DOI Handbook - Registration Agencies

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8 Registration Agencies

This chapter explains the role and function of Registration Agencies in the DOI^® System, including operational and technical requirements and policies. A list of current Registration Agencies and their areas of coverage is available here.

8.1 Roles
8.2 Business model for Registration Agencies
8.3 RA non-exclusivity and restrictions
8.4 Becoming a Registration Agency
8.5 Formal relationship between an RA and the IDF
8.6 Fee structure for Registration Agencies
8.7 Operational and technical requirements for Registration Agencies

8.1 Roles

Registration Agencies provide services to Registrants. These services include allocating prefixes, registering DOI names and providing the necessary infrastructure to allow Registrants to declare and maintain metadata and state data (i.e. use of the DOI system) but will also include services not directly involving the DOI system which add value, for example, management of a database of related data with facilities for look-up from metadata to DOI name.

A Registration Agency can be considered as a module of the DOI system, serving a constituency. New RAs can be added at any time, thereby allowing modular growth of the system by adding new communities of users and providing tailored services for them. A community is loosely defined, but could be any group of entities sharing a common application or interest, under any organisational structures (public, private sector, not-for profit, regulator, etc). Adding a module (RA) could also encompass any of the following activities:

Providing information and advice to the community;
Providing applications, services, marketing, outreach, business cases etc. to introduce the DOI system to the community;
Designing and implementing specific operational processes for e.g. quality control of input data and output data;
Integrating the community into other DOI related activities and services.

The following is a summary of the roles of Registrants, Registration Agencies and the IDF.

Registrant:

Can be any individual or organization that wishes to uniquely identify entities using the DOI system.
Registers DOI names with a Registration Agency. If a registrant has multiple types of content or application requirements, it may choose to use several RAs to provide services.
Ensures appropriate content management of their own material (maintenance of URLs and data), either directly or by contract (e.g. with RA).
Does not need to be a member of the IDF.
Has an agreed relationship as a customer or client of a Registration Agency.

Registration Agency:

Offers services for registration of prefixes and individual DOI names using the DOI system.
Provides added-value services for registrants and other customers.
Must be a member of the IDF.
Engages in marketing, training, development, etc. for their chosen community.
May maintain a Handle mirror site (optional).
May subcontract their service provision (optional).

IDF:

Provides common agreements and policies for all registration agencies.
Makes the DOI system available according to the IDF RA agreement.
Provides basic information necessary for generic marketing materials, etc.
Develops policies.
Interacts with standards bodies, etc.
Serves as the governing body of the RA operating federation.

8.2 Business model for Registration Agencies

Registration Agencies must comply with the policies and technical standards established by the IDF, but are free to develop their own business model for running their businesses. There is no appropriate "one size fits all" model; RAs may be for-profit or not-for-profit organisations. The costs of providing DOI registration may be included in the services offered by an RA provision and not separately distinguished from these. Examples of possible business models may involve explicit charging based on the number of prefixes allocated or the number of DOI names allocated; volume discounts, usage discounts, stepped charges, or any mix of these; indirect charging through inclusion of the basic registration functions in related value added services; and cross-subsidy from other sources.

Registration Agencies may choose to provide other DOI system-related services to Registrants, without limitation so long as they conform with IDF agreements and policies. These services may include any combination of value added services in, for example, data, content or rights management. Registration Agencies may also develop services that exploit the metadata that they collect.

8.3 RA non-exclusivity and restrictions

Exclusivity of DOI name registration rights covering either a specific geographic territory or a wide area of application in general (e.g. "audio") will not normally be granted to any Registration Agency. Exceptions are possible, e.g. where the RA is mandated to operate as a service for an existing closed community and will not offer its registration services outside that community. DOI applications often overlap and in the digital world any number of categorisations are possible, which makes exclusive arrangements difficult. The only exception at present is an implementation for the Publications Office of the EU, covering DOI registration and management of official EU documents.

In order to maintain a persistent identifier, a DOI application normally provides more value than simply registering a DOI, by offering an added value service such as citation linking or metadata management. RAs operate as independent businesses on the basis of these added-value services and unique selling propositions they bring to offer to the market. In order to provide some coherence of DOI services, applications to become a Registration Agency are assessed in the context of likely business implications. Where there is an overlap of the expected market or services of RAs, each will be informed of the potential for overlap or competition and invited to address the problem in such a way as to encourage uptake of the DOI system as a whole whilst ensuring that legitimate business interests are met.

8.4 Becoming a Registration Agency

Registration Agency membership is only available to organizations which (a) have participated in the IDF as a General Member; (b) have made a successful application to the IDF Board to be appointed as a Registration Agency; (c) have signed a Registration Agency Agreement with the IDF.

Registration Agencies will typically register many thousands or millions of DOI names, and have multiple customers and services, thereby generating economies of scale. Registration Agencies for smaller scale applications will probably not be viable as stand-alone entities, though Registration Agencies may collaborate to e.g. share back-office services to improve viability. Communities that cannot identify an acceptable RA should contact the IDF to discuss how the DOI system might be used, and whether a new RA application might be developed.

Organizations interested in becoming a General Member of the IDF with a view to developing a Registration Agency application are encouraged to contact the IDF for an exploratory discussion. See also the detailed IDF membership information in Chapter 7.

All appointments as a Registration Agency are made at the discretion of the Board of the Foundation. It is unlikely that an application simply to register DOI names without offering additional services utilising these registered DOIs will be acceptable or successful. Potential applicants are strongly encouraged to review one or more of the existing Registration Agencies for examples of services and operations. Registration Agencies may be of any form (commercial, governmental, or not for profit). Examples of the functions of an organisation which might become a Registration Agency include, but are not limited to:

An existing registry (of identifiers and related data) which wishes to add DOI functionality and services to its existing services;
An existing aggregator of information which wishes to use DOIs to improve its services and add new features;
A new initiative which represents, or has a significant presence in, a defined sector, e.g. an industry collaboration or effort to solve a common problem (examples of these including Crossref, DataCite and EIDR are amongst the most successful existing Registration Agencies);
A start-up which has a business model suggesting a novel DOI application might be fruitful: in view of the importance of persistence, this is likely to require significant guarantees of continuity planning.

8.5 Formal relationship between an RA and the IDF

Registration Agencies enter into an agreement with the IDF. A copy of this generic agreement is available.

The RA agreement covers a number of areas (consult the full agreement for definitive wording) including:

1. Grants of rights

Appointment as a Registration Agency having the authority to assign DOI identifiers as part of the DOI system using the DOI prefix or prefixes that have been assigned to RA by IDF.
Nonexclusive right and license to use IDF trademarks.
Sub-licenses to exercise all rights in the implementation technologies (such as the Handle System and the Vocabulary Mapping Framework) required for the fulfillment of RA's rights and obligations as a Registration Agency under the DOI system.

2. Obligations of the RA

Remain a fully paid member of the IDF, including adherence to all IDF agreements and policies.
Provide registration services and infrastructure.
Adopt procedures to assure quality.
Respect rights of other Registration Agencies.

3. Obligations of the IDF

Maintain the DOI system, infrastructure and documentation.
Cooperate with RAs in setting policies and fees regarding Registration Agencies.
Participate in ISO and other relevant standards-setting bodies.

4. Rights and intellectual property

IDF has the exclusive right to appoint Registration Agencies and to be the Registration Authority of ISO 26324.
Trademarks remain the property of IDF and are licenced to RAs.
RAs may assert patent or other proprietary rights in the RA Services, but must comply with the IDF Patent and Trademark Policies.
Considerations for continuity in the event of IDF ceasing to be the Registration Authority of ISO 26324.

5. Change procedures, warranties, indemnities, and liability

6. Termination procedures, including

Considerations in the event of an RA leaving the IDF (e.g. the transfer of registered DOI names to a successor).
Considerations in the event of IDF being unable to continue (e.g. the orderly transition of the responsibilities of the IDF to a successor).

8.6 Fee structure for Registration Agencies

The DOI system is a cost-recovery system. ISO Council resolution 17/2012 "approves that fees can be charged on a cost-recovery basis by IDF in the operation of the Registration Authority for ISO 26324". The cost of common DOI infrastructure (managed by the International DOI Foundation on behalf of all Registration Agencies) is met by a charge made to each Registration Agency, whilst allowing each Registration Agency to adopt individual commercial models incorporating DOI name registration for their services. Each Registration Agency (RA) makes an annual payment to IDF, independent of the number of DOI names assigned or maintained. This includes all costs, i.e. both membership in the DOI Foundation and Registration Agency fees. This model aims to provide the benefits of simplicity of explanation; relative predictability; independence of number of DOI names registered; predictable stability from year to year; and ease of modeling and budgeting. Each year's fee is calculated on a model based on the following formula, and approved as part of the annual IDF Budget process prior to the start of the year:

[A]: IDF central costs (excluding B and C below)
[B]: Technical Services Agreement operating costs paid by IDF
[C]: Handle Fee costs paid by IDF
[D]: Any necessary adjustment (+/-) to maintain an agreed cash reserve
[E]: Income which IDF has from non-RA sources (e. g. non-RA membership fees)
[F]: the resulting sum to be covered by collective RAs = [A]+[B]+[C]+[D]-[E]
[G]: the number of RAs in the year
[H]: the resulting cost per RA = [F]/[G] as a single fee, fixed for the year

The fee will be invoiced in two equal instalments, payable in January and July of the current year. The following exceptions and corrections are applicable to this calculation:

The fee for a new RA is not calculated using this formula. The fee for a new RA is an introductory rate equal to the General Member membership level for the first year of operation (12 months from the month of appointment) only. This significant reduction compared to fees for existing RAs provides an incentive to join as a General Member and then make the transition to RA with stable costs.
As part of a transition plan agreed in 2011, a weighting factor is applied to certain RA fees for the year 2011 onwards.
If an organisation is a General Member and becomes an RA member, any unexpired portion of its 12 month General Membership is credited to the annual RA membership (organisations can only be in one membership category at a time).

See also the detailed IDF membership information in Chapter 7.

8.7 Operational and technical requirements for Registration Agencies

The following operational relationships exist:

The IDF defines high-level operational policy and assigns the execution of this policy to the Registration Agencies.
The Registration Agencies enforce their own operational policies, specific to their 'community of interest'. These specific policies will be consistent with the IDF's high-level policies.
Each Registration Agency administers the access rights and permissions for the DOI name registrants that form its community.
DOI Registrants submit DOI names to the Handle System along with the DOI name resolution information.
At the same time, the Registrant submits DOI system related metadata to the appropriate repository for the relevant DOI Application Profile. This metadata incorporates the DOI^® Kernel information plus the metadata specific to the RA service's application.
Each Registration Agency is responsible for managing the declaration of the metadata associated with their Registrants.

An authorized Registration Agency issues prefixes to registrants and requests the resolution system provider to register such new prefixes in the Handle System. The RA maintains the systems environment for storing a minimum set of descriptive metadata that can be provided and may be integrated with the Handle System. The service provided by each Registration Agency must include quality assurance measures, so that the integrity of the DOI system as a whole is maintained at the highest possible level (delivering reliable and consistent results to users). This includes ensuring that state data is accurate and up-to-date and that metadata is consistent and complies with both DOI Kernel and appropriate DOI data model standards. Registration Agencies must provide adequate security to ensure that only the Registrant (or someone acting with the Registrant's permission) is able to maintain both metadata and state data.

If an RA choses to implement and operate a Local Handle Service for their DOI names, CNRI will provide the RA with the necessary software and technical guidance to help them install and administer their handle server. CNRI is responsible for the scalability of the system and, in consultation with the IDF, for implementing future developments leading to its growth and any improvement to its technical sophistication.

See Chapter 9, Operating Procedures for more information on operational and technical requirements.

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