This document summarizes Laurel Haak's presentation on ORCID (Open Researcher and Contributor ID) at the CAUL/ANDS Roundtable in Canberra on July 29, 2014. ORCID aims to solve the problem of name ambiguity and lack of unique identifiers for researchers by providing a free, global registry of unique identifiers for individuals. Over 800,000 identifiers have been issued since 2012. ORCID works with various stakeholders like publishers, funders, and universities to integrate ORCID IDs and enable interoperability between systems through its APIs. The presentation provides examples of how various organizations are integrating ORCID into their workflows and systems.

1. orcid.org
Contact Info: p. +1-301-922-9062 a. 10411 Motor City Drive, Suite 750, Bethesda, MD 20817 USA
ORCID: Persistent Identifiers
for Researchers and Contributors
CAUL/ANDS Roundtable, Canberra 29 July 2014
Laurel L. Haak, PhD
Executive Director, ORCID
L.Haak@orcid.org
http://orcid.org/0000-0001-5109-3700

2. Name Ambiguity Is a Problem
J. Å. S. Sørensen
J.Aa. S. Sørensen
J. Åge S. Sørensen
J.Aage S. Sørensen
J. Åge Smærup Sørensen
J.Aage Smaerup Sørensen
http://ands.org.au/newsletters/share_issue18.pdf

3. One researcher may have many
profiles and identifiers
3

4. What are name identifiers?
• Numeric or alpha-numeric persistent designations associated
with a single entity
• Entities can be an institution, person, or piece of content

5. …and what do identifiers do, exactly?
Disambiguate and enforce uniqueness
Enable linking and data integration
In other words, persistent identifiers provide a
simple basis for data governance

6. 6
Other
Person
Identifiers
Funders
Higher
Education
and
Employers
Professional
Associations
Repositories
Publishers
ORCID is a hub
The ORCID identifier
connects researchers with
their works, organizations,
and their other person
identifiers.
ORCID APIs enable data
exchange between research
information systems.
ISNI
Researcher ID
Scopus Author ID
Internal identifiers
FundRef
GrantID
ISNI
Ringgold ID
Member ID
Abstract ID
DOI
ISBN
Thesis ID
DOI

7. v ORCID provides a free, non-proprietary registry of persistent
unique identifiers for researchers, scholars, and analysts
v ORCID iDs are embedded in research systems and ORCID
provides APIs that enable the interoperable exchange of
information between systems
v ORCID code is open source and we support community efforts to
develop tools and services
v ORCID iDs link to other research information identifiers
v ORCID is an independent non-profit organization supported by
member fees
ORCID
29 July 2014 orcid.org
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v ORCID record data marked
public by researchers is
published annually

8. v Data Governance: ORCID is committed to maintaining persistence of
the ORCID identifier Registry and data in its charge.
v Organization Governance: ORCID is governed by an elected
Board of Directors, majority non-profit, drawn from and representative of
ORCID member organizations. Governance documents are posted
online.
v In addition to the Board of Directors, ORCID has
Steering and Working Groups and an Ambassador program open to the
research community.
v Staff: ORCID operations are managed by a full time staff.
ORCID Governance
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9. Adoption and Integration
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ORCID has issued over 800,000 iDs
since our launch in October 2012.
Integration and use is international.
EMEA
35%
Americas
50%
AsiaPac
15%
Over 140 members, from every
sector of the international
research community
-
100,000
200,000
300,000
400,000
500,000
600,000
700,000
800,000
Oct
Nov
Dec
Jan
Feb
Mar
Apr
May
Jun
Jul
Aug
Sep
Oct
Nov
Dec
Jan
Feb
Mar
Apr
May
June
Creator
Website
Trusted Party
Publishing
25%
Universities
& Research
Orgs
45%
Funders
7%
Associations
12%
Repositories
& Profile Sys
11%

10. Broad international usage
• 55 countries >10,000
unique visitors
• 97 countries >1,000
unique visitors
• Registry supports
multiple character sets
• Content in Spanish,
French, English, Chinese,
and Korean, and adding
Portuguese, Japanese,
and Russian in 2014
29 July 2014 10orcid.org
Country Sessions %
US 715717 16.1%
China 432621 9.7%
India 258187 5.8%
UK 243375 5.5%
Portugal 220325 5.0%
Spain 201182 4.5%
Italy 152584 3.4%
Brazil 152531 3.4%
Germany 147142 3.3%
Japan 127571 2.9%
Australia 111425 2.5%
France 108744 2.4%
Canada 94576 2.1%
Iran 89571 2.0%
South Korea 84402 1.9%
Russia 80004 1.8%
Vietnam 73145 1.6%
Turkey 73038 1.6%
Taiwan 60223 1.4%
Malaysia 58896 1.3%
Sweden 56948 1.3%
Netherlands 55613 1.3%
Egypt 47051 1.1%
Poland 41898 0.9%
Mexico 38850 0.9%
Switzerland 38739 0.9%
Belgium 28581 0.6%
Saudi Arabia 27995 0.6%
Ukraine 27922 0.6%
Greece 27096 0.6%

11. Australia
29 July 2014 11orcid.org
• Site Usage: Over 110,000 unique visits to the ORCID
Website from Australia, 2.5% of total site traffic
• ORCID Members: Charles Darwin University, University
of New South Wales, University of Queensland and
University of Sydney

12. Standard: One organization joins. Option for basic or
premium benefit levels. Discount for non-profits.
Local consortium: One lead organization coordinates
membership and technical implementation with group
participants. Fee based on number of organizations in the
group and benefit level. Discount for groups of 5 or more.
National consortium: One lead organization coordinates
membership and technical implementation for group
participants. Sliding fee based on national GDP.
How to join
http://orcid.org/about/membership

13. Guess what? There are ambiguity issues
with content and organizations, too.
A rose by any other name...
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14. Wellcome Trust OA Study
“No naming authority was imposed on the file, so entities have a variety of names.
For instance, the American Chemical Society is referred to in a number of ways —
ACS,ACS Publications,American Chemical Society, and The American Chemical
Society, among others. PLOS ONE is listed in a similar variety of ways, as are most
of the publishers and journals with multiple entries…..By allowing authors to
freestyle the name of the payee, we are creating a very loose data source for
analysis.”
http://scholarlykitchen.sspnet.org/2014/03/21/wellcome-money-in-this-example-of-open-access-funding-the-
matthew-effect-dominates/

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Interoperability
v ORCID works collaboratively with the research
community on development and adoption of research
information exchange standards

16. Link to works
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Link to existing works
through (a) self-claim search
wizards and (b) embedding in
new works (and link back to
ORCID) via integration by
publishers in manuscript
submission systems.

17. Leveraging FundRef
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Classifications & metadata
fields consistent w/CASRAI Link to
existing
funding
Funding organization list
coordinated with FundRef
Embed during grant
application workflow

18. Leveraging Ringgold and ISNI
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Organization
list from è
Ringgold
(an ISNI Registrar)

19. Interoperability with ISNI
• 3-part technical implementation plan
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• link ISNI person IDs with ORCID
records (October 2013)
• create tools to harvest document
metadata from relevant databases
(ISBN, October 2013)
• link ORCID iDs with ISNI records,
and test the feasibility of allowing
review and validation of ISNI records
(planned).
• May be relevant approach for
linking between ORCID and NLA

20. Who is
Integrating
and How?
20
• Publishers
• Research Funders
• Professional Associations
• Universities and Research Orgs
• Repositories, CRIS, Metrics Sites
For a list of organizations and integrations see
http://orcid.org/organizations/integrators

21. http://www.jisc.ac.uk/whatwedo/programmes/di_researchmanagement/researchinformation/orcid.aspx
http://openaccess.blogg.kb.se/2013/01/30/slutrapport-fran-projekt-forfattarindentifikatorer/
National discussions
29 July 2014 orcid.org
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bit.ly/1abIOyG

22. Publishing
29 July 2014 orcid.org
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Acknowledge Reviewers

24. 24
“Where possible, it is also
recommended that contributors be
uniquely identifiable, and data uniquely
attributable, through identifiers which
are persistent, non-proprietary, open
and interoperable (e.g. through
leveraging existing sustainable initiatives
such as ORCID for contributor
identifiers and DataCite for data
identifiers).”
European Commission H2020 Grantee Guidelines
http://biomedicalresearchworkforce.nih.gov/tracking-system.htm#d
Funding Policy

25. Case Study: Grant Applications
Add your ORCID
identifier during the grant
application process
Wellcome Trust has
integrated ORCID
iDs into its eGrants
application system.

26. Case Study:Autism Speaks
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Autism Speaks
using ORCID
broadly, from
pre-award to
post-award and
in linkages and
information
exchange with
other funders
and publishers.

27. Case Study: FCT
29 July 2014 orcid.org
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12/2/13,
1866
12/2/13,
12010
0
2000
4000
6000
8000
10000
12000
14000
Oct-12 Jan-13 Apr-13 Aug-13 Nov-13 Feb-14
iDs created with .pt email domain
Weekly total Running total
FCT requires grantees to register
for ORCID iD and link to
organization and works
Fundação para a Ciência
e a Tecnologia (FCT) is
using ORCID as a
component of a nation-
wide CRIS eco-system,
enabling interoperability
among multiple research
systems including the
RCAAP national Open
Access repository, the
DeGóis CV system, and
the Authenticus indexed
publications repository

28. “AGU is implementing ORCIDs in
our member records, editorial
databases, and papers. Having
the ability to uniquely identify
scientists helps the society,
editors, authors, and members in
many ways, from improving
efficiency to providing services
and support.”
Brooks Hanson, Director of Publications,
American Geophysical Union
http://orcid.org/0000-0001-6230-7145
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Professional Associations
http://www.slideshare.net/ORCIDSlides/20131029-mcentee

29. “We want to use ORCIDs to simplify
the life of Oxford’s researchers for
working with institutional systems and
publishers’ systems by re-using already
available information for publication
data management and reporting.
The motto is: Input once – re-use
often.”
Wolfram Horstmann,Assoc. Director, Bodleian Libraries,
University of Oxford
http://orcid.org/0000-0001-8673-6104
29 July 2014 orcid.org
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Universities

30. How are
Universities
Integrating?
30
For more on university integrators see
http://orcid.org/organizations/researchorganizations
• Get an ORCID iD and insert it in LDAP system,
CRIS, dissertation thesis, or directory
• Get Data from an ORCID Record and
export into a CRIS or update a repository
• Enable import of CRIS data into an ORCID
Record
• Link to identifiers in your system
• Create an iD for your faculty, staff, and students
and pre-populate with affiliation and works
information

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University Workflows
• Jisc and ARMA ORCID pilot program for
UK Higher Education Institutions.
• Alfred P. Sloan Foundation award supports
ORCID implementation by US universities
and professional associations. Prototypes
showcased at ORCID Outreach meeting,
May 2014.

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Integration Process
• Planning Guide:
http://support.orcid.org/knowledgebase/articles/321374-
timeline-for-creating-orcid-ids-via-the-api
• API Overview:
http://support.orcid.org/knowledgebase/articles/180285-
introduction-to-the-orcid-api
Technically, integrating ORCID involves adding
<person ID> and <source> fields to data models,
mapping to ORCID API, and implementing OAuth
and RESTful calls.
Socially, it is critical that researchers are engaged in
the process.

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Case Study: Create/Connect

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Case Study: Create/Connect
http://www.slideshare.net/ORCIDSlides/orcid-intgration-risuandersson

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Case Study: Record Creation
http://www.slideshare.net/ORCIDSlides/johnson-cu-boulderorcidoutreachmeetingslides
Current status: 3212 records created on 15 July, 2014

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Case Study: UC Boulder cont’d
http://www.slideshare.net/ORCIDSlides/johnson-cu-boulderorcidoutreachmeetingslides

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Case Study: Access Management
• IAM options under discussion:
• ORCID field is added to LDAP; hyperlinked to
orcid.org
• Sponsored program grants system requirement
• Michigan Experts Researcher Profiles
• UM Research Data Repository
• Medical school CV system
http://www.slideshare.net/ORCIDSlides/
westbrooksorcid-140520185706phpapp01
• Supporting $1.3 billion research enterprise
• 2 campuses: separate IT departments,
administrations, and cultures
• Library managing project, with Campus IT (ITS) –
core partner for integrating ORCIDS in institutional
access managemet (IAM)

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Case Study: Theses
In February 2014,Texas A&M University
(TAMU) minted ORCIDs for ~10K
graduate students.They are on the front
line of developments to use
persistent identifiers to link students,
theses, and educational organizations. The
TAMU effort is being led by the library, in
coordination with other campus offices
and divisions, including the Provost’s office
and Graduate School. One component of
their effort has been development of
Library Guides to provide context for the
TAMU rollout of ORCID.

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Case Study: Theses
http://oaktrust.library.tamu.edu/bitstream/handle/1969.1/151981/ORCIDopoly%20TAMU%20Poster.pdf?sequence=1

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Case Study: Research Reporting
http://www.slideshare.net/
ORCIDSlides/orcid-
outreach-27-52014-s-rumsey4-3
ORCID at Oxford
• Challenge of managing research outputs
• > 5000 research active staff
• > 5000 research students
• Estimated 12,000 peer reviewed articles per annum
• Highly devolved institution
• Oxford Person Identifiers Group
• Representatives from Bodleian Libraries; IT Services;
Research Services; Legal Services; Student Administration;
OUP. Project endorsed by the Research Information
Management Sub-Committee of the Research Committee
• Part of Jisc-ARMA ORCID Pilot
• Oxford approach is a lightweight model that
supports control and ownership of personal
information by researchers

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Case Study: Research Reporting
Process of ORCID assignment/linking for Oxford authors
User logs in via SSO
request new ORCID/link
existing ORCID button
ORCID associated with
person in CUD
a) New ORCID: Create ORCID
b) Existing ORCID: Sign in to
ORCID [validation]
Person associated with ORCID
ORCID iD
• First/Last Name
• email
• University of
Oxford ID

42. Support by CRIS systems
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ORCIDwVIVO Integration
Cornell University has integratedVIVO with
ORCID in a way that works for and
can be used in otherVIVO instances to link
VIVO iD with ORCID identifier. Available in
VIVO 1.7 in July 2014 and on github
ORCID Java library.
In
Pure,
Authors
can
now
include
their
ORCID
iD
when
creating
reference
data.
If
they
choose
to
import
publication
records
from
Scopus
into
PURE,
the
ORCID
UI
can
be
used
to
make
an
accurate
association
between
the
imported
record
and
speciCic
institutional
authors.
..,also support for ORCID in
Profiles, PeopleSoft, and Cilea

43. Repository Integration
• DataCite
• DSpace (UMissouri)
• ePrints (UBern)
• EThOS (British Library)
• HUBzero (U Notre Dame)
• Hydra/Fedora (Purdue)
• InSPIRE (CERN)
• Vireo (Texas A&M)
• Reactome
More at
http://orcid.org/blog/2014/03/10/orcid-
repositories-and-researchers
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44. 4429 July 2014 orcid.org
Thank you!