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  Internet-Draft                                           Norman Paskin
  Document: draft-paskin-doi-uri-04.txt                International DOI
  Expires: December 2003                                      Foundation
                                                           Eamonn Neylon
                                                      Manifest Solutions
                                                            Tony Hammond
                                                                Elsevier
                                                                 Sam Sun
                                                                    CNRI
                                                               June 2003
  
        The "doi" URI Scheme for the Digital Object Identifier (DOI)
  
  Status of this Memo
  
     This document is an Internet-Draft and is in full conformance with
     all provisions of Section 10 of RFC 2026.
  
     Internet-Drafts are working documents of the Internet Engineering
     Task Force (IETF), its areas, and its working groups.  Note that
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  Abstract
  
     This document defines the "doi" Uniform Resource Identifier (URI)
     scheme for the Digital Object Identifier (DOI). DOIs are
     identifiers for entities of significance to the content
     industries. The "doi" URI scheme allows a resource associated with
     an entity identified by a DOI to be referenced by a URI for
     Internet applications.  A "doi" URI is dereferenced to a set of
     service descriptions through discoverable resolution mechanisms.
  
  Table of Contents
  
     1  Introduction..................................................2
     2  Terminology...................................................3
     3  The "doi" URI Scheme..........................................3
  
  
  
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                           The "doi" URI Scheme                June 2003
  
  
     4  Normalization and Comparison of "doi" URIs....................5
     5  DOI Administration............................................6
     6  DOI Resolution................................................6
     7  Rationale.....................................................7
     8  Security Considerations.......................................8
     9  Acknowledgements..............................................8
     10   References..................................................8
     11   Authors' Addresses..........................................9
     12   Full Copyright Statement....................................9
  
  1  Introduction
  
     This document defines the "doi" Uniform Resource Identifier (URI)
     scheme for the Digital Object Identifier (DOI). DOIs are
     identifiers for entities of significance to the content
     industries. The "doi" URI scheme allows a resource associated with
     an entity identified by a DOI to be referenced by a URI for
     Internet applications.  A "doi" URI is dereferenced to a set of
     service descriptions through discoverable resolution mechanisms.
  
     The term "Digital Object Identifier" should be construed as
     meaning an identifier ("Identifier") of an entity ("Object") for
     use in networked environments ("Digital"). In this sense an
     "Object" can be any entity - any digital or physical manifestation
     or  performance, or any abstract work or concept - that is
     identified by a DOI.
  
     Some concepts relevant to DOI follow:
  
     International DOI Foundation (IDF) û The International DOI
        Foundation, Inc. is a non-stock membership corporation
        organized in 1997 and existing under and by virtue of the
        General Corporation Law of the State of Delaware, USA. The
        Foundation is controlled by a Board elected by the members of
        the Foundation. The Corporation is a "not-for-profit"
        organization, i.e. prohibited from activities not permitted to
        be carried on by a corporation exempt from US federal income
        tax under Section 501(c)(6) of the Internal Revenue Code of
        1986 et seq.
  
        The activities of the Foundation are controlled by its members,
        operating under a legal Charter and formal By-laws. Membership
        is open to all organizations with an interest in electronic
        publishing, content distribution, rights management, and
        related enabling technologies.
  
        The Foundation was founded to develop a framework of
        infrastructure, policies and procedures to support the
        identification needs of the content industries.
  
  
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     DOI Prefix Holder û Any network user who has been assigned the use
        of a DOI naming authority under which DOIs may be created.
  
     DOI Registration Agency - An IDF-appointed body that provides
        administration facilities to DOI Prefix Holders.
  
     DOI Resolution û A process of service indirection whereby a
        service is selected from a set of service descriptions returned
        on dereference of a "doi" URI and this service subsequently
        activated.
  
     DOI Service û One or more network services accessible on
        resolution of a DOI.
  
     DOI Metadata û A set of data associated with a DOI which is
        deposited into a repository at time of creation by a DOI
        Registration Agency and thereafter maintained.
  
  2  Terminology
  
     In this document the key words "must", "must not", "required",
     "shall", "shall not", "should", "should not", "recommended",
     "may", and "optional" are to be interpreted as described in RFC
     2119 [1] and indicate requirement levels for compliant
     implementations.
  
  3  The "doi" URI Scheme
  
  3.1 Definition of "doi" URI Syntax
  
     The "doi" URI syntax defined in this document conforms to the
     generic URI syntax. This specification uses the Augmented Backus-
     Naur Form (ABNF) notation of RFC 2234 [2] to define the URI. The
     following core ABNF productions are used by this specification as
     defined by Section 6.1 of RFC 2234: ALPHA, DIGIT, HEXDIG. The
     complete "doi" URI syntax is as follows:
  
       doi-uri        = scheme ":" encoded-doi [ "?" query ]
                                               [ "#" fragment ]
  
       scheme         = "doi"
  
       encoded-doi    = prefix "/" suffix
  
       prefix         = segment
  
       suffix         = segment *( "/" segment )
  
  
  
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       segment        = *pchar
  
       query          = *( pchar / "/" / "?" )
  
       fragment       = *( pchar / "/" / "?" )
  
       pchar          = unreserved / escaped / ";" /
                        ":" / "@" / "&" / "=" / "+" / "$" / ","
  
       unreserved     = ALPHA / DIGIT / mark
  
       escaped        = "%" HEXDIG HEXDIG
  
       mark           = "-" / "_" / "." / "!" / "~" / "*" / "'" /
                        "(" / ")"
  
     A "doi" URI has an (encoded) DOI as its scheme-specific part
     followed by an optional query component followed by an optional
     fragment identifier. A DOI is constructed by appending a unique
     suffix string to an assigned prefix string separated by a slash
     "/" character. The prefix is always assigned to a DOI Prefix
     Holder by a DOI Registration Agency. The DOI Prefix Holder is
     responsible for the creation of a valid suffix. The prefix in a
     DOI corresponds to the naming authority. The administration of any
     particular DOI may be transferred to another party at any time.
     The prefix does not denote the owner of a DOI.
  
     ANSI/NISO Z39.84-2000 [3] is the authoritative reference that
     specifies the rules for constructing a DOI. Once constructed, a
     DOI may be regarded as an opaque identifier with no internal
     structure. The minimum constraints for validation of a DOI string
     are that the prefix and suffix components be non-empty.
  
  3.2 Allowed Characters Under the "doi" URI Scheme
  
     The syntax for a DOI is defined in accordance with the ANSI/NISO
     Z39.84-2000 standard "Syntax for the Digital Object Identifier
     Syntax". A DOI is represented using the Unicode [4] character set
     and is encoded in UTF-8 [5].
  
     The "doi" URI syntax uses the same set of allowed US-ASCII
     characters as specified in RFC 2396 [6] for a generic URI.
     Reserved characters as well as excluded US-ASCII characters and
     non-US-ASCII characters must be escaped before forming the URI.
     Details of the escape encoding can be found in RFC 2396, section 
     2.4.
  
  
  
  
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  3.3 Examples of "doi" URIs
  
     Some examples of syntactically valid "doi" URIs are given below:
  
       (a) doi:alpha-beta/182.342-24
  
     where "alpha-beta" is the prefix and "182.342-24" is the suffix.
  
       (b) doi:10.abc/ab-cd-ef
  
     where "10.abc" is the prefix and "ab-cd-ef" is the suffix.
  
       (c) <rdf:Description about="doi:10.23/2002/january/21/4690"/>
  
     where "10.23" is the prefix and "2002/january/21/4690" is the
     suffix.
  
       (d) doi:11.a.7/0363-0277(19950315)120%3A5%3C%3E1.0.TX%3B2-V
  
     where "11.a.7" is the prefix and "0363-
     0277(19950315)120%3A5%3C%3E1.0.TX%3B2-V" is the prefix. Note that
     in unescaped form this DOI is represented in UTF-8 as
     "11.a.7/0363-0277(19950315)120:5<>1.0.TX;2-V".
  
       (e) doi:dk/P%C3%A6dagogi%2037(2),%20562
  
     where "dk" is the prefix and "P%C3%A6dagogi%2037(2),%20562" is the
     suffix. Note that in unescaped form this DOI is represented in
     UTF-8 as "dk/P¾dagogi 37(2), 562" and in ISO-Latin-1 as
     "dk/P†dagogi 37(2), 562".
  
  4  Normalization and Comparison of "doi" URIs
  
     In order to facilitate comparison of "doi" URIs and to reduce the
     risk of false negatives, normalization to the canonical form
     should be applied to minimize the amount of software processing
     for such comparisons.
  
     The following normalization steps should be applied:
  
         1. Normalize the case of the leading "doi:" token to be
            lowercase
         2. Unescape all unreserved %-escaped characters
         3. Normalize the case of the scheme-specific part
            including any %-escaped characters to be uppercase
  
     The following forms of a "doi" URI
  
  
  
  
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         1. DOI:dk/P%C3%A6dagogi%2037(2),%20562
         2. doi:DK/P%C3%A6dagogi%2037(2),%20562
         3. doi:dk/P%c3%a6dagogi%2037(2),%20562
         4. doi:dk/p%c3%a6dagogi%2037(2),%20562
         5. doi:dk%2FP%C3%A6dagogi%2037%282%29%2C%20562
  
     are normalized to the canonical form
  
            doi:DK/P%C3%A6DAGOGI%2037(2),%20562
  
  5  DOI Administration
  
     The International DOI Foundation (IDF) is a not-for-profit
     membership-based organization founded to develop a framework of
     infrastructure, policies and procedures to support the
     identification needs of the content industries.
     The IDF is the maintenance agency for DOI and appoints DOI
     Registration Agencies.
  
     DOIs are created by DOI Prefix Holders and must be registered via
     a DOI Registration Agency. Any network user can become a DOI
     Prefix Holder by agreement with a DOI Registration Agency.
  
     DOI Registration Agencies perform the following functions:
     allocating DOI prefixes, registering DOIs, and providing the
     necessary infrastructure to allow DOI Prefix Holders to declare
     and maintain the metadata associated with a particular DOI. DOI
     Registration Agencies also maintain knowledge of the current owner
     of each individual DOI to ensure administrative updates.
  
     The IDF maintains the DOI system (to allow registration and ensure
     resolution of DOIs) and provides governance to ensure appropriate
     use. DOI assignment requires a fee to ensure that the system costs
     are met. This allows the system to be managed and supports
     persistence as a function of organization rather than technology.
     The fee is for the registering of DOIs (and may optionally be
     passed on to registrants, waived or subsidized by a DOI
     Registration Agency), but not for the resolution of a DOI.
  
     The DOI system relies on copyright and trademark law to protect
     the DOI brand and reputation. DOI is not a patented system; the
     IDF has not developed any patent claims on the DOI system and does
     not rely on patent law for remedy.
  
  6  DOI Resolution
  
     A "doi" URI references a set of service descriptions which is
     returned on dereference of the URI. Following such a dereference a
     service description is typically selected and the corresponding
  
  
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     service activated. This process of service indirection is commonly
     referred to as "resolution" a DOI. Examples of services that can
     be accessed by the resolution of a DOI include redirection to
     another network resource, return of a metadata record describing
     the entity identified by the DOI, etc. A discussion of such
     services is beyond the scope of this document.
  
     Resolution of a DOI can be accomplished using a variety of network
     protocols. The combination of a network protocol, an access method
     defined by that protocol and a service endpoint provides the means
     of access to a resolution mechanism. As the maintenance agency for
     DOI, the IDF will publish the means of access for known resolution
     mechanisms of DOI. For the use of other resolution mechanisms
     prior knowledge of the means of access is required.
  
     As such a "doi" URI can be classified both as a name and a
     locator. The locator references a set of service descriptions.
     Note that this locator must not be confused with the locator used
     to retrieve the ultimate representation that may be returned as a
     result of activating a service. The "doi" URI is thus an instance
     of an application-level URI and requires a methodology for mapping
     from the "doi" URI to a proxy locator URI in order to realize its
     locator role. These mapping methodologies provide the resolution
     mechanisms that enable a "doi" URI to function as a locator of a
     set of services.
  
  7  Rationale
  
  7.1 Why Create a New URI Scheme for DOI?
  
     Under RFC 2718, "Guidelines for new URL Schemes" [7], it is stated
     that a URI scheme should have a "demonstrated utility", and in
     particular should be applied to "things that cannot be referred to
     in any other way". DOI meets both of these criteria in that it is
     a well established identifier (see <http://www.doi.org/>) for
     entities of significance to the content industries, with some 10
     million examples in current use on the Internet, and is being
     widely embraced by the content industries. DOI is not bound to any
     Internet protocol and so requires its own dedicated URI scheme.
  
     The administration granularity of existing URI schemes typically
     operates at the authority component level. By contrast DOIs are
     managed at the individual identifier level. It is for this reason
     that the DOI prefix is not to be interpreted as an "owner"
     authority but rather as the "creator" authority. Once created the
     "doi" URI may be regarded as an opaque identifier with no internal
     structure.
  
  
  
  
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  7.2 Why Not Use a URN Namespace ID for DOI?
  
     RFC 2396 states that a "URN differs from a URL in that it's [sic]
     primary purpose is persistent labeling of a resource with an
     identifier". A "doi" URI on the other hand has a dual purpose:
     both to allow a resource associated with an entity identified by a
     DOI to be referenced by a URI for Internet applications, as well
     as to enable access to a set of service descriptions. In this
     regard a "doi" URI scheme should be considered as being similar to
     the "tel", "fax" and "modem" URI schemes documented in RFC 2806
     [8].
  
     Further the syntactic requirements of the "doi" URI scheme are
     incompatible with the URN syntax. Specifically the use of optional
     query component and/or fragment identifier cannot be accommodated
     by the URN syntax (cf. Sect. 2.3.2, RFC 2141 [9]).
  
  8  Security Considerations
  
     The "doi" URI scheme is subject to the same security
     considerations as the general URI scheme described in RFC 2396.
  
     Dereference of a "doi" URI to access a set of service descriptions
     will be subject to the security considerations of the underlying
     protocol used to access the resource referenced by the "doi" URI.
  
  9  Acknowledgements
  
     The authors acknowledge the contributions of Larry Lannom and
     Jason Petrone, of the Corporation for National Research
     Initiatives, to this specification.
  
     The authors are also grateful to Larry Masinter and Martin Duerst
     for their constructive comments on this specification.
  
  10 References
  
     1. Bradner, S., "Key Words for Use in RFCs to Indicate Requirement
     Levels", BCP 14, RFC 2119, March 1997.
  
     2. Crocker, D.H. and Overell, P., "Augmented BNF for Syntax
     Specifications: ABNF", RFC 2234, November 1997.
  
     3. ANSI/NISO Z39.84-2000, "Syntax for the Digital Object
     Identifier", ISBN 1-880124-47-5.
  
     4. The Unicode Consortium, "The Unicode Standard", Version 3, ISBN
     0-201-61633-5, as updated from time to time by the publication of
  
  
  
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     new versions. (See
     http://www.unicode.org/unicode/standard/versions for the latest
     version and additional information on versions of the standard and
     of the Unicode Character Database).
  
     5. Yergeau, F., "UTF-8, A Transformation Format for Unicode and
     ISO10646", RFC 2279, October 1996.
  
     6. Berners-Lee, T., R. Fielding and L. Manister, "Uniform Resource
     Identifiers (URI): Generic Syntax", RFC 2396, August 1998.
  
     7. Masinter, L., H. Alvestrand, D. Zigmond and P. Petke,
     "Guidelines for new URL Schemes", RFC 2718, November 1999.
  
     8. Vaha-Sipila, A., "URLs for Telephone Calls", RFC 2806, April
     2000.
  
     9. Moats, R., "URN Syntax", RFC 2141, May 1997.
  
  
  11 Authors' Addresses
  
     Norman Paskin
     The International DOI Foundation
     Linacre House, Jordan Hill
     Oxford, OX2 8DP, UK
     n.paskin@doi.org
  
     Eamonn Neylon
     Manifest Solutions
     Bicester
     Oxfordfordshire, OX26 2HX, UK
     eneylon@manifestsolutions.com
  
     Tony Hammond
     Elsevier Ltd
     32 Jamestown Road
     London, NW1 7BY, UK
     t.hammond@elsevier.com
  
     Sam Sun
     Corporation for National Research Initiatives
     1805 Preston White Dr., Suite 100
     Reston, VA 20191, USA
     ssun@cnri.reston.va.us
  
  12 Full Copyright Statement
  
     Copyright (C) The Internet Society (2003).  All Rights Reserved.
  
  
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