DOIHandbook-v4-4 | Digital Object Identifier | Uniform Resource Identifier

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The DOI® Handbook Edition 4.4.1 5 October 2006 doi ™ Please send any comments or questions to Dr Norman Paskin International DOI Foundation, Inc., 5 Linkside Avenue Oxford OX2 8HY United Kingdom Email: n.paskin@doi.org Tel: +44 (0) 1865 559070 Fax: +44 (0) 1865 853120 www.doi.org Copyright © 2006, International DOI Foundation, Inc., (IDF) DOI® and DOI.ORG® are registered trademarks and the DOI logo is a trademark of The International DOI Foundation. -1- Contents DOI® Glossary ...........
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    - 1 - The DOI ® Handbook Edition 4.4.1 5 October 2006 ™   Please send any comments or questions to Dr Norman PaskinInternational DOI Foundation, Inc.,5 Linkside AvenueOxfordOX2 8HYUnited KingdomEmail: n.paskin@doi.org  Tel: +44 (0) 1865 559070Fax: +44 (0) 1865 853120 www.doi.org  Copyright © 2006, International DOI Foundation, Inc., (IDF) DOI ® and DOI.ORG ® are registered trademarks and the DOI> logo is a trademark of The International DOIFoundation .   doi>    - 2 - Contents DOI ® Glossary ....................................................................................................................... 6   1   Introduction ................................................................................................................. 12   1.1   The DOI ® Handbook ................................................................................................. 12   1.2   Identification and the Internet ................................................................................... 13   1.3   What is an Identifier? ............................................................................................... 13   1.4 What is a DOI ® Name? .................................................................................................. 15   1.4.1 DOI names are persistent identifiers ......................................................................... 15   1.4.2   DOI names are actionable identifiers ................................................................... 15   1.4.3   DOI names are interoperable identifiers ............................................................... 16   1.4.4 Identifying at the appropriate level ........................................................................... 16   1.4.5 Identifying copies and versions ........................................................................... 17   1.5 Components of the DOI System ..................................................................................... 17   1.6 What can be identified by a DOI name? ........................................................................... 18   1.6.1   Intellectual property .......................................................................................... 18   1.6.2   Identification of abstractions ............................................................................... 19   1.6.3   Formal definition ............................................................................................... 19   1.6.4   Granularity ....................................................................................................... 19   1.7 Benefits of the DOI System to Publishers, Intermediaries, and users .................................. 20   1.7.1   Summary of benefits ......................................................................................... 20   1.7.2   Benefits in internal content management ............................................................. 21   1.7.3   Benefits in the distribution and sales life-cycle ...................................................... 21   1.7.4 Benefits in the production life-cycle ........................................................................... 22   1.7.5   Quantified benefits: case studies ......................................................................... 23   1.8   The DOI System as social infrastructure ...................................................................... 23   1.9 The DOI System as a managed system ........................................................................... 25   2 Numbering ....................................................................................................................... 27   2.1   Assigning numbers ................................................................................................... 27   2.2   The structure of a DOI name ..................................................................................... 27   2.2.1   The DOI name prefix ......................................................................................... 27   2.2.2   The DOI name suffix .......................................................................................... 28   2.3   Uniqueness ............................................................................................................. 29   2.4   Case sensitivity ........................................................................................................ 29   2.5   Character sets ......................................................................................................... 30   2.6   Publishing DOI names in print .................................................................................... 30   2.7   DOI System and Legacy Identifiers ............................................................................. 31   2.7.1   Using existing identifiers as a DOI Suffix .............................................................. 31   2.7.2 Using DOI names to relate existing legacy identifiers .................................................. 32   2.7.3 Benefits of using legacy identifiers with DOI names..................................................... 33   2.8   DOI System and check digits ..................................................................................... 34   2.9   DOI System and Internet identifier specifications ......................................................... 34   2.9.1   Generic identifier standards ................................................................................ 34   2.9.2   URI implementation ........................................................................................... 35   2.9.3   URN implementation .......................................................................................... 36   3   Resolution .................................................................................................................... 37   3.1   What is resolution? ................................................................................................... 37   3.2   Simple resolution ..................................................................................................... 37   3.3   Multiple resolution .................................................................................................... 38   3.4   Handle System technology ........................................................................................ 39   3.4.1 Overview ............................................................................................................... 39   3.4.2 Technical support of DOI name Resolution ................................................................. 39   3.4.3 Software support for use of DOI names ..................................................................... 40   3.4.4 Handle System RFCs ............................................................................................... 41   3.5   The DOI System and other actionable systems ............................................................ 41   3.5.1   Relationship between the DOI System and the Handle System ................................ 41   3.5.2 Relationship between the DOI System and other ―actionable identifier‖ systems ............. 41   3.6   The resolution interface with Handle System technology ............................................... 43   3.6.1 Native resolver ....................................................................................................... 43   3.6.2 Proxy server .......................................................................................................... 43   3.6.3 Other mechanisms .................................................................................................. 44   3.7   The maintenance of DOI name ―state data‖  ................................................................. 44   3.8   The development of services ..................................................................................... 45   3.9   DOI System and OpenURL ......................................................................................... 45   3.10 DOI names and Persistent URLs (PURLs) ....................................................................... 47   3.11 DOI System and the Domain Name System (DNS).......................................................... 48   4   DOI ® Data Model .......................................................................................................... 49   4.1 Overview of the DOI Data Model .................................................................................... 49   4.2 Aims of DOI Data Model policy ....................................................................................... 50   4.2.1 Interoperability....................................................................................................... 50   4.2.2 Administrative capability .......................................................................................... 51      - 3 -4.3 DOI Data Model tools .................................................................................................... 51   4.3.1 DOI Metadata Specification ...................................................................................... 51   DOI Kernel Metadata Declaration ...................................................................................... 52   4.3.2 DOI Kernel Declaration ............................................................................................ 53   4.3.3 indecs Data Dictionary (iDD) .................................................................................... 54   4.3.4 Referent Metadata Declaration (RMD) for metadata interchange ................................... 55   5   Applications ................................................................................................................. 58   5.1   Introduction ............................................................................................................ 58   5.2   Basic Approach: DOI names, DOI APs, and DOI System ® Services ................................. 58   5.3 Managing APs and Services ........................................................................................... 59   5.4   DOI Data Model and APIs .......................................................................................... 60   5.5   Management and administration of APs and Services .................................................... 62   5.5.1   Registration of APs and Services ......................................................................... 62   5.5.2   AP and Service Management............................................................................... 63   5.5.3   Ownership of Intellectual Property in DOI APs ...................................................... 64   5.6   Benefits .................................................................................................................. 64   6   Policy ........................................................................................................................... 65   6.1   Policy formulation .................................................................................................... 65   6.2   Current areas of policy development ........................................................................... 65   6.3   Current policies of the IDF ......................................................................................... 65   6.4   Data associated with a DOI name............................................................................... 67   6.5   Restricted use of the DOI System ............................................................................... 67   6.6   Exclusivity and restrictions ........................................................................................ 68   6.7   Ensuring persistence ................................................................................................ 69   6.7.1 Persistence of the DOI System ................................................................................. 69   6.7.2 Persistence of the IDF ............................................................................................. 70   6.7.3   Persistence of the resolution technology (Handle System ® ) .................................... 70   6.7.4   Persistence of the metadata technology ............................................................... 70   6.7.5   Acceptance by users .......................................................................................... 71   6.7.6   Persistence of the identified object ...................................................................... 71   6.8   Ensuring uniqueness................................................................................................. 72   6.9 Community autonomy .............................................................................................. 72   6.10   Separation of metadata, identifier, and entity .......................................................... 73   6.10.1   Separation of metadata and identifier ................................................................. 73   6.10.2 Separation of identifier from object ......................................................................... 73   6.11   Use of DOI names by services other than the srcinal publisher .................................. 74   7 The International DOI Foundation ................................................................................... 76   7.1   Origins and status .................................................................................................... 76   7.2   Business and organizational principles ........................................................................ 76   7.2.1   Cost recovery and its protection .......................................................................... 76   7.2.2   The creation of Registration Agencies .................................................................. 77   7.3   DOI System business model ...................................................................................... 77   7.4   DOI System Organisation model ................................................................................ 78   7.4.1   Initial model ..................................................................................................... 78   7.4.2 Future model .................................................................................................... 78   7.5   Relationships between Registration Agencies ............................................................... 79   7.6   The IDF as the DOI System Maintenance Agency ......................................................... 80   7.7   The IDF and DOI System development ....................................................................... 80   7.7.1   IDF Development process................................................................................... 81   7.7.2   TWG (Technical Working Group) ......................................................................... 81   7.7.3 RAWG (Registration Agencies Working Group). ..................................................... 82   7.7.4   Application Working Groups ................................................................................ 82   7.7.5   Governance of Working Groups ........................................................................... 83   7.7.6 Intellectual Property Rights and Working Groups ........................................................ 83   7.7.7   Disclosure of information in Working Groups ......................................................... 84   7.7.8 Working Group Agreements ..................................................................................... 84   7.7.9   Third party development .................................................................................... 85   7.8   IDF Email discussion lists .......................................................................................... 85   7.9   DOI System and Handle System ® development............................................................ 85   7.9.1   The Handle System Advisory Committee .............................................................. 85   7.9.2   Further development of related technology ........................................................... 85   7.10   DOI System and indecs development ...................................................................... 86   7.10.1   The initial indecs project (Dec 1998-June 2000) .................................................... 87   7.10.2   DOI   System-specific development (2001) ............................................................. 87   7.10.3   indecs as input to MPEG (2001-2003) .................................................................. 87   7.10.4   The indecs Data Dictionary (2003 onwards) .......................................................... 87   7.10.5   InterParty (2002-2003) ..................................................................................... 87   7.11 Alliances and liaisons with other organizations ............................................................... 88   7.11.1   Alliances and liaisons ......................................................................................... 88   7.11.2   Formal relationships ......................................................................................... 88   7.12   Governance of the DOI System .............................................................................. 90      - 4 -7.13   Membership of the International DOI Foundation ...................................................... 91   7.13.1 Benefits of membership ......................................................................................... 91   7.13.2 Classes of membership .......................................................................................... 92   7.13.3 Membership fees ................................................................................................... 93   7.14   Working with user communities .............................................................................. 93   8 Registration Agencies .................................................................................................. 95   8.1   How to obtain a DOI Prefix ........................................................................................ 95   8.1.1 Selecting a Registration Agency ................................................................................ 95   8.1.2 Registering a DOI ® name with the IDF....................................................................... 95   8.2 The role of Registration Agencies .................................................................................... 95   8.2.1 Overview ............................................................................................................... 95   8.2.2 Development of Registration Agency role ................................................................... 96   8.2.3 RA technical requirements ....................................................................................... 96   8.2.4 RA information management requirements ................................................................ 96   8.2.5 RA general requirements ......................................................................................... 97   8.2.6   Summary of functions ........................................................................................ 97   8.3 Business models for Registration Agencies ....................................................................... 98   8.4 Criteria for becoming a Registration Agency ..................................................................... 98   8.5 Formalizing the relationship between an RA and the IDF ................................................... 99   8.5.1 Current procedures ................................................................................................. 99   8.5.2 Future developments.............................................................................................. 100   8.6 Registration Agencies and IDF governance and policy ...................................................... 100   8.7 Use of DOI ® trademark in domain names ....................................................................... 101   8.8 Fee structure for Registration Agencies .......................................................................... 101   8.9   Operational and technical requirements for Registration Agencies ................................. 102   8.10 Registration Agency Local Handle Service (LHS) Operation ............................................. 104   8.10.1 Advantages of using a Local Handle Service at an RA ............................................... 104   8.10.2 DOI ® Handle Service configuration ......................................................................... 104   Figure 1 106   8.10.3 RA responsibilities ................................................................................................ 106   Figure 2 106   8.10.4 Prefix allocation and service configuration ............................................................... 106   9.   Operating procedures ................................................................................................ 108   9.1   Registering a DOI name with associated metadata ...................................................... 108   9.2   Prefix assignment.................................................................................................... 109   9.3   Transferring DOI names from one Registrant to another .............................................. 109   9.4   Handle System policies and procedures...................................................................... 110   9.4.1   Overview ........................................................................................................ 110   9.4.2 Policies and Procedures .......................................................................................... 111   9.4.3   Requirements for Administrators of Resolution Services ........................................ 111   9.4.4   Protocols and Interfaces .................................................................................... 111   9.5   DOI System ® error messages ................................................................................... 112   Appendix 1 Excerpt from ANSI/NISO Z39.84-2005 Syntax for the Digital Object Identifier......................................................................................................................................... 113   ANSI/NISO Z39.84-2005 Syntax for the Digital Object Identifier .......................................... 113   1. Introduction .............................................................................................................. 113   2.   Standards and References ................................................................................. 113   3.   Definitions ....................................................................................................... 113   4.   Format and Characteristics of the DOI ................................................................ 114   5.   Maintenance Agency ......................................................................................... 115   APPENDIX A DOI Specifications ........................................................................................ 115   APPENDIX B Designation of Maintenance Agency ............................................................... 115   APPENDIX C Examples of Digital Object Identifiers ............................................................. 116   APPENDIX D Related Standards and References ................................................................. 116   APPENDIX E Application Issues ........................................................................................ 117   Appendix 2   The Handle System ® ................................................................................. 119   A2.1 Handle System overview ............................................................................................ 119   A2.1.1 Introduction ........................................................................................................ 119   A2.1.2 History and Applications ....................................................................................... 119   A2.1.3 Need for a General Purpose Naming System............................................................ 119   A2.2 Handle Syntax .......................................................................................................... 121   A2.3 Handle System Architecture ........................................................................................ 122   A2.4 Handle System scalability ........................................................................................... 122   A2.4.1 Storage .............................................................................................................. 123   A2.4.2 Performance ........................................................................................................ 124   A2.5 Building Handle System applications - tools .................................................................. 124   A2.6 Conclusion ................................................................................................................ 125   A 2.7 References .............................................................................................................. 125   Appendix 3   DOI ® Data Model and sector applications.................................................. 127   A3.1   DOI Data Model and text applications .................................................................... 127   A3.2   DOI Data Model and learning object applications .................................................... 128  
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