The document discusses the use of persistent identifiers like ORCID and ISNI to disambiguate authors and connect research outputs and activities. It provides an overview of how ORCID and ISNI work, their differences and complementarity, adoption rates, and plans for further interoperability between the two systems through linking identifiers and exchange of metadata to better connect researcher profiles and works across research workflows and databases.

1. Improving Discoverability with
Unique Identifiers: ORCID, ISNI, and
Implementation
NFAIS, 23 July 2014
Laurel L. Haak, PhD
Executive Director, ORCID
L.Haak@orcid.org
ISNI 0000000138352317
http://orcid.org/0000-0001-5109-3700
Laura Dawson
Product Manager, Identifier Services, Bowker
Laura.Dawson@bowker.com
ISNI 0000 0004 1029 5439
http://orcid.org/0000-0001-9648-1782

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
or
iden3fiers…
3

4. What are standard 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 they do, exactly?
Disambiguate and enforce uniqueness
Enable linking and data integration
In other words, persistent identifiers provide a
simple basis for data governance

6. Stakeholders have distinct needs
6
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
K. Smith-Yoshimura, et al., 2014, Registering Researchers in Authority Files, OCLC
Research http://www.oclc.org/research/activities/registering-researchers/progress.html

7. Comparing Systems
ORCID ISNI
Researcher-driven, privacy policy, can
be claimed only by live people
Library/algorithm-driven, can be
assigned to any author
16-digit number, compatible with ISO 27779 standard, last character is a
checksum. ORCID and ISNI identifier assignments do not overlap.
Resolvable as an HTTP URI Resolvable as an HTTP URI
Integrated in research workflows:
publishing, grants, datasets and is
thereby embedded in works metadata
Assignment requires some form of
publicly available work, and is curated
by library experts
Scope is persistent identifier for
researchers and contributors
Scope is persistent identifier for
authors and rights management, also
identifier for organizations
22 July 2014 7

8. Complementary Systems
22 July 2014 orcid.org
8
http://scholarlykitchen.sspnet.org/2014/03/12/name-identification-using-the-isni/

9. Interoperation
22 July 2014 orcid.org
9

10. 10
Repositories
Funders
Higher
Education
and
Employers
Professional
Associations
Other
person
identifiers
Publishers
ORCID is a hub
ORCID APIs enable
exchange between
research data systems
to enable connections
between researchers,
their works (papers,
grants, datasets, and
more), organizations,
and other identifiers
ISNI
Researcher ID
Scopus Author ID
Internal identifiers
FundRef
GrantID
ISNI
Ringgold ID
Member ID
Abstract ID
DOI
ISBN
Thesis ID
DOI

11. Link to works
22 July 2014 orcid.org
11
Link to existing works
through self-claim search
wizards and embedded in
new works through
integration by publishers in
manuscript submission
systems

12. Leveraging FundRef
22 July 2014 orcid.org
12
Classifications metadata
fields consistent w/CASRAI Link to
existing
funding
Funding organization list
coordinated with FundRef
Embed during grant
application workflow

13. Adoption and Integration
22 July 2014 orcid.org
13
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%

14. Guess what? There are ambiguity issues
with content and organizations, too.
A rose by any other name...
22 July 2014 orcid.org
14

15. Leveraging Ringgold and ISNI
22 July 2014 orcid.org
15
Organization
list from è
Ringgold
(an ISNI Registrar)

16. Interoperability with ISNI
• 3-part technical implementation plan
22 July 2014 orcid.org
16
• link ISNIs with ORCID records
(October 2013)
• create tools to harvest document
metadata from relevant databases
• implement authenticated search
and linkage of ORCID iDs with
ISNI records, and test the
feasibility of allowing review and
validation of ISNI records.

17. Who
is
ISNI
• ISO
iden3fier
• Founding
members
– IFRRO
(Interna3onal
Federa3on
of
Reproduc3on
Rights
Organiza3ons)
– CISAC
(Interna3onal
Confedera3on
of
Authors
and
Composers
Socie3es)
– SCAPR
(Socie3es’
Council
for
the
Collec3ve
Management
of
Performers’
Rights)
– OCLC
– CENL
(Conference
of
European
Na3onal
Librarians),
represented
by
the
Bri3sh
Library
and
the
Na3onal
Library
of
France
– ProQuest,
represented
by
Bowker

18. Members
Quality
Team
Board
of
Directors
ISNI
Organiza3onal
Structure
Registra3on
Agencies
Ongoing
assignments/
general
public

19. Stage
One
Customer
submits
data
to
Registra3on
Agency
Registra3on
Agency
sends
file
to
Assignment
Agency
Assignment
Agency
assigns
as
many
ISNIs
to
the
names
as
it
can

20. Stage
Two
Assignment
Agency
sends
assigned
file
to
Registra3on
Agency
Registra3on
Agency
sends
assigned
file
to
Customer
Customer
reviews,
QAs,
ingests

21. Stage
Three
Assignment
Agency
sends
updates
on
a
monthly
basis
Registra3on
Agency
disperses
files
to
appropriate
Customers
Customers
ingest
updates

22. Display
• Only
minimal
metadata
is
displayed
• Not
meant
as
a
comprehensive
profile
• ISNI
is
a
tool
for
linking
data
sets,
colloca3on,
and
disambigua3on
• Enhancements
to
the
record
can
be
made
but
not
required

23. Works
• Prerequisite
to
have
a
work
for
ISNI
assignment
• The
more
works
aUributed
to
a
contributor,
the
more
confident
the
assignment
• 800,000
researchers
in
the
ISNI
database
have
works
aUributed
to
them
• Associa3ons
(with
other
contributors
or
ins3tu3ons)
contribute
to
data
confidence

24.
Assignment
Approach
• Using
exis3ng
data
sets
• Strong
Quality
Assurance
process
• Conserva3ve
–
err
on
the
side
of
provisional
assignment
• High
level
of
confidence
in
matching
• Many
sources
of
data
per
contributor
– Each
contributor
must
be
cited
in
at
least
2
separate
data
sets

25.
a
bridge-­‐iden*fier
across
mul*ple
domains
– Hundreds
of
databases
loaded
into
a
central
registry
-­‐
Data
Contributors
– ISNIs
assignment
to
loaded
data
is
curated
• Matching
algorithms,
data
sampling,
anomaly
checks,
quality
assurance
processes,
End
User
input
notes
– Online
assignment
• Registra3on
Agencies,
ISNI
Members
(organisa3ons)
– Scope
is
universal
• ISO
standard
(ISO
27729)
for
iden3fica3on
of
public
iden33es
of
authors,
researchers
(mostly
authors
in
journals,
authors
of
theses),
ar3sts,
composers,
performers,
organisa3ons,
publishers,
aggregators,
etc.
• c.
8
milllion
ISNIs
assigned
(800,000
researchers)

26. Libraries
Text
Rights
Music
Rights
Trade
Sources
Encyclopaedias
Researchers
Professional
ISNI
diffusion
to
Data
Sources
Linked
Data
Value
Chain
Other
future
cultural
heritage
sources
“identifier hub”
enables

27. • Developing
tools
for
interopera3on
• ISNI
reciprocal
lookup
with
ORCID
• Poten3al
data
sharing
– ORCID
Mul3ple
Asser3ons
Working
Group(?)
• Ins3tu3onal
iden3fiers:
NISO
I2
• Links
ORCID
into
the
ISNI
Linked
Data
Value
chain
• Links
ISNI
with
ORCID
Researcher
Engagement
ISNI
relaEonship
to
ORCID

28. Interoperability
• White
paper
– Working
out
technical
issues
of
linking
– AUemp3ng
a
one-­‐to-­‐one
correspondence
– Laying
the
infrastructure
to
determine
whether
a
shared
or
linked
system
is
beUer
• Stronger
working
together
• Make
more
data
beUer
for
everyone
• Seeking
funding
from
Horizon2020