ORCID Use Cases from the CDL

1. ORCID Participant Meeting Harvard University May 18, 2011 Lisa Schiff, Ph.D. Technical Lead Publishing Group California Digital Library lisa.schiff@ucop.edu ORCID Use Cases from the CDL

2. California Digital Library (CDL) History • Established 1997 • Support UC’s pursuit of scholarship • Extend the University’s public service mission • Partner in research Programs • Collections • Digital Special Collections • Discovery & Delivery •  Publishing Group • University of California Curation Center (UC3) Services • Business Services • Information Services • Infrastructure & Applications Support Services • Strategic and Project Planning Services • User Experience Design Services California Digital Library @ the University of California

4. Open Access Publishing Services • Digital Publishing • Journals • Books/Monographic Series • Working Papers • Conference Proceedings • Seminar/Paper Series • Traditional “Repository” • Postprints • New or Upcoming • UC ETDs • Streaming media • Undergraduate publications • Datasets California Digital Library @ the University of California

5. ORCID Use Cases from the CDL • ORCIDs in eScholarship’s Publishing Workflow • ORCIDs & Data Mgmt/Publishing Services • Support Researchers in Obtaining ORCIDs • Name Disambiguation in Access & Discovery Applications • Archival authority control disambiguation in EAC Records • Receiving/Sharing Publications with 3rd Parties • Publication Records • “Expert Finder” Systems • HR/Administrative Systems Record California Digital Library @ the University of California

6. ORCIDs in eScholarship’s Publishing Workflow • Capture ORCIDs as part of eScholarship submission and publishing workflows for new and previously published content and include in the object’s metadata • Allow users to submit or • Query an ORCID service based on name/institution and have users confirm or • Retrieve a set of candidate ORCIDs and have the user choose or • Prompt the user to generate California Digital Library @ the University of California

7. ORCIDs & Data Mgmt/Publishing Services • Assist/allow inclusion of ORCIDs when researchers • Deposit data sets into CDL’s Merritt Preservation Repository • Create EZIDs for datasets • Generate data management plans • Publish data sets or associate them with publications • Use ORCIDs to support the ability to • Promote robust data citation and ensure proper accrual of credit for data set creation. • Help researchers meet NSF data management plan requirements • Ensure clear attribution for datasets made publicly available. California Digital Library @ the University of California

8. Support Researchers in Obtaining ORCIDs • Help UC affiliated researchers acquire ORCIDS • As part of the publication process, when submitting/publishing through eScholarship • Independent of the publication process • As a new service of eScholarship • Supports inclusion of ORCIDS when using other CDL services (EZID, Merritt, etc.) California Digital Library @ the University of California

9. Author Profile in Submission Workflow California Digital Library @ the University of California

10. Submission & Publishing Related Challenges (1) • Individual researchers • Users won’t remember their ORCIDs—how to work w/them to get the right one? • Will ORCID have an easy way for people to remind themselves of their ORCID? • What routines would have to be in place to ensure that users choose/provide the correct ORCID? • Metadata fatigue--requiring ORCIDs is not realistic, how to encourage instead? • How will proxy submitters (journal editors, unit administrators, research assistants, librarians) discover/affirm ORCIDS? • Multiple authors • How to efficiently capture ORCIDs for all authors, not just submitting? • How are high numbers of authors handled--some publications have hundreds • What about corporate authors? California Digital Library @ the University of California

11. Multiple Authors

12. Corporate Authors

13. Submission & Publishing Related Challenges (2) • Workflow • For articles undergoing peer review, where in the workflow should ORCIDs be included—after a publication has been accepted? Before? Does it matter? • Would timeframe for obtaining an ORCID disrupt the submission workflow and stop submissions? • Batch submission—how will ORCIDs in batch uploaded content be checked? How to deal with errors or ambiguity? • Current process and metadata structures will need to be extended to accommodate ORCIDs. • Support • Who will address ORCID related questions and problems (AKA customer support)? • Will ORCID services be 24 x 7? • Cost • How will the costs of contributing to and receiving data from ORCID be distributed? • If researchers can use ORCID for free (for their own information), will there be costs to institutions who develop systems to facilitate that use? California Digital Library @ the University of California

14. Name Disambiguation in Access & Discovery Applications • Improve end-user search and browse experiences by disambiguating author names via reliance on an underlying identifier • Browse lists can resolve to a preferred form • Search routines can map user submitted versions to preferred form • Important in any system with an end-user interface, from repositories to catalogs California Digital Library @ the University of California

15. Name Ambiguity in the Wild

16. Disambiguation Challenges • Canonical/preferred name forms, how will we choose what to use when? • Name variation vs. corrections—will authors introduce errors? • How to indicate that duplicate names for different people are not errors (a problem that already exists, but may be highlighted with improved disambiguation) California Digital Library @ the University of California

17. Archival authority control disambiguation in Encoded Archival Context Records • The Social Networks and Archival Context (SNAC) project & prototype • Creating a body of Encoded Archival Context – Corporations, Persons, and Families (EAC-CPF) biographical authority records • Processing various historical sources and archival collection descriptions by employing advanced informatics techniques that utilize records from the Virtual International Authority File (VIAF).  • Entity name creation is challenging: “Buffalo Bill” http://socialarchive.iath.virginia.edu/xtf/data/Buffalo Bill 1846-1917-cr.xml • Identifiers come from multiple sources • Long-term sustainability and maintenance requires a more robust, managed unique identifier service for entity IDs.  California Digital Library @ the University of California

18. SNAC Challenges • Orphans—individuals who are deceased, emeritus or otherwise no longer engaged with their past research • Individuals who are not researchers, e.g. Buffalo Bill • Require a single source of identifiers California Digital Library @ the University of California

19. Receiving/Sharing Publications with 3rd Parties • Improve accuracy of publication sharing with 3rd parties • BioMed Central, PubMed, RePec, LoC, WorldCat, etc. • Current solutions rely on email addresses • Generates both false positives and false negatives California Digital Library @ the University of California

20. “Sharing” Challenges • Varying degrees of ORCID adoption by 3rd parties • Will the quality of received need to be checked? • Inconsistent levels of ORCID creation by researchers • Will there be a standard for exposing ORCIDS in records? Where in Dublin Core, OAI-PMH, etc. • Inclusion of ORCIDs in output like OAI-PMH will vary tremendously during the early-adoption period • Will authors want to restrict how their identifiers are shared? • Will authors want reporting on how their identifiers are shared? California Digital Library @ the University of California

21. Publication Records • Provide utilities that help UC affiliated researchers establish ORCID aware publication records • Claim publications • Reject attribution • Dispute various attributions • Indicate different types of published content (journal articles vs. “data papers”) • Use ORCID to help faculty generate publication records for • Review purposes • Tailored to specific campus/dept requirements • Work in partnership with campus based initiatives campus • Grant applications/reporting • Organizational records • Identify all publications across researchers associated with an entity that has an ORCID California Digital Library @ the University of California

22. Publication Record Challenges • High Stakes—can’t get it wrong • More systems = more confusion • What do faculty do where? • Reporting systems are diverse/complex • Will an ORCID “seeded”/generated record be just one component that has to be then further customized? • Will organizations or research units have ORCIDS? California Digital Library @ the University of California

23. “Expert Finder” Systems • Administrators want to identify high profile faculty • Researchers want to find collaborators in other fields California Digital Library @ the University of California

24. “Expert Finder” Challenges • ORCID will have publications, but publications don’t necessarily map to administrators’ views of disciplines • How is expertise defined? California Digital Library @ the University of California

25. HR/Administrative Systems • Faculty HR IDs could be replaced w/ORCIDs or synchronized with them • Could be incorporated into other employment related systems • Opportunities at campus and system levels California Digital Library @ the University of California

26. HR/Admin System Challenges • High stakes—need to get it right • ORCID talking to PeopleSoft, etc. • Lots of customer support required • Variety of business systems could increase all kinds of demands on systems California Digital Library @ the University of California

27. Final Thoughts • ORCID can help • Existing systems • Work better • Provide new services to faculty • Integrate with other systems • Researchers/faculty • Better manage their research output • Comply with requirements from funding agencies to administrative entities • Areas of concern • Resources required to bring ORCID into systems, existing or new • Usability issues related to ORCID incorporation • Varying researcher participation rates California Digital Library @ the University of California