de 2currently implemented with Virtuoso RDF-Mapper</title>
      <p>Library (Deutsche Nationalbibliothek, DNB) provides
skos:match statements to LoC subject headings (LCSH).</p>
      <p>A bad thing is that the service is totally
sourceagnostic (apart from the data-space notion). For example,
the DNB states on its website that the data is provided
only as a prototype, should only be used after a
consultation and not for commercial applications. The LCSH data
is public domain and freely available. But also within
our triple store, there are different datasets. The MUL
catalog is currently provided without a specific license,
as questions about the proper licensing still are discussed.
The data from the Cologne University Library has been
processed by us and the processed data is provided by a
the creative commons CC-0 license, too.</p>
      <sec id="sec-2-1">
        <title>A. Motivation</title>
        <p>Our predicament: We do want the LDS to be
sourceagnostic. But at the same time we want to know about
the license of the data that is displayed to the user, and
we want to present him with this information. Moreover,
besides license and source information, we also have
other information that we would like to make available to
the user or other applications in a reusable way. But the
current state of the art is that this information is either
not made available within the RDF datasets yet – the
case for DNB, LoC and our own data – or not in a
consistent way. For example, the data from the OCLC
service dewey.info3 contains licensing statements as part
of the RDF statements about a given resource (Ex. 1).
&lt;http://dewey.info/class/641/2009/08/about.en&gt;
a &lt;http://www.w3.org/2004/02/skos/core#Concept&gt;;
xhv:license</p>
        <p>&lt;http://creativecommons.org/licenses/by-nc-nd/3.0/&gt;;
cc:attributionName</p>
        <p>"OCLC Online Computer Library Center, Inc.";
cc:attributionURL &lt;http://www.oclc.org/dewey/&gt;;
...
skos:prefLabel "Food &amp; drink";
skos:broader</p>
        <p>&lt;http://dewey.info/class/64/2009/08/about.en&gt;;
cc:morePermissions
&lt;http://www.oclc.org/dewey/about/licensing/&gt;.</p>
        <p>Example 1: Provenance in dewey.info dataset</p>
        <p>As another example, the New York Times expresses
provenance outside the actual data record, more precisely
by means of statements about the data record (Ex. 2).
&lt;http://data.nytimes.com/46234942819259373803.rdf&gt;
foaf:primaryTopic</p>
        <p>&lt;http://data.nytimes.com/46234942819259373803&gt;
dcterms:rightsHolder</p>
        <p>"The New York Times Company"
...
cc:license</p>
        <p>&lt;http://creativecommons.org/licenses/by/3.0/us/&gt;
cc:attributionURL</p>
        <p>&lt;http://data.nytimes.com/46234942819259373803&gt;
cc:attributionName</p>
        <p>"The New York Times Company"
&lt;http://data.nytimes.com/46234942819259373803&gt;
...
a &lt;http://www.w3.org/2004/02/skos/core#Concept&gt;
...
skos:prefLabel "Faircloth, Lauch"
...</p>
        <p>Example 2: Provenance in New York Times dataset</p>
        <p>Our goal is to make this kind of information available
to the user in a consistent way. We respect all the
different licenses and do not want to make users believe
that all this data is provided by ourselves, without any
licensing information.</p>
        <p>
          Besides provenance information, we also need to
provide other information that further qualifies single
statements of the datasets. For example, in a past project we
automatically created classifications and subject headings
for bibliographic resources. We provide this data also via
the LDS which is very convenient and greatly facilitates
the reuse of the data. But automatically created results
often lack the desired quality, moreover the processes
usually provide further information, like a weight, rank
or other measures of confidence [
          <xref ref-type="bibr" rid="ref1">1</xref>
          ]. All this information
should also be provided to the user in a well-defined way.
        </p>
      </sec>
      <sec id="sec-2-2">
        <title>B. Data, Metadata, Metametadata, ...</title>
        <p>Data provided as RDF is not necessarily metadata in
a strict sense; in general it is data about resources. But in
many cases – and especially in the context of this paper
– the resources are data themselves, like books, articles,
websites or databases. In the library domain, the term
“metadata” is thus established for all the data about
the resources a librarian is concerned with – including,
but not restricted to bibliographic resources, persons and
subjects. This is the reason, why one cannot distinguish
easily between data and metadata in the context of RDF.
We therefore regard them as synonyms.</p>
        <p>Metadata is itself data and there are a lot of use-cases
where one wants to make further statements about
metadata, just as well as metadata provides statements about
data: who created the metadata, how was the metadata
created, ... – in general additional statements to further
qualify and describe the metadata. Thus we will refer
to this kind of additional information unambiguously as
“metametadata”.</p>
      </sec>
      <sec id="sec-2-3">
        <title>C. Metametadata Principles</title>
        <p>To achieve interoperability for accessing
metametadata, choosing a representation of the metametadata is
only the first, merely technical step. In our opinion, the
following principles and requirements have to be met to
achieve this type of interoperability:
1) Arbitrary metametadata statements about a set of
statements.
2) Arbitrary metametadata statements about single
statements.
3) Metametadata on different levels for each
statement or sets of statements.
4) Applications to retrieve, maintain and republish the
metametadata without data loss or corruption.
5) Data processing applications to store the
metametadata about the original RDF data.</p>
        <p>Requirements 1 - 3 address the technical requirements
that have to be met by the metadata format(s) in use.
They are met by RDF, but in RDF there are two distinct
approaches that can be used to represent metametadata:</p>
        <p>Reification: RDF provides a means for the
formulation of statements about statements, called reification. In
the RDF model, this means that a complete statement
consisting of subject, predicate and object becomes the
subject of a new statement that adds the desired
information.4</p>
        <p>
          Named Graphs: Another technique that can be used
to provide statements about statements are the “Named
Graphs”, introduced by Carroll et al. [
          <xref ref-type="bibr" rid="ref2">2</xref>
          ]. The Named
Graphs are not yet officially standardized and part of
RDF. They have to be considered work in progress,
but are already widely used by the community and can
already be considered as a kind of de-facto standard that
is likely to have a big impact on future developments in
4As a statement cannot be identified uniquely in RDF beside the
notion of S, P and O, a reification statement refers to all triples with
the given S, P and O. In our context, this ambiguity has no substantial
effects, as identical triples are semantically equivalent to duplicated
metadata that can be safely discarded as redundant information.
the RDF community.5 Named Graphs are an extension
of RDF, both on the model and syntax level. They allow
the grouping of RDF statements into a graph. The graph
is a resource on its own and can thus be further described
by RDF statements, just like any other resource. There
are extensions for SPARQL and N3 to represent and
query Named Graphs, but they are for example not
representable in RDF-XML.6
        </p>
        <p>To meet requirements 4 and 5, further conventions
among interoperable applications are needed that have
to be negotiated on a higher level and are (currently)
beyond the scope of RDF. By virtue of the following
usecases, we demonstrate that the technical requirements are
already met and that we only need some conventions to
represent such information in an consistent way – at least
as long as the official RDF standard does not address the
metametadata issue.</p>
      </sec>
    </sec>
    <sec id="sec-3">
      <title>II. EXAMPLE USE-CASES</title>
      <p>The following use cases7 are meant to be illustrating
examples, especially to emphasize the need for the
representation of arbitrary information – not only provenance
– about data on various levels, from whole datasets
over records to single statements or arbitrary groups of
statements.</p>
      <p>In this section, we develop a scenario where such
metametadata can be used to prevent information loss
while merging subject annotations from different sources.
We show that this is the key to make transparent use
of different annotation sources without compromises
regarding the quality of your metadata. In line with our
argumentation in this paper, we propose the storage of
metametadata to mitigate any information loss and allow
the usage of this information to achieve a better retrieval
experience for the users. With various queries, we show
that we can access and use the additional pieces of
information to regain a specific set of annotations that
fulfills our specific needs.</p>
      <p>
        This scenario focuses on the merging of manually
assigned subject headings with automatically assigned
5See http://www.w3.org/2004/03/trix/ for a summary. There are
already further extensions or generalizations of Named Graphs, like
Networked Graphs [
        <xref ref-type="bibr" rid="ref3">3</xref>
        ] that allow the expression of views in RDF
graphs in a declarative way. Flouris et al. propose a generalization
to maintain the information associated with graphs, when different
graphs are mixed [
        <xref ref-type="bibr" rid="ref4">4</xref>
        ]: Here, colors are used to identify the origin of
a triple, instead of names. A notion of “Color1+Color2” is possible
and the paper demonstrates, how reasoning can be used together with
these colored triples. Gandon and Corby published a position paper
[
        <xref ref-type="bibr" rid="ref5">5</xref>
        ] about the need for a mechanism like Named Graphs and a proper
standardization as part of RDF.
      </p>
      <p>
        6You can see the grouping of statements in a single RDF-XML file
as the notion of an implicit graph and use the URI of the RDF-XML
file to specify further statements about this graph, just like Ex. 2
7First published at the DC 2009 conference [
        <xref ref-type="bibr" rid="ref6">6</xref>
        ].
ones. Example 3 shows a DC metadata record with
subject annotations from different sources and additional
information about the assignments via RDF reification.
Note that we present the triples in a table and give them
numbers that are then used to reference them.
Example 3: Subject assignments by different sources
      </p>
      <p>There is one document (ex:docbase/doc1) with
assigned subject headings from two different sources. For
each subject assignment, we see that a source is specified
via a URI. Additionally, a rank for every assignment is
provided, as automatic indexers usually provide such a
rank. For example, a document retrieval system can make
direct use of it for the ranking of retrieval results. For
manual assignments, where usual no rank is given, this
could be used to distinguish between high quality subject
assignments from a library and, for example, assignments
from a user community via tagging.</p>
      <p>The statements #13 and #14 are used to further
qualify the source, more precisely, to indicate, if the
assignments were performed manually (ex:types/manual)
or automatically (ex:types/auto).</p>
      <sec id="sec-3-1">
        <title>A. Use-case 1: Merging annotation sets</title>
        <p>Usually, the statements from Example 3 are
available from different sources (as indicated) and might
also belong to different shells in the shell model. The
integration requires to merge them in a single store. An
interesting side-effect of the use of RDF and reification
is that the merged data is still accessible from every
application that is able to use RDF data, even if it is not
possible to make reasonable use of our metametadata.
This is demonstrated by the first query in Example 4,
which retrieves all subject headings that are assigned to
a document. As in RDF all statements are considered
identical that have the same subject, predicate and object,
every subject heading is returned that is assigned by at
least one source. In most cases, these completely merged
statements are not wanted. As promised, we show with
the second query in Example 4 that we are able to regain
all annotations that were assigned by a specific source
(here ex:sources/pfeffer).</p>
        <p>SELECT ?document ?value WHERE {</p>
        <p>?t rdf:subject ?document .
?t rdf:predicate dc:subject .
?t rdf:object ?value .
}
document subject
ex:docbase/doc1 ex:thes/sub40
ex:docbase/doc1 ex:thes/sub30
ex:docbase/doc1 ex:thes/sub20
SELECT ?document ?value WHERE {</p>
        <p>?t rdf:subject ?document .
?t rdf:predicate dc:subject .
?t rdf:object ?value .
?t ex:source &lt;ex:sources/pfeffer&gt; .
}
document
ex:docbase/doc1
ex:docbase/doc1
subject
ex:thes/sub40
ex:thes/sub30
source
ex:sources/pfeffer
ex:sources/pfeffer</p>
      </sec>
    </sec>
    <sec id="sec-4">
      <title>Example 4: Querying the merged statements</title>
      <sec id="sec-4-1">
        <title>B. Use-case 2: Extended queries on the merged annotations</title>
        <p>In the following we show two extended queries that
make use of the metametadata provided in our data store.
Usually, one does not simply want to separate annotation
sets that have been merged, but instead wants to make
further use of these merged annotations. For example,
we can provide data for different retrieval needs.</p>
        <p>The first query in Example 5 restricts the subject
headings to manually assigned ones, but they still can
originate from different sources. This would be useful if
we are interested in a high retrieval precision and assume
that the results of the automatic indexers decrease the
precision too much.</p>
        <p>The second query, on the other hand, takes automatic
assignments into account, but makes use of the rank that
is provided with every subject heading. This way, we
can decide to which degree the retrieval result should be
extended by lower ranked subject headings, be they
assigned by untrained people (tagging) or some automatic
indexer.</p>
      </sec>
    </sec>
    <sec id="sec-5">
      <title>III. RELATED WORK</title>
      <p>
        Early initiatives to define a vocabulary and
usageguidelines for the provenance of metadata was the
ACore [
        <xref ref-type="bibr" rid="ref7">7</xref>
        ] and based on it the proposal [
        <xref ref-type="bibr" rid="ref8">8</xref>
        ] for the
DCMI Administrative Metadata Working Group (http:
//dublincore.org/groups/admin/). The working group
finished its work in 2003 and presented the Administrative
Components (AC) in [
        <xref ref-type="bibr" rid="ref9">9</xref>
        ], that addressed metadata for
the entire record, for update and change and for batch
interchange of records. Both initiatives focused more on
the definition of specific vocabularies to describe the
provenance of metadata. There was not yet a concise
model to relate the metametadata with the metadata.
For example, there was only an example given, hot
to use the AC in an XML representation. This is not
SELECT DISTINCT ?document ?subject WHERE {
?t rdf:subject ?document .
?t rdf:predicate dc:subject .
?t rdf:object ?subject .
?t ex:source ?source .
?source ex:type ?type .
      </p>
      <p>FILTER ( ?type = &lt;ex:types/manual&gt; )
}
}
document subject type
ex:docbase/doc1 ex:thes/sub40 http://example.org/types/manual
ex:docbase/doc1 ex:thes/sub30 http://example.org/types/manual
SELECT DISTINCT ?document ?subject WHERE {
?t rdf:subject ?document .
?t rdf:predicate dc:subject .
?t rdf:object ?subject .
?t ex:source ?source .
?source ex:type ?type .
?t ex:rank ?rank .</p>
      <p>FILTER ( ?type = &lt;ex:types/manual&gt; || ?rank &gt; 0.7 )
document
ex:docbase/doc1
ex:docbase/doc1
ex:docbase/doc1
subject
ex:thes/sub40
ex:thes/sub30
ex:thes/sub30
Example 5: Ranked assignments and additional source
information
enough to enable applications the automatic integration
of these information without proper knowledge, how the
information is actually represented from a data model
perspective.</p>
      <p>
        An implementation with a clear semantic of metadata
provenance statements is included in the protocol for
metadata harvesting by the The authors (Rephrase with
cite) in [
        <xref ref-type="bibr" rid="ref10">10</xref>
        ] (OAI-PMH). But the provenance information
can only be provided for a whole set of metadata and
there is no easy way to extend it with other additional
information. The Open Archives Initiative provides with
Object Reuse and Exchange (ORE) another, more
abstract approach that addresses the requirement of
provenance information for aggregations of metadata [
        <xref ref-type="bibr" rid="ref11">11</xref>
        ].
ORE particularly introduces and motivates the idea to
give metadata aggregations specific URIs to identify
them as independent resources. Essentially, ORE
postulates the clear distinction between URIs identifying
resources and URIs identifying the description of the
resources. This is in line with the general postulation
of “Cool URIs”[
        <xref ref-type="bibr" rid="ref12">12</xref>
        ] and the proposed solution to the so
called httpRange-14 issue8.
      </p>
      <p>
        Hillmann et al. [
        <xref ref-type="bibr" rid="ref13">13</xref>
        ] considered the problem of
metadata quality in the context of metadata aggregation.
While mainly focused on the practical problems of
8httpRange-14 (http://www.w3.org/2001/tag/issues.html#
httpRange-14) was one (the 14th) of several issues that the Technical
Architecture Group (TAG) of the W3C had to deal with: “What
is the range of the HTTP dereference function?”Basically, the
problem is that if a URI identifies a resource other than a webpage
(non-information resource), then under this URI, no information
about the resource can be provided, because in this case, the URI
would also be the identifier for this information. The solution
is to use HTTP redirects in this case, as described in this mail:
http://lists.w3.org/Archives/Public/www-tag/2005Jun/0039.html
aggregation, the paper addresses the aspect of subsequent
augmentation with subject headings and changes the
emphasis from the record to the individual statement.
Noting provenance and means of creation on this level
of detail is considered necessary by the authors. They
proposed an extension of OAI-PMH to implement their
solution. [
        <xref ref-type="bibr" rid="ref14">14</xref>
        ] further expands on quality issues and
note inconsistent use of metadata fields and the lack of
bibliographic control among the major problems.
Preserving provenance information at the repository, record
or statement level is one of the proposed methods to
ensure consistent metadata quality.
      </p>
      <p>
        Currently, the W3C Provenance Incubator Group
(Prov-XG, http://www.w3.org/2005/Incubator/prov/)
addresses the general issue of provenance on the web.
The requirements abstracted from various use-cases are
summarized and further explained in by Zhao et al.
[
        <xref ref-type="bibr" rid="ref15">15</xref>
        ]. The conclusion of this paper is basically ours:
We need further standardization for the representation
of provenance information for interoperable
provenanceaware applications. They recommend that a possible next
RDF standard should address the provenance issue.
      </p>
      <p>
        Lopes et al. [
        <xref ref-type="bibr" rid="ref16">16</xref>
        ] emphasize the need for additional
information as well, they refer to them as annotations and
examine the need for annotations without consideration
of the actual implementation - be it reification or named
graphs. They come up with five types of annotations
– time, spatial, provenance, fuzzy and trust – that can
be seen as the most obvious use-cases for additional
information.
      </p>
      <p>
        A general model for the representation of provenance
information as well as a review of provenance-related
vocabularies is provided by The authors (Rephrase with
cite) in [
        <xref ref-type="bibr" rid="ref17">17</xref>
        ]. The model aims to represent the whole
process of data creation and access, as well as the
publishing and obtaining of the associated provenance
information.
      </p>
      <p>
        With the Open Provenance Model (OPM, http://
openprovenance.org/) exists a specification for a
provenance model that meets the following requirements [
        <xref ref-type="bibr" rid="ref18">18</xref>
        ]:
Exchange of provenance information, building of
applications on top of OPM, definition of provenance
independent from a technology, general applicability, multiple
levels of descriptions. Additionally, a core set of rules is
defined that allow to identify valid inferences that can be
made on the provenance representation.
      </p>
      <p>
        Finally, a comprehensive survey about publications
on provenance on the web was created by The authors
(Rephrase with cite) in [
        <xref ref-type="bibr" rid="ref19">19</xref>
        ], who also mentions
approaches to modeling provenance in OWL ontologies.
      </p>
      <p>
        The most powerful means to dealing with
metametadata in OWL is the use of higher-order logics, which
is supported, e.g., by OWL Full. However, as this type
of metamodeling comes at the expense of decidability
[
        <xref ref-type="bibr" rid="ref20">20</xref>
        ], weaker forms of metamodeling such as punning,
a restricted way of using identical names for different
types of entities (e.g. classes and individuals), have been
proposed by the OWL community. In OWL 2, annotation
properties can be used to make statements about entities,
axioms and even annotations, but as annotation properties
do not have a defined semantics in OWL, integrated
reasoning over the various layers of metadata requires
additional implementation effort [
        <xref ref-type="bibr" rid="ref21">21</xref>
        ]. Vrandecic et al. [
        <xref ref-type="bibr" rid="ref22">22</xref>
        ]
discuss different metamodeling options by virtue of
several use cases, including the representation of uncertainty
in ontology learning [
        <xref ref-type="bibr" rid="ref1">1</xref>
        ], as well as ontology evaluation
based on OntoClean (see also [
        <xref ref-type="bibr" rid="ref23">23</xref>
        ]). In addition to these
application scenarios, weak forms of metamodeling in
OWL are used, e.g., for including linguistic information
in ontologies [
        <xref ref-type="bibr" rid="ref24">24</xref>
        ], but only few of these approaches are
able to leverage the full power of logical inference over
both metadata and metametadata [
        <xref ref-type="bibr" rid="ref25">25</xref>
        ].
      </p>
    </sec>
    <sec id="sec-6">
      <title>IV. CONCLUSION</title>
      <p>This paper is meant as a discussion paper. We have
proposed five principles for the proper representation of
metametadata which, in our opinion, have to be met by
all source-agnostic, yet provenance-aware, linked data
applications.</p>
      <p>We have demonstrated that the technical requirements
can already been met, and that the remaining problem is
concerned with the establishments of conventions which
define best-practice recommendations. In particular, these
conventions should clarify how the metametadata is
actually represented – so that an application can become
aware of this metametadata, retrieve, maintain and
republish it in a proper way. Currently, there is no accepted
best-practice that follows our principles. We are involved
in the Metadata Provenance Taskgroup of the Dublin
Core Metadata Initiative9 which aims to develop such
best-practice recommendations in an as-open-as-possible
way. This is why we are seeking for feedback, ideas
and contributions to the ongoing discussions and the
outcomes of this task group – because we want metadata
provenance. Now!</p>
      <p>Acknowledgements. Johanna Vo¨lker is financed by
a Margarete-von-Wrangell scholarship of the European
Social Fund (ESF) and the Ministry of Science, Research
and the Arts Baden-Wu¨rttemberg.</p>
    </sec>
    <sec id="sec-7">
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