ORCID: Open Researcher and Contributor ID An Open Registry of Scholarly IDs

1. ORCID: Open Researcher and Contributor ID An Open Registry of Scholarly IDs CNI, San Diego. April, 2011

2. Problem Statement • Estimated 6.2 million researchers from 16,000 organizations (including business sector, higher ed, government) and 6.7 million grad students; • Elsevier estimates 27 million researchers, without students (from Scopus). • Many researchers have common names, change names, or are otherwise difficult to uniquely identify • . CNI, San Diego. April, 2011

3. Mission • ORCID, Inc. aims to solve the author/contributor name ambiguity problem in scholarly communications by creating a central registry of unique identifiers for individual researchers and an open and transparent linking mechanism between ORCID and other current author ID schemes. These identifiers, and the relationships among them, can be linked to the researcher’s output to enhance the scientific discovery process and to improve the efficiency of research funding and collaboration within the research community. CNI, San Diego. April, 2011

4. Key Registration Points Why? Helps track output offaculty and students Researcher Joins faculty or student body Helps perform researchassessment of grantees Applies for grant Streamline data input, links authors to - publications - collaborators - other forms of communication Submits manuscript

5. How will ORCID succeed? • Build Registry • Universities – provide ORCIDs to community members • Funding Bodies – use ORCIDs in grant applications • Publishers – use ORCIDs on article submissions • Leverage existing scholarly name id efforts • Publishers (ACM, Nature, Elsevier, Wiley, etc.) • Universities (Harvard, MIT, Cornell, Hong Kong, etc.) • Projects (ISNI, VIVO, etc.) • Develop/Acquire Name Disambiguation Technology • Virtual International Authority File – matching technology from OCLC • ProQuest Author Resolver • OKKAM – EU project on large scale entity integration CNI, San Diego. April, 2011

6. Announcing ORCID Not-for-Profit Organization incorporated to solve the name ambiguity problem in scholarly research – Wilmington, DE, August 4, 2010 Board of Directors Wellcome Trust, Liz AllenHarvard University, Amy BrandHannover Medical School, Martin Fenner OCLC Online Computer Library Center, Inc. Thomas HickeyThomson Reuters, David KochalkoCERN, Salvatore MelePublishers International Linking Association, Inc., Ed PentzNature Publishing Group, Howard Ratner Association for Computing Machinery, Bernard RousElsevier, Chris ShillumMIT Libraries, MacKenzie SmithNational Institute of Informatics (Japan), Hideaki TakedaCornell University Library, Simeon Warner John Wiley & Sons, Craig Van Dyck CNI, San Diego. April, 2011

7. 200 Participating Organizations

8. Participant Organization Types

9. Geographic Location of Participants

10. Timeline 2010 Feb March April May June July Aug Sept Oct Nov Dec Build Sandbox Alpha Prototyping ORCID Members Demonstration and Alpha Testing Organization Creation Wellcome /MIT Survey Principles/Scope Defined Alpha Testing Profile Exchange Research & Development

11. Timeline 2011 Feb March April May June July Aug Sept Oct Nov Dec Build Beta Profile Exchange Research & Development Assess Business Models Develop Business Plan Sponsorship Drive

12. Timeline 2012 Jan Feb March April May June July Aug Sept Oct Nov Dec Start Registering ORCIDs Implement Business Model

13. ORCID Principles • ORCID will work to support the creation of a permanent, clear and unambiguous record of scholarly communication by enabling reliable attribution of authors and contributors. • ORCID will transcend discipline, geographic, national and institutional, boundaries. • Participation in ORCID is open to any organization with an interest in scholarly communications. CNI, San Diego. April, 2011

14. ORCIDPrinciples • 4. Access to ORCID services will be based on transparent and non-discriminatory termsposted on the ORCID website. • 5. Researchers will be able to create, edit, and maintain an ORCID ID and profile free of charge. • 6. Researchers control the defined privacy settings of their own ORCID profile data. CNI, San Diego. April, 2011

15. ORCID Principles • 7. All profile data contributed to ORCID by researchers or claimed by them will be available in standard formats for free download (subject to the researchers' own privacy settings) that is updated once a year and released under the CC0 waiver. • 8. All software developed by ORCID will be publicly released under an Open Source Software license approved by the Open Source Initiative. For the software it adopts, ORCID will prefer Open Source. CNI, San Diego. April, 2011

16. ORCID Principles • ORCID identifiers and profile data (subject to privacy settings) will be made available via a combination of “no charge” and “for a fee” APIs and services. Any fees will be set to ensure the sustainability of ORCID as a not-for-profit, charitable organization focused on the long-term persistence of the ORCID system. • 10. ORCID will be governed by representatives from a broad cross-section of stakeholders, the majority of whom are not-for-profit, and will strive for maximal transparency by publicly posting summaries of all board meetings and annual financial reports. CNI, San Diego. April, 2011

17. ORCID Rapid Market Survey (Wellcome/MIT)

20. Scope (initial beta system) • Focus on currently active researchers • Data will come from individuals and organizations • Hybrid system of self- and organization-asserted identities • Data collected will be that needed for disambiguation (optional data for creating full CV-like profiles might be added in the future) • The system will provide basic matching and disambiguation of names • The system will, from the start, enable 3rd parties to build value added services using ORCID infrastructure • ORCID services will be developed based on the needs of the ORCID community CNI, San Diego. April, 2011

21. Possible Matching Algorithms • VIAF matching technology from OCLC • Author Resolver from ProQuest • Matching capability from OKKAM Profile Exchange R&D ? ORCID F67572010

22. Batch Upload and Download Services • Universities and Organizations can batch upload profiles to generate ORCID IDs • In Alpha, individual researchers must respond to system generated emails to claim their IDs and make their profiles live • Solution depends on developing an administrative interface or integration with external administrative system • Provenance of uploaded data will be stored in database • Profiles can be batch downloaded by organizations CNI, San Diego. April, 2011

23. Alpha Data ORCID Alpha extended an existing system • ORCID Number • Name (first, last, middle) • Other names • Email address • Persistent URL • Role • Subjects • Keywords • Description • User defined URLs • Privacy settings • Institution name • Sub organization • Sub organization Address • Sub organization role • Joint affiliation name • Joint affiliation sub organization • Joint affiliation start date • Joint affiliation role • Past affiliation information (name, city, country, start date, end date, role) • Personalization settings • Opt in/out * Core list focused on disambiguation * CNI, San Diego. April, 2011

24. Alpha Features • Easy registration process: Researchers fill out a registration form or have it pre-populated with data from an ORCID partner system (e.g., Scopus, RePec, AuthorClaim). • User-controlled privacy settings: The researcher controls how much/little information about him/herself that they want to make publically available. • Local-language support: The database supports UTF-8 character-set. Searching by unicode characters is also supported. • Search: The system supports search of public profiles by first/last name; institution; keyword; ORCID number. In addition, the system allows for browsing by keyword and supports auto-suggest for keyword and institution. • Publication claiming: Researchers can perform a DOI search against CrossRef to add publications to their profile. A link to view the publication at the publisher’s site is also captured. • Integration with ORCID partner systems: Services include the ability for partners to search ORCID, upload and download profile and publication information. CNI, San Diego. April, 2011

25. Inside the Alpha Register Search ORCID CNI, San Diego. April, 2011

26. Simple Registration Import and connectexisting profile CNI, San Diego. April, 2011

27. Easy Login CNI, San Diego. April, 2011

28. Basic Profile CNI, San Diego. April, 2011

29. Claim Publications CNI, San Diego. April, 2011

30. Claim Publications CNI, San Diego. April, 2011

31. CrossRef API Connection

32. Search Search ORCID CNI, San Diego. April, 2011

33. Search Search ORCID CNI, San Diego. April, 2011

34. Search Keyword Search ORCID DOI keyword CNI, San Diego. April, 2011

35. Publisher Author Institution Linking Workflow Publisher Manuscript Tracking System Registry ORCID ID Registry Publisher Content Mgt System CrossRef DOI Repository FAA-1234-111AA FAA-1234-111AA FAA-1234-111AA DOI:10.1030/123.123.123 ORCID captured ORCID registered ORCID/DOI pair sent All DOIs associated with ORCID Publisher/Institution Website FAA-1234-111AA DOI:10.1030/123.123.123 DOI:10.1030/123.123.132 DOI:10.1020/123.123.124 DOI:10.1040/123.123.aaa CNI, San Diego. April, 2011

36. Connect to Manuscript Tracking Systems Talking to ORCID Alpha API CNI, San Diego. April, 2011

37. Results from ORCID Alpha CNI, San Diego. April, 2011

38. ORCID captured CNI, San Diego. April, 2011

39. ORCID enabled Other publications Collaborators CNI, San Diego. April, 2011

40. ORCID enabled

41. MIT Faculty Policy on Open Access

42. Who’s Published What? • No equivalent to the Research Excellence Framework in the US, so publication drivers are • Promotion and tenure cases (infrequent) • Faculty productivity evaluations (ad hoc) • Current options are evaluation-oriented, libraries not usually involved e.g. Symplectic, Academic Analytics, Thomson InCites CNI, San Diego. April, 2011

43. Library Workflow • 1. Search public/licensed article sources by institutional affiliation • 2. Try to link results to individual faculty • 80% automatic, 20% manual (i.e. 200 out of 1000 faculty) • 3. Repeat • Expensive, inefficient, fragile CNI, San Diego. April, 2011

44. Enter ORCID • Each researcher assigned an ORCID with associated profile data known to their employing institution • Publishers request ORCID for new article submissions • Search public/licensed article sources by ORCIDs • Results are automatically linked to researcher’s local profile record (i.e. complete publication list) • No more ambiguity! OA mandate successfully implemented for prospective publications CNI, San Diego. April, 2011

45. Faculty Bibliographies • Older articles need to be linked to correct ORCID profile • In ORCID, do once per paper for all consumers rather than once per consumer • Leverages network of stakeholders, lowers cost to everyone CNI, San Diego. April, 2011

46. Next Steps • Complete first phase of Profile Exchange R&D • Establish data model, including provenance • Finalize business model and secure start-up funding • Complete 501(c)3 Filing • Specify and build production system • Add participants and key partners • Launch! CNI, San Diego. April, 2011

47. Sponsorship Drive • Since December 2010 • $245,000 from 45 organizations • Goal • $500,000 from >50 organizations • One-time donation until launch of membership fees or other sources of income for the non-profit ORCID organization CNI, San Diego. April, 2011

48. Other Funding • VIVO Collaboration: one of five collaborative research grants awarded to ORCID in January, 2011 • Business Model: Mellon Foundation award to evaluate research models in summer, 2011 • In-Kind Contributions: people’s time, infrastructure (e.g. website, legal advice, software, survey) CNI, San Diego. April, 2011

49. What makes ORCID different? • ORCID is a researcher identifier that is not limited to discipline, institution or geographic area • ORCID is backed by a non-profit organization with over 200 participants • ORCID is managed by multiple stakeholders including publishers, universities, funding agencies, and other initiatives • ORCID is serious about open data and an open system CNI, San Diego. April, 2011

50. Join Us www.orcid.org Next ORCID Participant meeting May 18, 2011 at Harvard Mark your calendars! CNI, San Diego. April, 2011