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DOI SYSTEM: SOCIAL INFRASTRUCTURE Workshop on the DOI System International DOI Foundation DOI SYSTEM: SOCIAL INFRASTRUCTURE Workshop on the DOI System International DOI Foundation

Outline / Key concepts in this section • • doi> DOI System implementation through Outline / Key concepts in this section • • doi> DOI System implementation through policies and procedures Principles of DOI System deployment Registration Agencies: roles and responsibilities DOI System governance mechanisms Intellectual property issues Fee structures Current issues and developments

Further reading on key concepts in this section • doi> DOI Handbook Chapter 8, Further reading on key concepts in this section • doi> DOI Handbook Chapter 8, “Registration Agencies” http: //www. doi. org/handbook_2000/registration_agencies. html • DOI Handbook Chapter 9, “Operating Procedures” http: //www. doi. org/handbook_2000/how_to. html

DOI System adds value doi> • Costs: need for human intervention and support of DOI System adds value doi> • Costs: need for human intervention and support of an infrastructure. The DOI System operates on the basis that such costs are borne by the assigner of the DOI name. – Number and metadata registration (maintenance of resolution destinations; declaration of metadata; validation of number syntax and of metadata; liaison with the IDF registry) – Infrastructure (resolution service maintenance, scaling and further development; customer guidance and outreach; marketing; administration) – Governance (common "rules of the road"; further development and support of the system) • The way in which these costs are recouped depends on the application.

IDF principles • DOI name free to resolve at point of use • Costs IDF principles • DOI name free to resolve at point of use • Costs of assignment paid by assigner • Allow different business models – allow anyone to do what they want • Distributed system – agencies doi>

IDF principles doi> • IDF to provide governance layer only – using a federation IDF principles doi> • IDF to provide governance layer only – using a federation of registration agencies • IDF sets out minimum criteria for registration agencies: – rules of the road: not journey maps – technical; information management; $ • Does not prescribe details of individual businesses – user communities set their own agendas • Comparable models work well: – EAN/UPC; Visa; ISBN etc.

IDF principles • Variety of potential business models – one size does not fit IDF principles • Variety of potential business models – one size does not fit all; need more flexibility • Variety of naming authority models – currently model is one per registrant – encourage move to appropriate level – allow subdivision (10. 1000. 2/123) • RA’s will develop and offer applications – number registration alone not a “business” doi>

doi> Costs • For an everyday user: • • • For an assigner: • doi> Costs • For an everyday user: • • • For an assigner: • • • Free: any DOI name may be resolved by anyone No obligations Must work through a Registration Agency Cost depends on application: DOI registration is bundled in • e. g. Cross. Ref – crosslinking of citations: for a publisher, from $275 per year (2008) For a Registration Agency: • • • Must be a full RA member of the International DOI Foundation Fees based on volume Developing, managing, implementing, standardising, etc: • Paid for by International DOI Foundation (open to anyone)

IDF Site 1 RA 0 Site 2 Site 3 RA 1 Site 4 RA IDF Site 1 RA 0 Site 2 Site 3 RA 1 Site 4 RA 2 Site 5 RA 3 IP 1 IP 2 IP 3 IP 4 IP 5 IP 6 RA layer • Registration Services • Data Collection • Provision to VAS • etc. IP owners

DOI System operational roles IP owners: register DOI names with agency DOI System operational roles IP owners: register DOI names with agency

DOI System operational roles Registration agency: - agreements with IP owners* - registration with DOI System operational roles Registration agency: - agreements with IP owners* - registration with DOI System (IDF terms) - metadata collection /added value* - provision of, or to, Value Added Services by agreement*, etc * specific to each RA

DOI System operational roles IDF: minimal common agreements - DOI resolution service - service DOI System operational roles IDF: minimal common agreements - DOI resolution service - service integrity - Data Type Registries - Policies e. g. archiving, testing, etc

doi> Aim: Registration Agencies run the system Operating costs Operating Federation (all the RAs) doi> Aim: Registration Agencies run the system Operating costs Operating Federation (all the RAs) $ $ Costs/N RA $ C

doi> Creation of an organisation development spend cost-reduction International DOI Foundation members Operating Federation doi> Creation of an organisation development spend cost-reduction International DOI Foundation members Operating Federation & Agencies Clients

doi> IDF organisation IDF M RA c doi> IDF organisation IDF M RA c

Registration agencies: IDF representation • RA Working Group: all RAs • Chair of RAWG Registration agencies: IDF representation • RA Working Group: all RAs • Chair of RAWG is Vice Chair of IDF • Shift to more RA membership to elected board – Currently 6/13 seats • future evolution of the organisation doi>

Terms between Registration agencies and IDF • Common agreement – level playing field – Terms between Registration agencies and IDF • Common agreement – level playing field – recognise differences in scale • “Franchise” model • Evolving financial model – Sliding scale costs per DOI name allocated – membership of IDF – minimum $20 K • RA working group – Letter of Intent – Formal agreement doi>

Issues (1): Functional v national • Functional (application) agencies – applications across borders (e. Issues (1): Functional v national • Functional (application) agencies – applications across borders (e. g. Cross. Ref) • National/regional agencies – local services – language documentation – integration with other agencies e. g. ISBN ? – e. g. MEDRA (EC) doi>

Issues (2): Value of metadata • DOI kernel metadata is a small basic set Issues (2): Value of metadata • DOI kernel metadata is a small basic set – likely not to be of commercial value alone • Resolution provides “known item” – DOI name look-up only • Metadata is not held in DOI System – only a pointer to it • Metadata promotion maximises value – like a catalogue doi>

Issues (3): Make metadata available (syntax) doi> • On a web page; <meta> tag; Issues (3): Make metadata available (syntax) doi> • On a web page; tag; etc – easy to do, unstructured • XML (Extensible Markup Language) – logical syntax, wide support, needs more to guarantee interoperability • RDF (Resource Description Framework) – Syntax for interoperable semantics; standard still evolving Questions as to acceptability • Separate database – easy but raises issues of access • Pointer entry (data type) in DOI name record – best guarantee of commonality

Issues (4): quality control doi> • e. g. “Missing” DOI names – duplication of Issues (4): quality control doi> • e. g. “Missing” DOI names – duplication of prefix; DOI names not entered into directory; citing of early DOI names, etc • Who will determine rules? – May be different guidelines for different areas – and who will police them? • Some checks can be built into system – e. g. attempted duplication • Who defines kernel, and mappings, ensures conformance? • Rules for user communities? • Who ensures quality control of content? • Who is the authority for each metadata element? • What are the business model implications?

Issues (5): Explaining doi> • “missionary work” – identifiers: precision about what is identified Issues (5): Explaining doi> • “missionary work” – identifiers: precision about what is identified (ISO TC 46? ) – functional granularity; well-formed metadata, etc. • what can we learn from other efforts? – e. g. ISBN • Best explained by examples: applications

Issues (6): relation to existing services doi> • Many ISO entities have metadata records Issues (6): relation to existing services doi> • Many ISO entities have metadata records – ISBN, ISSN, etc - widely used • May not be consistent with each other • May not be consistent with indecs mapping • May not be available for DOI name registration on ideal “do it once” basis – commercial considerations of those agencies • Can metadata be shared? • Collaboration between RAs

Issues (7): management of standards doi> • DOI System and indecs based on open Issues (7): management of standards doi> • DOI System and indecs based on open standards • Who directs evolution? – governance structure, maintenance agency (ISO standard) – likely not to be of commercial value alone • Who will invest the resources necessary to make improvements and prevent stagnation? – IDF set up as collaborative forum – Long term funding and sustainability via funding through use (like bar codes)

Issues (8): governance doi> • User communities want to control their own activities as Issues (8): governance doi> • User communities want to control their own activities as far as possible – Principle of Subsidiarity – constitutional rules? • There must be some common rules – Principle of Interoperability – IDF = operations and standards “council”?

IDF in relation to Registration Agencies doi> • does not own or direct – IDF in relation to Registration Agencies doi> • does not own or direct – RAs are independent businesses, members of the Foundation, part of agreed operating federation • does not compete with existing agencies – (e. g. ISBN): we mandate declaration of ISBN etc. • does not determine business models – needs to be done by the sector • does not enforce one single metadata standard – just principles • neither “privatises” nor “liberates” data – only a minimal kernel (like book title) • provides community focus and consensus

Current strategy • • doi> Focus on enabling current RAs to generate more DOI Current strategy • • doi> Focus on enabling current RAs to generate more DOI names New RAs in new areas Social infrastructure development (RA policies) Business model: IDF Incentive scheme: large discounts per DOI name for large numbers of registrations, e. g. 25% -> 90%+ RA IDF has no role in this C

doi> Current DOI system activity (Oct 2007) Registration Agency Prefixes DOI registrations Jun-Oct 2007 doi> Current DOI system activity (Oct 2007) Registration Agency Prefixes DOI registrations Jun-Oct 2007 DOI registrations to date Cross. Ref 945 2, 135, 117 29, 517, 872 Bowker 74 3, 031 745, 873 TIB 11 41, 583 540, 601 CNRI/default (experimental) 66 190 143, 477 m. EDRA 410 14, 111 126, 895 Nielsen Book. Data 211 9 36, 578 CAL 270 16 451 OPOCE 300 33 57 Wanfang Data* 2 0 0 TOTAL 2027 2, 592, 775 28, 419, 009 Latest figures: see http: //dx. doi. org/10. 1000/127

Implementation of strategy doi> • RAs focus on building applications in their existing sectors Implementation of strategy doi> • RAs focus on building applications in their existing sectors • viability of business models • lower costs per DOI name (for volume) • IDF focus on better tools for RAs: • • Resolution – e. g. Acrobat plug-in Multiple resolution: DOI-AP framework Semantic interoperability: Data Dictionary and additional tools

Application issues • • • doi> Multiple services may exist for an identifier – Application issues • • • doi> Multiple services may exist for an identifier – Don’t assume only monopoly services – One service may be definitive; some may be better than others Multiple identifiers – Need to distinguish abstractions, compound objects, etc – Relation of DOI names to other identifiers Interoperability becomes more important as an economic feature when there are multiple services or multiple uses – which there will be eventually – Don’t design only for today Common frameworks for naming and meaning (to do all this) become important when services cut across silos; across media; from different sources; etc – Indecs–based approach (like ONIX etc) Multiple resolution: returns multiple results in response to a request (e. g. a choice, an automated service) – need some way of grouping and ordering those results, e. g. Handle value typing

RA membership in IDF doi> • IDF member page: information is password access • RA membership in IDF doi> • IDF member page: information is password access • Named representative for Member controls access • Separate RAWG page, documentation (password access) • Formal agreement for RAs • Requirements re trademark use, intellectual property, infrastructure (proxies, mirrors, etc), suspension and termination procedures, etc.

Trademark policy doi> • IDF owns the registered trademarks DOI® and DOI. ORG® and Trademark policy doi> • IDF owns the registered trademarks DOI® and DOI. ORG® and the trademark consisting of the DOI> logo (the “IDF Trademarks”). IDF Trademark policy sets out rules for use: note in particular: • Use DOI and DOI. ORG trademarks as adjectives followed by nouns describing the product/service (e. g. The DOI® system); never use the trademarks as nouns or verbs (e. g. in phrases such as “registering DOIs, ” or “to DOI a document”). • The mark DOI should never be used as part of a URL. • Only the IDF and its authorized licensees may use the IDF Trademarks. • The IDF Trademarks may not be sublicensed or used by any other persons without the express written consent of IDF.

Intellectual property policy doi> • IDF Patent Policy: – to Support the existing commitment Intellectual property policy doi> • IDF Patent Policy: – to Support the existing commitment that the DOI System be an open standard and system available to all who want to use it on equal terms. – Preserve and protect the collective investment in the DOI System and standard. – Encourage Registration Agencies to develop added-value services and features on top of the Core DOI System. • Goals of the patent policy: – To form a generic policy for IDF and all its Registration Agencies. – To establish trust among RAs on patent issues. – To provide RAs and users of DOI names with certainty that they won't be infringing any patents when operating within the Core DOI System. – To enable and encourage RAs to add value, on top of the DOI Core specification. – To be simple, practical and easy to implement.

Intellectual property policy doi> • Key Concept: the Core DOI Specification as a technical Intellectual property policy doi> • Key Concept: the Core DOI Specification as a technical document: – "Core DOI Patent Rights" -- things enabled by the Core DOI Specification; – "Value Added DOI Patent Rights" -- things not enabled by the Core DOI Specification; – A notice requirement after an RA files any DOI-related patent application; – Royalty-free licensing of RA patents that cover items that are enabled by the Core DOI Specification; – Compulsory licensing, on commercially reasonable terms, of Value Added Patents (i. e. , things not enabled by the Core DOI Specification); – Royalty-free licensing with respect to patents for which the RA fails to satisfy the notice requirement. • http: //www. doi. org/news/050914 Patent. Policynews. html

Current RA fee structure doi> • Fee structure between IDF and RA comprises: – Current RA fee structure doi> • Fee structure between IDF and RA comprises: – Membership in IDF; plus – Operating Fees (paid direct to IDF’s technical operator), made up of two elements: • per DOI name Registration Fee, and • Maintenance Fee • Membership fee: $35, 000 per year • Registration fee: • – First 250, 000 DOI names per year: $20, 000 minimum fee – Sliding scale up to 5 M DOI names/year: from 4 cents to 0. 05 cents per DOI name Maintenance fee: 1 cent per DOI name up to 5 M, 0. 5 cents per DOI name thereafter Under discussion to be changed: • Cost per DOI name to drop to zero after 5 M • Maintenance fee to be based on a limited time period

Outline / Key concepts in this section • • doi> DOI System implementation through Outline / Key concepts in this section • • doi> DOI System implementation through policies and procedures Principles of DOI System deployment Registration Agencies: roles and responsibilities DOI System governance mechanisms Intellectual property issues Fee structures Current issues and developments

DOI SYSTEM: SOCIAL INFRASTRUCTURE Workshop on the DOI System International DOI Foundation DOI SYSTEM: SOCIAL INFRASTRUCTURE Workshop on the DOI System International DOI Foundation