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OCLC Research
UC Berkeley School of Information, Information Access Seminar
Registering Researchers in
Authority Files
1
K...
Scholarly output impacts the reputation
and ranking of the institution
2
We initially use bibliometric analysis to look at...
A scholar may be published under
many forms of names
3
Also published as:
Avram Noam Chomsky
N. Chomsky
‫تشومسكي‬ ‫نعوم‬
‫...
Same name, different people
4
Conlon, Michael. 1982. Continuously adaptive
M-estimation in the linear model. Thesis (Ph.
D...
One researcher may have many
profiles or identifiers…
5
(from an email signature block)
Profiles: Academia / Google Schola...
Registering Researchers in Authority
Files Task Group
6
How to make it easier for researchers and
institutions to more acc...
Registering Researchers in Authority
Files Task Group Members
7
 Micah Altman, MIT - ORCID Board member
 Michael Conlon,...
Stakeholders & needs
8
Researcher
Disseminate research
Compile all output
Find collaborators
Ensure network presence corre...
Some functional requirements
9
Link multiple identifiers a researcher might have to collate output
Associate metadata wi...
More functional requirements
10
Create consistent and robust metadata
 Associate metadata for a researcher’s output with...
Yet more functional requirements
11
Link a researcher’s multiple identifiers
Associate an identifier with an identity wh...
Systems profiled (20)
12
Authority hubs:
Digital Author Identifier (DAI)
Lattes Platform
LC/NACO Authority File
Names Proj...
Systems profiled (20)
13
Researcher profile systems:
Community of Scholars
Google Scholar
LinkedIn
SciENcv
VIVO
Subject au...
Partial overview: Authority & identifier hubs
14
Digital Author Identifier Researchers in all Dutch CRIS & library catalog...
2013-12-06 15
Some overlaps
ISNI & ORCID
16
Complementary systems with two different approaches
Share two goals:
1. Assign and share identifiers so bo...
Partial overview: CRIS & Researcher Profile
Systems
17
CRIS (e.g. Symplectic)
Institutional data sources plus article & ci...
Controlled
Information
Source
Uncontrolled
Information
Source
Organizational
Directory
Profile
NACO
RERO
GNL
…
Anonymous P...
Some possibly emerging trends
19
 Widespread acknowledgement that persistent identifiers for
researchers is needed
 Univ...
More possibly emerging trends
20
 Open data/public access mandates will require more widespread use of
identifiers.
Open ...
Yet more possibly emerging trends
21
 Researchers with multiple identifiers in multiple systems
 Researcher web sites as...
Opportunities?
22
 Identifiers instead of text strings
 Role of authority records
 Link article authors to those in lib...
Nascent recommendations
23
 Researcher: Obtain persistent identifier before submitting any
output.
 Librarian/university...
More nascent recommendations
24
Hub/aggregator:
 Establish maintenance mechanism to:
 Correct information about a resear...
Thanks for your attention.
©2013 OCLC. This work is licensed under a Creative Commons Attribution 3.0 Unported License. Su...
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Registering Researchers in Authority Files

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Presented by Karen Smith-Yoshimura at the UC Berkeley School of Information, Information Access Seminar, 6 December 2013

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Registering Researchers in Authority Files

  1. 1. OCLC Research UC Berkeley School of Information, Information Access Seminar Registering Researchers in Authority Files 1 Karen Smith-Yoshimura 6 December 2013
  2. 2. Scholarly output impacts the reputation and ranking of the institution 2 We initially use bibliometric analysis to look at the top institutions, by publications and citation count for the past ten years… Universities are ranked by several indicators of academic or research performance, including… highly cited researchers… Citations… are the best understood and most widely accepted measure of research strength.
  3. 3. A scholar may be published under many forms of names 3 Also published as: Avram Noam Chomsky N. Chomsky ‫تشومسكي‬ ‫نعوم‬ ‫חומסקי‬ ‫נועם‬ Works translated into 50 languages (WorldCat) Journal articles Νόαμ Τσόμσκι ন োম চমস্কি ནམ་ཆོམ་སི་ཀེ། નોઆમ ચોમ્સ્કી नोआम चाम्सकी Նոամ Չոմսկի ノーム・チョムスキー ნოამ ჩომსკი Ноам Чомски ನ ೋಅಮ್ ಚಾಮ್ಸ್ಕೋ 노엄 촘스키 ന ോം ന ോംസ്കി ਨੌ ਮ ਚੌਮਸਕੀ Ноам Хомский 诺姆·乔姆斯基
  4. 4. Same name, different people 4 Conlon, Michael. 1982. Continuously adaptive M-estimation in the linear model. Thesis (Ph. D.)--University of Florida, 1982.
  5. 5. One researcher may have many profiles or identifiers… 5 (from an email signature block) Profiles: Academia / Google Scholar / ISNI / Mendeley / MicrosoftAcademic / ORCID / ResearcherID / ResearchGate / Scopus / Slideshare / VIAF / Worldcat
  6. 6. Registering Researchers in Authority Files Task Group 6 How to make it easier for researchers and institutions to more accurately measure their scholarly output?  Challenges to integrate author identification  Approaches to reconcile data from multiple sources  Models, workflows to register and maintain integrated researcher information
  7. 7. Registering Researchers in Authority Files Task Group Members 7  Micah Altman, MIT - ORCID Board member  Michael Conlon, U. Florida – PI for VIVO  Ana Lupe Cristan, Library of Congress – LC/NACO trainer  Laura Dawson, Bowker – ISNI Board member  Joanne Dunham, U. Leicester  Amanda Hill, U. Manchester – UK Names Project  Daniel Hook, Symplectic Limited  Wolfram Horstmann, U. Oxford  Andrew MacEwan, British Library – ISNI Board member  Philip Schreur, Stanford – Program for Cooperative Cataloging  Laura Smart, Caltech – LC/NACO contributor  Melanie Wacker, Columbia – LC/NACO contributor  Saskia Woutersen, U. Amsterdam  Thom Hickey, OCLC Research – VIAF Council, ORCID Board
  8. 8. Stakeholders & needs 8 Researcher Disseminate research Compile all output Find collaborators Ensure network presence correct Funder Track research outputs for grants University administrator Collate intellectual output of their researchers Journalist Retrieve all output of a specific researcher Librarian Uniquely identify each author Identity management system Associate metadata, output to researcher Disambiguate names Link researcher's multiple identifiers Disseminate identifiers Aggregator (includes publishers) Associate metadata, output to researcher Collate intellectual output of each researcher Disambiguate names Link researcher's multiple identifiers Track history of researcher's affiliations Track & communicate updates
  9. 9. Some functional requirements 9 Link multiple identifiers a researcher might have to collate output Associate metadata with a researcher’s identifier that resolves to the researcher’s intellectual output. Verify a researcher/work related to a researcher is represented Register a researcher who does not yet have a persistent identifier Researcher and university administrator as a stakeholder Funder and university administrator as a stakeholder Link metadata for a researcher’s output to grant funder’s data
  10. 10. More functional requirements 10 Create consistent and robust metadata  Associate metadata for a researcher’s output with the correct identifier  Disambiguate similar results  Merge entities that represent the same researcher and split entities that represent different researchers Librarian as a stakeholder
  11. 11. Yet more functional requirements 11 Link a researcher’s multiple identifiers Associate an identifier with an identity which resolves to information about the researcher  Determine whether authority record represents a single identity Affiliate an researcher with multiple departments, institutions, disciplines Track history of a researcher’s various affiliations over time  Merge entities representing the same researcher & split entities representing different researchers  Communicate information to other systems  Tag each data element with its source or provenance  Support batch searching and updating  Support Unicode to record researchers’ names and citations in their own language and writing system Aggregator and identity management system as a stakeholder
  12. 12. Systems profiled (20) 12 Authority hubs: Digital Author Identifier (DAI) Lattes Platform LC/NACO Authority File Names Project Open Researcher and Contributor ID (ORCID) ResearcherID Virtual International Authority File (VIAF) Current Research Information System (CRIS): Symplectic Identifier hub: International Standard Name Identifier National research portal: National Academic Research and Collaborations Information System (NARCIS)
  13. 13. Systems profiled (20) 13 Researcher profile systems: Community of Scholars Google Scholar LinkedIn SciENcv VIVO Subject author identifier system: Subject repository: arXiv Research & collaboration hub: nanoHUB Reference management: Online encyclopedia: Wikipedia
  14. 14. Partial overview: Authority & identifier hubs 14 Digital Author Identifier Researchers in all Dutch CRIS & library catalogs 66K Lattes Platform Brazilian researchers and research institutions 2M people, 4K inst. ISNI Data from libraries, open source resource files, commercial aggregators, rights management organizations. Includes performers, artists, producers, publishers 7M total; 720 K researchers LC/NACO Authority File Persons, organizations, conferences, place names, works 9M total; ? researchers ORCID Individual researchers plus data from CrossRef/Scopus, institutions, publishers 200K ResearcherID Researchers in any field, in any country 250K VIAF Library authority files for persons, organizations, conferences, place names, works 26M people; ? researchers
  15. 15. 2013-12-06 15 Some overlaps
  16. 16. ISNI & ORCID 16 Complementary systems with two different approaches Share two goals: 1. Assign and share identifiers so both databases have only one identifier for a specific person 2. Share publicly available metadata Coordination:  ISNI allocated range of identifiers for ORCID’s exclusive use  ORCID using ISNIs for organizations  Developing interoperation: consult ISNI database during ORCID registration ISNI: Consolidates data from multiple databases ORCID: Researchers self-register From: ISNIs for researchers 2013-09 http://www.isni.org/filedepot_download/126/345
  17. 17. Partial overview: CRIS & Researcher Profile Systems 17 CRIS (e.g. Symplectic) Institutional data sources plus article & citation, reference databases, bibliographies. Author names, identifiers, affiliations, bibliography, grants, professional activites > 100K Community of Scholars Researcher-created profiles plus over 70 article & citation databases > 3M profiles Google Scholar Authors of publications in commercial, institutional, & web sources indexed by Google Scholar. Millions ? "verified" research profiles LinkedIn International user base; profiles created by individuals & organizations. 200M; ? researchers SciENcv National Institutes of Health pilot to link researchers to their grants and output. Data from federal and non-federal sources. Embedding ORCIDS Planned: >100K VIVO Sources: funding agencies, institutions, scholar self-reports, open source & publisher data. Profiles include all scholarly output & research, teaching, service activities 1M people, 10M publications
  18. 18. Controlled Information Source Uncontrolled Information Source Organizational Directory Profile NACO RERO GNL … Anonymous Pull Authenticated Pull Authenticated Push VIAF (Identifiers) Individuals, Pseudonyms, Organizations, Uniform titles, Fictional Names ISNI (Identifiers) Individuals, Pseudonyms, & Organizations ORCID: (Identifiers & Researcher outputs) Living Researchers VIVO: (Researcher Outputs) Researchers from Member Institutions Public View Ringold (Org Names) Bowker Specific Actor Actor Type Question ? Library Catalog Gateway Institutional Repository Gateway Libraries ORCID Member Research Orgs Scholarly Publishers Individual Researchers VIVO Member Research Orgs Library Catalogs Individually Maintained Profile Institutional Repository Catalogs Aggregator: (Content Type) Scope Aggregator: Internal/Privat e Funder Maintained Profiles (e.g. ScienceCV) LinkedIn MendeleyGoogle Scholar CrossRef: (Publication) Journal Authors ISNI Registration Agencies/M embers Harvard Profiles/Other Institutionally Deployed Profile systems How do corrections, annotations, and conflicting assertions on public profile presentation propagate back ? CAP How are differences in data models , provenance – maintained ? CRIS Instances E.g. Symplectic, METIS National Identifier Systems (Identifier) E.g. DAI National Research Institutions Overlap among members of group actor types? Book Publishers
  19. 19. Some possibly emerging trends 19  Widespread acknowledgement that persistent identifiers for researchers is needed  Universities assigning identifiers to researchers Assigning ORCIDs to authors when submitting electronic dissertations in institutional repositories Pilot to automatically generate preliminary authority records from publisher files (Harvard U. press, one other) Assigning ISNI identifiers to their researchers. Assigning local identifiers to researchers who don’t have one. Using UUIDs (Universally Unique identifiers) to map to other identifiers like ORCID.  Registration files rather than authority files for researcher identification
  20. 20. More possibly emerging trends 20  Open data/public access mandates will require more widespread use of identifiers. Open access policy “in support of open and unrestricted access to published research” “Free and open access to publicly-funded research” “…free online access…is the most effective way of ensuring that the fruits of its research can be accessed, read and used as the basis for further research.”  Increasing use of ORCIDs and ISNIs, large international efforts to disambiguate names.
  21. 21. Yet more possibly emerging trends 21  Researchers with multiple identifiers in multiple systems  Researcher web sites asking that participants have ORCIDs  Recognition that there is no one central authority file  Linking between library and non-library domains.  Publishers using linked data  Increasing interoperability between systems.  Automatic addition of ISNIs to LC/NACO authority records  ISNI – VIAF interoperability procedures  ORCID and ISNI coordination  CRIS integration with VIVO  More formats to represent metadata about researchers.
  22. 22. Opportunities? 22  Identifiers instead of text strings  Role of authority records  Link article authors to those in library authority files.  Link and integrate all scholarly output  Generate authority “records” from university’s faculty files  Third-party reconciliation or resolution services
  23. 23. Nascent recommendations 23  Researcher: Obtain persistent identifier before submitting any output.  Librarian/university administrator/aggregator: Assign persistent identifiers to authors at point of submission if don’t already have one  Electronic dissertations in institutional repositories  Papers, datasets to research websites  Articles to journal aggregators Criteria for stakeholders to select identifier for the context or domain of applicability.
  24. 24. More nascent recommendations 24 Hub/aggregator:  Establish maintenance mechanism to:  Correct information about a researcher  Merge entities representing same person  Split entities representing different researchers.  Establish protocols to communicate changes to original source  Create framework to identify privacy & rights issues  Address interoperability of standards for both formats and data elements
  25. 25. Thanks for your attention. ©2013 OCLC. This work is licensed under a Creative Commons Attribution 3.0 Unported License. Suggested attribution: “This work uses content from [presentation title] © OCLC, used under a Creative Commons Attribution license: http://creativecommons.org/licenses/by/3.0/” smithyok@oclc.org @KarenS_Y viaf.org/viaf/72868513 http://www.oclc.org/research/activities/registering-researchers.html

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