NEW WORK ITEM PROPOSAL 26324 (DOI) · Date of presentation 2006-04-20 Reference number (to be given by the Secretariat) Proposer Intl. DOI Foundation ISO TC 46 / SC 9 N 447 rev Secretariat

FORM 4 (ISO) Page 1 of 2 Version 2001-07

NEW WORK ITEM PROPOSAL 26324 (DOI)

Date of presentation 2006-04-20

Reference number (to be given by the Secretariat)

Proposer Intl. DOI Foundation ISO TC 46 / SC 9 N 447 rev

Secretariat SCC

Proposal (to be completed by the proposer)

Title of proposal (in the case of an amendment, revision or a new part of an existing document, show the reference number and current title)

English title Information and documentation – Digital Object Identifier (DOI) system

French title (if available)

Information et documentation – Système de l'Identificateur d'objet numérique (DOI)

Scope of proposed project The scope of Project 26324 is to establish an international standard for the syntax, description and resolution components of the existing Digital Object Identifier (DOI®) system and the general principles for the creation, registration and administration of DOIs. The DOI can be applied to entities of any form (digital or physical) as well as abstractions (such as textual works).

The ISO DOI project is intended to complement existing ISO identifier schema which can be incorporated within the DOI syntax, thereby enhancing their interoperability across applications and providing actionability of the identifier within digital networks.

The DOI is not intended to replace existing ISO identifier schema (ISBN, ISSN, etc.). If a DOI application is envisaged for entities for which an ISO standard identifier scheme already exists, the recommended DOI practice is to incorporate the ISO standard identifier as the basis for the DOI string and associated metadata declaration.

Concerns known patented items (see ISO/IEC Directives Part 1 for important guidance) Yes No The IDF patent policy overview is available online at:

http://www.doi.org/news/050914PatentPolicynews.html

Envisaged publication type (indicate one of the following, if possible) International Standard Technical Specification Publicly Available Specification Technical Report

Purpose and justification (attach a separate page as annex, if necessary) The Digital Object Identifier (DOI) is a system for identifying content entities in the digital environment. It provides an actionable (resolvable) persistent interoperable identifier for entities used within digital networks. The simplest action is to locate the entity that the DOI identifies. A DOI can also specify the entity in greater detail by resolving to metadata about the identified entity. The referent of a DOI is any object in the digital environment. Referents can be entities of various types (e.g. abstract “works”, physical “manifestations”, performances, etc.) .

Using DOIs as identifiers facilitates the management of content entities in digital applications and automated transactions. The DOI system is already in widespread use, particularly in areas such as scientific publishing. Over 20 million DOIs have already been assigned by DOI registration agencies in the U.S.A., Europe and elsewhere. The DOI syntax was adopted as NISO standard Z39.84 in 2000 (and reaffirmed in 2005).

The DOI is interoperable with other identifiers which can be incorporated as integral parts of a DOI syntax string.

The proposed DOI standard will complement existing ISO identifier schema such as ISBN or ISSN. The DOI syntax can accommodate other identifiers, such as an ISBN or ISSN, in order to faciliate their use within the DOI resolution system and similar applications and enhance interoperability across digital networks.

Factsheets about various aspects of the DOI System are available at: http://www.doi.org/factsheets.html

Target date for availability (date by which publication is considered to be necessary): 2009-04-20 or earlier (i.e. ISO default 36-month standards development track)

Relevant documents to be considered --

New work item proposal 26324 (DOI)

FORM 4 (ISO) Page 2 of 2

Relationship of project to activities of other international bodies IETF specifications for the Handle System used by the DOI System; MPEG-21 Rights Data Dictionary; and <indecs> metadata framework, as referenced in the attached Working Draft.

Liaison organizations Registration Authorities for ISO TC46/SC9 identifier standards (e.g. Intl. ISBN Agency; ISSN Intl. Centre).

Need for coordination with: IEC CEN Other (please specify)

Preparatory work (at a minimum an outline should be included with the proposal)

A draft is attached An outline is attached. It is possible to supply a draft by --

The proposer or the proposer's organization is prepared to undertake the preparatory work required Yes No

Proposed Project Leader (name and address) Dr. Norman Paskin Director, International DOI Foundation 5 Linkside Avenue, Oxford OX2 8HY UNITED KINGDOM E-mail: [email protected] Phone: (+44) 1865 559070 Fax: (+44) 1865 853120

Name and signature of the Proposer (include contact information) Dr. Norman Paskin Director, International DOI Foundation E-mail: [email protected] Phone: (+44) 1865 559070 Fax: (+44) 1865 853120

Comments of the TC or SC Secretariat Supplementary information relating to the proposal

This proposal relates to a new ISO document;

This proposal relates to the amendment/revision of an existing ISO document;

This proposal relates to the adoption as an active project of an item currently registered as a Preliminary Work Item;

This proposal relates to the re-establishment of a cancelled project as an active project.

Voting information The ballot associated with this proposal comprises a vote on:

Adoption of the proposal as a new project

Adoption of the associated draft as a committee draft (CD) (see ISO Form 5, question 3.3.1)

Adoption of the associated draft for submission for the enquiry vote (DIS or equivalent) (see ISO Form 5, question 3.3.2)

Other: P-members are required to vote on whether they agree to advance the attached Working Draft to the start of the Committee Draft stage (question 3.3.1 on the voting form) or to the start of the Enquiry stage as a Draft International Standard (question 3.3.2 on the voting form).

Comments on the attached Working Draft are also invited from all member bodies and liaison organizations.

If this NWI proposal is approved, a new ISO TC46/SC 9 Working Group will be established for Project 26324. Nominations to the Working Group are invited from ISO TC46/SC9 P-members and liaison organizations.

Annex(es) are included with this proposal:

Annex A: Working Draft 26324

Date of circulation

2006-04-20

Closing date for voting

2006-07-20

Signature of the TC or SC Secretary

[original signed by Jane Thacker]

Jane Thacker for the ISO TC 46/SC 9 Secretariat

© ISO 2006 – All rights reserved

Document type: International Standard Document subtype: Document stage: (20) Preparatory Document language: E

ISO TC 46/SC 9 N 447 Date: 2006-04-20

ISO/WD 26324

ISO TC 46/SC 9

Secretariat: SCC

Information and documentation — Digital Object Identifer (DOI) system

Information et documentation — Système de l'Identificateur d'objet numérique (DOI)

Warning

This document is not an ISO International Standard. It is distributed for review and comment. It is subject to change without notice and may not be referred to as an International Standard.

Recipients of this draft are invited to submit, with their comments, notification of any relevant patent rights of which they are aware and to provide supporting documentation.

ISO/WD 26324

ii © ISO 2006 – All rights reserved

Copyright notice

This ISO document is a working draft or committee draft and is copyright-protected by ISO. While the reproduction of working drafts or committee drafts in any form for use by participants in the ISO standards development process is permitted without prior permission from ISO, neither this document nor any extract from it may be reproduced, stored or transmitted in any form for any other purpose without prior written permission from ISO.

Requests for permission to reproduce this document for the purpose of selling it should be addressed as shown below or to ISO's member body in the country of the requester:

ISO copyright office Case postale 56 • Ch-1211 Geneva 20 Tel. + 41 22 749 01 11 Fax + 41 22 749 09 47 E-mail [email protected] Web www.iso.org

Reproduction for sales purposes may be subject to royalty payments or a licensing agreement.

Violators may be prosecuted.

ISO/WD 26324

© ISO 2006 – All rights reserved iii

Contents Page

Foreword .........................................................................................................................................................iv Introduction......................................................................................................................................................v 1 Scope...................................................................................................................................................1 2 References...........................................................................................................................................1 3 Terms and definitions ........................................................................................................................1 4 Syntax of a DOI ...................................................................................................................................2 5 Assignment of DOIs............................................................................................................................3 6 Resolution of DOIs..............................................................................................................................3 7 Administration of the DOI system .....................................................................................................4 8 DOI metadata.......................................................................................................................................6 9 Validation of DOIs ...............................................................................................................................9 Annex A (informative) The Handle System..................................................................................................10 Annex B (informative) The DOI system in relation to other ISO identifiers for content entities..............11 Bibliography...................................................................................................................................................13

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iv © ISO 2006 – All rights reserved

Foreword

ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International Standards is normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee has been established has the right to be represented on that committee. International organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.

International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.

The main task of technical committees is to prepare International Standards. Draft International Standards adopted by the technical committees are circulated to the member bodies for voting. Publication as an International Standard requires approval by at least 75 % of the member bodies casting a vote.

Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights.

ISO 26324 was prepared by Technical Committee ISO/TC 46, Information and documentation, Subcommittee SC 9, Identification and description.

Annex A is for information only.

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© ISO 2006 – All rights reserved v

Introduction

The Digital Object Identifier (DOI) is a system for identifying content objects in the digital environment. Each DOI is a name that is permanently assigned to an entity for use on digital networks, to provide current information about that entity, including where the entity (or information about it) can be found on the Internet. Although the Information about a digital object may change over time, including where to find it, its DOI will not change.

The Digital Object Identifier and its associated registration and resolution system (the DOI system) is used to provide a framework for persistent unique identification, managing content, managing metadata, and facilitating electronic transactions. DOIs can be used for the persistent unique identification of any form of any data, in commercial or non-commercial transactions. Using DOIs as identifiers provides resolvable, persistent, semantically interoperable identification of entities in a networked environment, and allows the construction of automated services and transactions.

The DOI system consists of four main components: syntax; description; resolution; and administration. Syntax is the specification ensuring that a unique character string is assigned to the object that the DOI identifies. Description, in the form of metadata, is a registered set of elements that describe the object that has been identified with a DOI. This description is accessible via records stored in the resolution system for the DOI. Resolution consists of making the identifier “actionable” by providing current information about the entity to which the DOI resolves. This is done by the action of retrieving a record from the resolution system and operating on that record in such a way as to provide specific services to users. Administration consists of the organizational structure, policies and rules which govern the operations of the DOI system.

The purpose of the DOI system is to function as an actionable (resolvable) persistent interoperable identifier. The simplest action is to locate the object that the DOI identifies. A DOI can also specify the object in greater detail by resolving to metadata about the identified object. The referent of a DOI is any object in the digital environment. The referent objects can be entities of various types (e.g. abstract “works”, physical “manifestations”, performances) that are not directly accessible in the form of a digital file or other manifestation; therefore there is a distinction in the DOI system between what a DOI identifies and what it may resolve to.

The DOI is interoperable with other identifiers which can be incorporated as integral parts of a DOI syntax string. The relationship of the DOI to other ISO identifiers for content entities is described in Annex B.

The metadata elements specified in the DOI system are mapped through a Data Dictionary which is developed on the same principles as, and includes a subset of, the ISO MPEG 21 Rights Data Dictionary specified in ISO/IEC 21000-6. Compatibility with this data dictionary provides semantic interoperability between DOI metadata and the metadata element sets used by other systems which are similarly mapped through that data dictionary.

WORKING DRAFT ISO/WD 26324

© ISO 2006 – All rights reserved 1

Information and documentation — Digital Object Identifer (DOI) system

1 Scope

This International Standard specifies the syntax, description and resolution components of the Digital Object Identifier (DOI®)1) system and the general principles for the creation, registration and administration of DOIs.

A DOI may be used to identify entities of any form (digital or physical) as well as abstractions (such as textual works). Any entity of interest in an intellectual property transaction may be assigned a DOI when there is a need to identify that entity as a separate object, and provided that the entity is capable of being described in a DOI metadata declaration.

The DOI syntax may incorporate other identifiers, such as an ISBN or ISSN, in order to enable their use within the DOI resolution system and related digital applications. The DOI is not intended as a replacement for existing ISO standard identifiers for content entities. The relationship of the DOI to such identifiers is described in Annex B.

2 References

The following referenced documents are indispensable for the application of this document. For dated references, only the edition cited applies. For undated references, the latest edition of the referenced document (including any amendments) applies.

ISO/IEC 10646:2003, Information technology -- Universal Multiple-Octet Coded Character Set (UCS)

3 Terms and definitions

For the purposes of this document, the following terms and definitions apply.

3.1 referent content object identified by a specific DOI.

NOTE - The referent of a DOI may be a digital object, a physical object, or an abstraction.

3.2 resolution process of submitting an identifier to a network service and receiving in return one or more pieces of current information related to the identified object.

3.3. metadata data that defines and describes a relationship between two referents.

1) DOI is a registered trademark of the International DOI Foundation.

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2 © ISO 2006 – All rights reserved

4 Syntax of a DOI

4.1 General

The DOI syntax is made up of a prefix element and a suffix element. The prefix and suffix elements are separated by a forward slash. There is no defined limit on the length of the DOI or either of its prefix and suffix elements.

The DOI is case insensitive and may incorporate any printable characters from the Universal Character Set (UCS-2) of ISO/IEC 10646.

The combination of a unique prefix element assigned to a particular DOI registrant and a unique suffix element provided by that registrant ensures that each DOI is unique and enables the de-centralized allocation of DOI numbers.

The DOI is an opaque string (a dumb number). Therefore no definitive information should be inferred from the specific character string used for a DOI. In particular, the fact that a DOI prefix contains a Registrant code issued to a specific organization does not provide evidence of the ownership of rights, or current management responsibility, of any intellectual property.

The DOI prefix is composed of a two-digit Directory indicator followed by a Registrant code. These two components shall be separated by a full stop (period).

EXAMPLE 10.1000

The Directory indicator shall be "10". The Directory indicator distinguishes the entire character string (prefix and suffix) as a Digital Object Identifier within the resolution system.

The second element of the DOI prefix shall be the Registrant code. The Registrant code is a unique alphanumeric string assigned to an organization that wishes to register DOIs. The Registrant code is assigned by the Registration Authority through a DOI registration agency. Once a DOI is assigned its Registrant code element shall not be changed regardless of any changes in the ownership or management of the referent object. Therefore, the original registrant may no longer have any role in maintaining a DOI and its associated records even though its Registrant code remains a permanent element of that DOI.

The Registrant code may be further divided into sub-elements if desired. Each sub-element of the Registrant Code shall be preceded by a full stop. Such sub-division implies no hierarchical relationship; each prefix string, whether subdivided or not, has equal status in the DOI system. Sub-divided prefixes may have technical resolution implications and registrants should consult the Registration Authority for further information before allocating sub-divisions.

EXAMPLE 10.1000.10

4.2 DOI suffix

The DOI suffix follows the prefix element and shall be separated from it by a forward slash. It shall consist of an alphanumeric character string of any length chosen by the registrant. Each suffix, however, shall be unique to the prefix element that precedes it.

EXAMPLE 1 Showing a DOI with the prefix element “10.1000” and the suffix element “123456”

10.1000/123456

The unique suffix may be a sequential number or it may incorporate an identifier generated from or based on another system used by the registrant (e.g. ISBN, ISSN, ISTC).

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EXAMPLE 2 Showing a DOI with the prefix "10.1037" and a suffix incorporating the ISSN 0003-066X for the journal American Psychologist in which the article identified by this DOI was published

10.1037/0003-066X.59.1.29

Registration Agencies may specify more constrained rules for the allocation or construction of suffixes for their DOI services. Where specified, these rules shall be compatible with the overall syntax specification and shall not form part of this ISO standard.

5 Assignment of DOIs

5.1 A DOI may be assigned to any entity of intellectual property, in any form including as an abstract work, whenever there is a need to distinguish it as a separate entity, and regardless of the extent to which it may be a component part of some larger entity. For example, separate DOIs may be assigned to: a novel as an abstract work; a specific edition of that novel; a specific chapter within that edition of the novel; a single paragraph; a specific image or quotation; as well as to each specific manifestation in which any of those entities are published or otherwise made available, or any other level of granularity which a registrant deems to be appropriate. The provision of registered DOI Resource Metadata Declaration may be necessary for disambiguation of such related referents.

5.2 Each DOI shall identify one unique referent in the DOI system. It is a recommended practice, but not a technical requirement, that each referent has only one DOI. Where multiple DOIs are assigned to the same referent, e.g. through assignment of DOIs by two different registration agencies, the Registration Authority will encourage registration agencies to provide a unifying record for that referent.

5.3 The DOI is a persistent identifier. The DOI and its referent are unaffected by changes in the ownership or changes in the rights associated with the entity to which the DOI has been assigned. Similarly the DOI does not change if there is a change in the management responsbility of the referent object.

5.4 Assignment of a DOI shall require the Registrant to submit a DOI Resource Metadata Declaration describing the entity to which the DOI is being assigned in accordance with metadata specifications established by the DOI Registration Authority. The Resource Metadata Declaration shall describe the entity to the degree that is necessary to distinguish it as a separate entity within the DOI system. In certain cases it is allowable for no metadata declaration to be made; however recommended practice is to make a metadata declaration in accordance with metadata specifications established by the DOI Registration Authority.

6 Resolution of DOIs

The technology used to manage the resolution of the DOI shall be the Handle System as defined in RFC 3650, RFC 3651 and RFC 3652 of the Internet Engineering Task Force (IETF). Further information on the Handle System is provided in Annex A.

Resolution is the process of submitting a specific DOI to a networked service within the DOI system and receiving in return the associated values held in the DOI handle record for one or more types of data relating to the object identified by that DOI. This may include types of data such as a URL, an e-mail address, another DOI, and descriptive metadata.

Figure 1 illustrates the flow of data involved in DOI resolution. The process is initiated when a client application, on behalf of a user, submits a resolution request to a DOI Resolver asking for the data, or a specific type of data, associated with a DOI. The DOI Resolver retrieves records from the Handle system for that DOI and then acts upon that DOI record and any additional data provided in the client's resolution request to produce an appropriate outcome for the client request.

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Figure 1 – Flow of data involved in DOI resolution

A single DOI may be associated with multiple values of the same type of data (e.g. several URLs) as well as multiple values of different types of data (e.g. several e-mail addresses and several URLs). The DOI system supports multiple resolution, meaning that a single DOI can resolve to different configurations of data depending on the way in which the resolution system is queried. Using multiple resolution, a DOI may respond to a resolution request with a number of different associated values. Specifications for the construction of multiple value DOI resolution records and associated services are defined in a data model available from the Registration Authority. Resolution requests may return all associated values of current information, individual values, or all values of one data type. These associated values can be displayed in a menu in a client application, from which the user may select the desired value. A client application may be constructed and deliver messages to a user wherein the messages are constructed from a syntax that allows the user to select the desired value. In addition these values may be processed automatically to achieve the objective of the resolution system.

The CNRI Handle System Resolver is a web browser extension, or plug-in, that enables browsers to recognize the handle protocol and communicate directly with the Handle System to resolve handles to their associated URLs. Without the plug-in, web browsers may be directed to a proxy server, a client software that understands the handle protocol,to resolve the handle to a URL. Attaching a handle to a proxy URL will permit any browser to use the client to resolve that handle. CNRI maintains proxy client servers including "hdl.handle.net" and "dx.doi.org"; a public DOI proxy client is available at: http://dx.doi.org.

7 Administration of the DOI system

7.1 General

The Registration Authority for this International Standard shall be the International DOI Foundation (IDF)2) .

The DOI system shall be administered by the International DOI Foundation and by appointed DOI registration agencies in accordance with the specifications outlined in 7.2 and 7.3.

7.2 Registration Authority

The Registration Authority shall perform the functions and provide the services described in a) to h) below.

a) Promote, co-ordinate and supervise the DOI system in compliance with the specifications of this International Standard.

2) International DOI Foundation. E-mail: [email protected]. Web site: www.doi.org.

Handle system

DOI Resolver

Client Application

Outcome

Resolution request

data retrieval

DOI resolution

Resolver output

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b) Appoint appropriate organizations as DOI registration agencies and revoke such appointments as necessary.

c) Allocate unique DOI prefixes to registrants via registration agencies and maintain an accurate register of the registration agencies and DOI prefixes that have been assigned.

d) Secure the maintenance of DOIs and associated DOI resolution records through the maintenance of a single logical directory of all registered DOIs, i.e. the DOI Directory, an instance of a Local Handle Service.

e) Secure the registration and mapping of DOI metadata through the maintenance of a Data Dictionary.

f) Develop, implement, monitor and enforce policies and procedures governing the operations of DOI registration agencies and the process of DOI registration by those agencies, including rules for the transfer of records and data to ensure persistence of DOIs and interoperability within networks of DOI users.

g) Establish and maintain a data model and associated policies for the DOI system that:

1) promotes the interoperability of DOI information and transactions among independent systems within networks of DOI users;

2) ensure minimum standards of quality of administration of DOIs by registration agencies, and facilitate the administration of the DOI system as a whole.

h) Review and decide on appeals of decisions made by DOI registration agencies in such matters as:

1) rejection of DOI applicants

2) disputes concerning the appropriateness of assignments of DOI.

i) Develop, maintain and make available documentation for users of the DOI system.

7.3 DOI registration agencies

7.3.1 A DOI registration agency shall perform the functions and provide the services described in a) to e) below.

a) Provide services for the initial registration and subsequent maintenance of DOIs and associated metadata declarations in conformance with, and subject to, the rules of the Registration Authority, using the DOI resolution system and data management policies specified by the Registration Authority.

b) Support the verification of a participant in the DOI system. This verification may comprise capturing and verifying the participant’s credentials. The credentials may comprise a username and password.

c) Allocate unique DOI prefixes to registrants and maintain an accurate register of the DOIs that have been assigned by those registrants.

d) Support the distributed deployment of the public default resolution service(s) as specified by the Registration Authority.

e) Provide the capability to produce a DOI Kernel Metadata Declaration for each DOI issued.

7.3.2 If a registration agency chooses to maintain its own directory for DOIs assigned by the registrants to which it has allocated a DOI prefix, the registration agency shall mirror that service in the directory referenced in 7.2.d) above, thereby ensuring that the resolution information for every DOI issued is available in the DOI Directory maintained by the Registration Authority.

7.3.3 If a registration agency chooses to operate its own data dictionary or maintain a mirrored copy of the Registration Authority's data dictionary, such service shall at a minimum perform the same functions as the

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public DOI data dictionary and shall comply with the policies and procedures specified by the Registration Authority regarding the maintenance and safekeeping of DOI metadata.

7.3.4 Metadata exchanged between registration agencies to support DOI services should be exchanged using an agreed DOI Resource Metadata Declaration (see 8.3) for the Resource or Service type. Proprietary terms (data elements and values) used by registration agencies in Kernel and Resource Metadata Declarations should be registered in the Registration Authority's Data Dictionary.

7.4 Registrants

Each DOI registrant shall agree to ensure the outcomes described in a) to b) below:

a) that each suffix element assigned within their Registrant code is unique thereby ensuring that each DOI is unique within the DOI system.

b) that each DOI they assign is registered with the required Metadata Declaration in the DOI resolution system, following the specifications established by the International DOI Foundation and any further rules of the appropriate Registration Agency.

8 DOI metadata

8.1 General

The DOI data model policy is concerned with the internal management and exchange of metadata between registration agencies and is designed to achieve two aims:

a) To promote interoperability within networks of DOI users by enabling independent systems to exchange information and initiate actions from each other in transactions involving DOIs. DOI metadata supports interoperability through the use of items of “reference descriptive” metadata associated with one identifier in the context of another identifier;

b) To ensure minimum standards of quality of administration of DOIs by registration agencies, and facilitate the administration of the DOI system as a whole.

8.2 Registration of DOI metadata

Each DOI references a registered set of metadata about the referent entity which is being identified. Resolution of a DOI involves the retrieval of a record which includes reference to metadata that identifies the object by describing it.

A DOI registration agency shall be responsible for collecting input metadata about the entity to which a DOI is being assigned and shall ensure that such input metadata is registered promptly and accurately in the DOI system. This input metadata shall meet the minimum requirements of the DOI Kernel Metadata Declaration (see 8.3).

A DOI registration agency shall also provide output metadata to support the services of the DOI system, using some or all of the input metadata it has collected.

There are no restrictions on the form and content of a registration agency's input and service metadata declarations, other than input metadata must support the minimum requirements implicit in the DOI Kernel. DOI registration agencies may specify their own metadata schemes and messages, or use any existing schemes in whole or part for their input and service metadata declarations.

DOI resolution records may include one or more URLs, where the object may be located and other information provided about the entity to which a DOI has been assigned, including: names, identifiers, descriptions, types, classifications, locations, times, measurements, and relationships to other entities.

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The Registration Authority shall provide a Data Dictionary as the repository for all data elements and allowed values used in DOI metadata specifications. The Data Dictionary enables the definition and ontology of all metadata elements to be available to all registration agencies, and provides the necessary mappings to support metadata integration and transformations required for data interchange between registration agencies. For example, if an RA wishes to consolidate metadata provided by several other registration agencies for a specific service, the Data Dictionary will provide the data mappings required to enable the registration agency to present the consolidated metadata as if from a single set. The Data Dictionary also contains mappings of other schemes such as ONIX, the ISO/IEC 21000-6 Rights Data Dictionary, and the ISO codes for territories, currencies and languages. Further information about the Data Dictionary is available from the Registration Authority.

All allowed values used by a registration agency in its Kernel Metadata (see 8.3), and all data elements used by a registration agency when mapping to a DOI Resource Metadata Declaration RMD (see 8.4), shall be registered in the Data Dictionary.

8.3 DOI Kernel Metadata Declaration

Table 1 shows the basic descriptive elements in a DOI Kernel Metadata Declaration, also known as the DOI Kernel. The formal specification of the DOI Kernel Metadata Declaration is given in an XML schema maintained by the Registration Authority.

Kernel element(s) Comment

DOI Specific DOI allocated to the identified referent.

resourceIdentifier(s) Other identifier commonly referenced with the referent (e.g. ISBN, ISTC).

resourceName(s) Name by which the referent is usually known (e.g. title).

principalAgent(s), agentRole(s) Entity that is principally responsible for the creation or publication of the referent with specification of that agent's role.

StructuralType Specification of type of fixation, expression or abstraction (e.g. physical fixation, digital fixation, performance, abstract work), using values specified by the Registration Authority.

mode(s) Specification of medium of expression (e.g. audio, visual, audiovisual, abstract), using values specified by the Registration Authority.

ResourceType Specification of type of resource (e.g. an audio file, scientific journal, musical composition, dataset, serial article, eBook, pdf etc), using values specified by the Registration Authority.

Table 1 – Descriptive elements of the DOI Kernel Metadata Declaration

Table 2 shows the basic administrative elements in a DOI Kernel Metadata Declaration. These elements relate to the issuance of the DOI and to the registration record itself.

Kernel element Comment

RegistrationAgency Name of the registration agency which issued this DOI.

IssueDate Date when this DOI was issued.

IssueNumber Number or other designation associated with the specific version identified.

Table 2 – Administrative elements of the DOI Kernel Metadata Declaration

The Registration Authority shall specify the Kernel elements that will be used in common by all DOI registration agencies and shall issue prescribed sets of allowed values for such elements. For other elements

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and sub-elements, DOI registration agencies may develop and use their own choice of values as needed. However, each DOI registration agency shall register such value sets in the data dictionary specified by the Registration Authority in order to facilitate the integration of DOI data from different sources by a common application.

8.4 DOI Resource Metadata Declaration (RMD)

A DOI Resource Metadata Declaration (RMD) is a form of message designed specifically for the exchange of metadata between DOI registration agencies to support their service requirements. It is developed by two or more registration agencies in accordance with format and schema specifications established by the Registration Authority.

The RMD uses a generic metadata structure of ten basic data element classes, developed from the <indecs> framework model which also underlies the MPEG Rights Data Dictionary specified in ISO/IEC 21000-6 and which was designed to incorporate all types of Resource metadata in a structured and flexible way.

Table 3 shows the ten RMD basic elements, and to which class each of the more specialized Kernel elements belong. Specific data elements within an RMD may be established for individual registration agencies or defined application profiles, thereby allowing the same RMD to be used flexibly within a broad community of interest.

A RMD shall be available for use by any registration agency and any registration agency may contribute to the editorial development of the RMD.

RMD element class Comments Includes RMD Kernel elements

Identifier Unique name(s) by which the referent is known

DOI, resourceIdentifier

name Non-unique name(s) by which the referent is known

resourceName

annotation Description of the referent

quantity Extent (measurements) of the referent

category Type of resource of the referent structuralType, resourceType, mode

context Specific action involving the referent

agent Person or organization who performed a specific action on or with the referent

primaryAgent, agentRole

time Date and time that a specific action involving the referent occurred

place Location where a specific action involving the referent occurred

resource Other referent(s) related to the identified referent

Table 3 – RMD basic element classes

RMDs may incorporate data elements, allowed values, codes, etc. from any other standard or proprietary message or metadata schemes (e.g. ONIX or MARC). ISO codes and formats for languages, territories, currencies, measures, dates and times shall be used where applicable.

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All element types and allowed values for an RMD shall be registered in the Data Dictionary specified by the Registration Authority. A registration agency that wishes to make use of a RMD shall register the corresponding data elements and values in its own database to ensure reliable mapping by other RAs.

Registration agencies may use existing standards to communicate metadata between them when suitable. For example, if two registration agencies are providing services requiring ONIX metadata, they may agree to communicate with each other using the ONIX message format.

9 Validation of DOIs

Each DOI registration and its associated metadata may be subject to verification at intervals determined by the relevant DOI registration agency. Verification shall include actions to determine the outcome and validity of a resolution request performed on a DOI.

Registration agencies shall also be responsible for validating information on registrants and participants in the DOI system which may comprise the capture and verification of credentials such as a user name and password.

Registration agencies should ensure that the outcome of any verification checks is accurately reflected in the resolution record and/or metadata associated with a specific DOI in the DOI system.

ISO/WD 26324


Annex A (informative)

The Handle System

A.1 General description of the Handle System

The DOI system uses an implementation of the Handle System for the resolution of DOIs. The Handle System is a comprehensive system for assigning, managing, and resolving persistent identifiers, known as "handles," for digital objects and other resources on the Internet. Handles can be used as Uniform Resource Names (URNs).

The Handle System includes an open set of protocols, a namespace, and a reference implementation of the protocols. The protocols enable a distributed computer system to store names, or handles, of digital resources and resolve those handles into the information necessary to locate, access, and otherwise make use of the resources. That information can be changed as needed to reflect the current state and/or location of the identified resource without changing the handle. This allows the identification of the item to persist over changes of its location and other associated information. Each handle may have its own administrator(s) and administration of these handles can be done in a distributed environment. The name-to-value bindings may also be secured, allowing handles to be used in trust management applications.

Implementation of the Handle System consists of Local Handle Services, each of which is made up of one or more sites which provide the servers that store specific handles. The Global Handle Registry® is a unique Local Handle Service which stores information on the naming authorities within the Handle System and can be queried to find out where specific handles are stored on other Local Handle Services within this distributed system.

Information on the Handle System is available at: http://www.handle.net.

ISO/WD 26324


Annex B (informative)

The DOI system in relation to other ISO identifiers for content entities

The DOI system is a mechanism for making numbering schemes actionable in digital networks. As such, the DOI system can complement existing ISO identifier schema by providing additional functionality and interoperability within digital networks. The DOI is not intended as a replacement for other ISO standard identifiers such as the International Standard Book Number (ISBN) and International Standard Serial Number (ISSN).

The DOI system is a mechanism for making numbering schemes actionable and interoperable in digital applications. It comprises a working system made up of the following components:

a) rules for creating a unique identifier string which optionally incorporate an existing numbering scheme as valid DOI syntax;

b) a routing (resolution) system such that the string can be resolved to some current data (e.g. location) in an Internet application via the Handle System;

c) accompanying metadata which may be in any existing metadata schema and is mapped to the DOI schema using the methodology specified in the ISO 21000-6 Data dictionary;

d) an administrative infrastructure designed to ensure persistence of the DOI.

The referent of a DOI may be any entity of interest in an intellectual property transaction. The specific type of referent (e.g. a textual abstraction, a physical book) in any given application of DOI is described by accompanying metadata in a DOI Application Profile. Thus an existing ISO identifier such as an ISBN may have the same referent as a DOI; and may optionally be incorporated into the DOI system by either or both of the following methods:

a) incorporation of the ISO identifier string into the suffix of a corresponding DOI;

b) incorporation of the ISO identifier’s accompanying metadata (describing the referent) into the accompanying metadata of a corresponding DOI.

Either of these methods has the effect of making the ISO identifier scheme string actionable through the DOI system.

The DOI system has rules for expressing a numbering scheme string, but is silent as to the actual numbering scheme string to be used. It does not mandate how to create a numbering string for any particular type of content entity but where a numbering scheme exists, the DOI provides a system and rules for articulating that scheme's numbering string and metadata in a digital network.

If a DOI application is envisaged for entities for which an ISO standard identifier scheme already exists, the recommended DOI practice is to incorporate the ISO standard identifier as the basis for the DOI string and associated metadata declaration.

In some cases, user communities have taken advantage of the DOI system to create actionable identifiers for entities where no corresponding ISO or other standard identifier for a type of referent is available or in widespread use. For example, the CrossRef3) application uses DOIs with a variety of otherwise incompatible

3) For further information on CrossRef see: www.crossref.org

ISO/WD 26324


numbering schemes from different publishers (including SICI, PII, and internal production numbers) to refer to textual abstractions at the article level, and to make these schemes interoperable within the CrossRef service.

Further information is available in the IDF Factsheet: DOI and Numbering Schemes (see Bibliography).)

ISO/WD 26324


Bibliography

[1] Corporation for National Research Initiatives. Handle System® Documentation [online]. [cited 10 March 2006]. Available from: http://www.handle.net/documentation.html.

[2] ISO/IEC 21000-6:2004, Information technology -- Multimedia framework (MPEG-21) -- Part 6: Rights Data Dictionary.

[3] Rust, Godfrey and Bide, Mark. The <indecs> metadata framework: principles, model and data dictionary [online]. WP1a-006-2.0. June 2000 [cited 24 August 2005]. Available from: http://www.indecs.org/pdf/framework.pdf.

[4] International DOI Foundation. DOI Handbook [online]. Version 4.2.0. February 2005 [cited 24 August 2005]. Available from: http://www.doi.org/hb.html. doi:10.1000/182.

[5] International DOI Foundation. DOI and Numbering Schemes [online]. Version 2.2 [cited 10 March 2006]. Factsheet. Available from: http://www.doi.org/factsheets/DOIIdentifiers.html.

[6] Internet Engineering Task Force. RFC 3650, Handle System Overview [online]. November 2003 [cited 24 August 2005]. Available from: http://www.ietf.org/rfc/rfc3650.txt.

[7] Internet Engineering Task Force. RFC 3651, Handle System Namespace and Service Definition. [online]. November 2003 [cited 24 August 2005]. Available from: http://www.ietf.org/rfc/rfc3651.txt.

[8] Internet Engineering Task Force. RFC 3652, Handle System Protocol (ver 2.1) Specification [online]. November 2003 [cited 24 August 2005]. Available from: http://www.ietf.org/rfc/rfc3652.txt.

Documents

NEW WORK ITEM PROPOSAL 26324 (DOI) · Date of presentation 2006-04-20 Reference number (to be given by the Secretariat) Proposer Intl. DOI Foundation ISO TC 46 / SC 9 N 447 rev Secretariat