ORCID IDS IN FUNDER WORKFLOWS ARMS PRECONFERENCE WORKSHOP

ORCID IDS IN FUNDER WORKFLOWS ARMS PRE-CONFERENCE WORKSHOP, WELLINGTON, NZ | 26 SEPTEMBER 2017 Josh Brown Director of Partnerships j. brown@orcid. org/0000 -0002 -8689 -4935 Nobuko Miyairi Regional Director, Asia Pacific n. miyairi@orcid. org http: //orcid. org/0000 -0002 -3229 -5662 1

WHAT IS ORCID? • An identifier for researchers • A registry • A set of standard procedures for connecting researchers to their affiliations and activities • A committed community building connectors • An international-scale open research effort

ORCID’s vision is a world where all who participate in research, scholarship, and innovation are uniquely identified and connected to their contributions and affiliations across time, disciplines, and borders.

These connections matter because research progress is based on the communication of ideas – between individuals, and organizations – and research credit and careers are built on the quality and success of those communications.

INTEROPERABILITY ENTER ONCE REUSE OFTEN

ORCID IS OPT-IN • ORCID is an opt-in system • Researchers own and control their record • An ORCID record is portable and travels with its owner throughout their career http: //orcid. org/about/what-is-orcid/principles 6

THE ORCID COMMUNITY • Over 3. 8 million researchers • 741 members from 39 countries, including national consortia in Australia, Belgium, Canada. Denmark, Finland, Germany, Italy, the Netherlands, New Zealand, Taiwan, the UK and 4 regional consortia in the US • Over 550 integrations in each sector of the research community

ORCID QUIZ!

Question 1 The use of ORCID is free of charge for individual users. YES 9

Our Principles https: //orcid. org/about/what-is-orcid/principles

Question 2 You can create an ORCID account even if you are not a researcher. YES 11

Open Researcher & Contributor ID

Question 3 You can keep sensitive information such as your birth date and credit card numbers securely in your ORCID record. NO 13

https: //orcid. org/about/trust/control

Question 4 All the information on your ORCID record is publicly viewable. NO 15

CONTROL YOUR PRIVACY Each item in your ORCID Record has a privacy setting, which you can set yourself PUBLIC Accessible by anyone LIMITED Accessible by Account Owner + Trusted Organization(s) PRIVATE Accessible by Account Owner only

Question 5 You can ask another ORCID user to manage your ORCID record on your behalf. YES 17

ACCOUNT SETTINGS

Question 6 You can keep your old email addresses in your ORCID record, even if you no longer have access to those emails. YES 19

Question 7 You can manually add grants and funding awards to your ORCID record. YES 21

Question 8 ORCID is a not-for-profit organization, sustained by fees from our member organizations. YES 23

ORCID membership growth 800 700 600 500 400 300 200 100 0 Sep Nov Jan Feb May Jul Sep Nov Jan Feb May Jul Sep 2012 2013 2014 2015 2016 2017

Question 9 Organizations can create and assign ORCID i. Ds to their employees. NO 25

Question 10 Universities can populate their faculty bio and past publications into their ORCID records using ORCID Public API. NO 26

Researcher ORCID record xxxx-xxxx-xxxx Register & Manage ORCID record Permissions to use ORCID record ORCID Member API Add & update activities ORCID member organizations • Basic information • • Name Email addresses　　　　　　 etc. • Account settings • Biography, Education, Affiliation • Research activities • • Publication Peer review Patents Grants　　etc.

FUNDERS AND ORCID

PARTICIPATING FUNDERS National funding agencies are using ORCID in their grants management systems including the National Institutes of Health (US), National Science Foundation (US), National Research Foundation (ZA), National Institutes of Health Research and Research Councils UK, and the National Health and Medical Research Council (Australia).

WHY DO FUNDERS CARE? • Streamline application process by pulling information from ORCID • Ensure accurate citation of award (both grant numbers and organization name) by pushing award information into ORCID record • Enable real-time reporting by using ORCID notification API • Recognize reviewers, too!

APPLYING FOR A GRANT

STREAMLINE APPLICATIONS Collect ORCID i. Ds during applications Pull: • Employment and education affiliations • Publications, datasets and other works • Biography • Previous funding …from ORCID record

STREAMLINE APPLICATIONS

STREAMLINE APPLICATIONS • All this information can be imported from the ORCID record with no typing or manual input by the researcher. • If a limited amount of information is required, researchers can pick from the list, and the API can send selected data. BENEFITS: No more manual entry means less time taken and fewer mistakes.

REVIEWING A GRANT

GRANT REVIEW WORKFLOW Researcher • Link their ORCID to own account • Add ORCID to investigators too Funder ORCID Embed reviewer’s ORCID in the review and push review acknowledgement Receive new review info from funder and add to researchers’ ORCID records Notified via email

GRANT REVIEW • Recognising review activities helps other funders to see the full picture of a reviewer’s professional activity. • It helps researchers to demonstrate their ‘good citizenship’ and professional status. BENEFITS: Rewarding review service motivates researchers, and aids funder transparency.

REPORTING OUTPUTS AND IMPACTS

The ability to uniquely identify contributors is a deceptively simple concept which, if realised, could enable forms of real-time understanding of scientific research that up to now have been extremely costly (if not impossible). --Jonathan Kram, Wellcome Trust

ORCID IDS AND OUTCOME REPORTING • Real time reporting means funders can see the impact of their investment from the moment it begins to occur • Researchers spend less time reporting, saving time. • Data quality is improved by machine-to-machine connections BENEFITS: Speed, efficiency and quality of data are all improved, for researchers and funders.

REPORTING: AN EXAMPLE WORKFLOW

HOW DOES USING AN ORCID ID MAKE REPORTING EASIER? We created a new proof of concept demonstration to match ORCID i. Ds for grantees to outputs linked to a specific grant. • This model can be used by any reporting system • Leverages the high level of ORCID adoption in the publishing industry

A NEW PROOF-OF-CONCEPT Research reporting: Step 1 A user needs to report outputs associated with a grant, so they log in to the prototype with their ORCID account…

A NEW PROOF-OF-CONCEPT Research reporting: Step 2 The user grants permissions to the prototype using the ORCID authentication process…

A NEW PROOF-OF-CONCEPT Research reporting: Step 3 Now the prototype has the i. D, it pulls funding information from the record, and the user selects a funding source…

A NEW PROOF-OF-CONCEPT Research reporting: Step 4 The prototype searchers for outputs associated with the user’s ORCID i. D, and the user selects works from the results to link to funding. Done.

REPORTING LEVERAGES EXISTING ORCID CONNECTIONS

CONNECTED FUNDING When funders push successful grant awards to the ORCID registry, it is available for easier funding acknowledgements.

Over 7000 journals are collecting ORCID i. Ds from authors, including requirements by American Chemical Society, American Geophysical Union, e. LIFE, EMBO, IEEE, PLOS, Royal Society of Chemistry, Science, and Wiley. ORCID’s vision is a world where all who participate in research, “Over 10, 000 authors have used our scholarship, and innovation are manuscript submission system since we uniquely identified and connected to launched the in January. their contributions acrossrequirement disciplines, We have received only one complaint. ” -borders, and time. Brooks Hanson, AGU

ORCID AUTO-UPDATE Author Publisher Crossref ORCID • Link own ORCID to author profile • Add ORCID to co-authors too Embed authors’ ORCID in the metadata when the manuscript is accepted Check authors’ ORCID in the metadata when assigning DOIs to new publications Receive new publication info from Crossref and add to authors’ ORCID records Notified via email

AUTO-UPDATE FOR DATA

AUTO-UPDATE IN ACTION

AUTO-UPDATE IN ACTION

AUTO-UPDATE IN ACTION

• Automatic update of ORCID and any connected system (such as a funder reporting site) means less time doing reporting tasks and more time for research • Accurate attribution means improved discoverability in publication databases and more reliable citation statistics

EXERCISE 1: APPLYING FOR A GRANT

DEMO (SCIENCV)

GRANT APPLICATION Break into three groups for 10 minutes, we’ll feed back and discuss afterwards. Discussion topic: • What are the biggest pain points in assembling grant applications for • Researchers? • Institutions? • Funders?

EXERCISE 2: REVIEWING A GRANT

PEER REVIEW Launched October 2015

OPEN PEER REVIEW

BLIND PEER REVIEW

QUESTIONS FOR DISCUSSION Who benefits from sharing review information? How?

QUESTIONS FOR DISCUSSION What information would you like funders to share about review activities?

QUESTIONS FOR DISCUSSION How can we balance transparency/efficiency against traditional blind review?

WHERE NEXT WITH FUNDING?

BUILDING VALUE, SECTOR BY SECTOR 69

INTEROPERABILITY ENTER ONCE REUSE OFTEN

ORCID Reducing Burden and Improving Transparenc y

ORCID is a hub for research information. We make connections using persistent identifiers.

Funders are hubs of activity and information. Researchers, organisations, and agencies all interact with funders.

The ORBIT project rests on a simple idea: By pooling our know-how and influence, we can deliver a huge step forward for the openness and reliability of research information.

WHY ORBIT? “How well information flows. . . has direct implications on how well research activity can be supported, and fundamentally how efficiently we can move research forward. ” Simon Porter (2016) Digital Science 76

WHY ORBIT? ORBIT was developed as a result of discussions with the US National Institutes of Health. NIH wanted to populate their Scien. CV platform with data from the ORCID record. They drew up a list of all the information they wanted to see in the ORCID record.

WHY ORBIT? By pulling information from a researchers ORCID record, NIH wanted to save researchers time and effort, improve data quality and make information easier to re-use. They wanted to lead by example. However, we all recognised that one funder in one country could not do this alone.

WHO IS IN ORBIT? So far, we are in active discussions with: • Australian funders • European Research Council • Research Councils UK • Wellcome Trust The Swiss National Science Fund are committed, and NIH have provided a small grant to help launch this collaboration.

WHAT WILL ORBIT DO?

ORBIT: AN OVERVIEW The project has many parts. To manage these we have broken out plan down into four linked areas of activity. • A wider ‘Funder Infrastructure Group’ • Data source analysis • Building connections • Improving Persistent Identifier coverage

ORBIT: AN OVERVIEW The initial focus is on: • Automatically populating funding applications with CV and career information • Sharing grant funding information via the ORCID registry • Extending the availability of research information, and making it easier to re-use

1: FUNDER INFRASTRUCTURE GROUP We will draw on the expertise and experience of a range of funders. The group will: • bring in other infrastructures, service-, platform- and system-providers. • validate our work, and ensure that it is globally relevant. • tackle wider challenges for research infrastructure for funders.

2: SHARING RESEARCH INFORMATION We will identify four kinds of information, with sources: • Available and connected (e. g. Crossref) • Available, not connected (supported by the registry, but with no source connections) • Unavailable (not yet in the registry, or need adjustment) • Other source needed (e. g. private information)

3: AUTOMATE COLLECTION AND RE-USE With machine-to-machine connections to data sources and funder systems we can: • Reduce errors and improve reliability • Ensure that data flows into systems when it is required • Enable easier reporting and tracking of outcomes and impact

4: INCREASE ADOPTION OF IDENTIFIERS Open science needs open connections. IDs can: • Help to connect people and outputs to organisations, funding and more • Provide a more complete picture of research activities, including reviews, training, dataset curation and more We bring the global research community together to ensure that these IDs are adopted and used.

Funders wield the power to improve the value and openness of research information. Unique researcher identifiers have the potential to bring efficiency and transparency to the creation and re-use of that information.

This project represents a real chance to change the way research information is shared for the better.

EXERCISE 3: ORBIT IN AN IDEAL WORLD

IN AN IDEAL WORLD… • Research information platforms and vendor systems would support ORCID and other IDs out of the box. • There would be authentication for all contributors. • Relationships and roles to be machine readable (for example citations or types of citations). • All the IDs we use would be FAIR. • There would be consistent data/software/article versioning that actually works. • We would be able to represent collection of things via a network of connected IDs • We would achieve a consensus on our ‘wishlist’ for IDs and standards.

IN REALITY… We can’t map all of these connections. • What would you like to be able to connect? • Do we have the information? Is it open, sharable, reusable? • Do we have an infrastructure or network to make the connections? • What challenges do you foresee on our way to the ‘ideal world’?

ANY QUESTIONS?

THANK YOU FOR JOINING US TODAY.