Presented by Daryl Grenz (KAUST) at ORCID's 2016 Abu Dhabi workshop at Khalifa University.

1. ORCID Integration with Institutional
Repositories: The KAUST Approach
ORCID Workshop
Khalifa University
Abu Dhabi
Daryl Grenz
November 14, 2016

2. Perceived Needs
• Researchers
 Reduce effort required to record and publicize research activities,
and comply with administrative requests.
• Administrative offices
 Research evaluation: Track KAUST-affiliated research impact.
 Faculty review: Simplify reporting of outputs each year.
 Alumni: Track research career of graduated students.
• Library
 Control and manage contributor metadata in the repository.
 Track authors’ publications in support of the open access policy.

3. Membership Goals
All faculty, researchers, postdoctoral fellows and students
will have ORCID IDs.
Automated exchange of information will save researchers’
time and keep systems up-to-date.
University systems will use ORCID IDs, especially when
interacting with external information systems.

4. Timeline 1
August 2014
• ORCID functionality added by our DSpace
provider: .
September 2014
• ORCID ID required for ETD deposits.
November 2014
• Institutional membership in ORCID.

5. Timeline 2
April 2016
• Repository integration with faculty annual review
submission form including ORCID ID.
December 2015
• PlumX metrics dashboard connected to
repository based on ORCID IDs.
January 2015
• Launch of KAUST/ORCID integration.
July 2016
• Atmire acquires OpenRepository, begin move towards
current DSpace version with modified ORCID handling.

6. ORCID@KAUST 1
• Raising awareness and starting discussions
 Discuss possible uses of ORCID with other
university stakeholders.
 Introduce basic information about ORCID at
orientations for new faculty, researchers,
postdocs and students.
• Guidance and training
 Develop ORCID libguide
(http://libguides.kaust.edu.sa/orcid).
 Hold ORCID trainings twice a semester.

7. ORCID@KAUST 2
• Research Repository (http://repository.kaust.edu.sa/kaust/)
 Retrieve ORCID IDs from Crossref by DOI.
 Identify ORCID IDs for authors on submission.
 Search by ORCID ID.
 Expose ORCID IDs in OAI-PMH XML.
 Update ORCID IDs via CSV import.
• KAUST/ORCID Integration (internal site)
 Grant permissions to KAUST.
 Update ORCID record with works in IR.
 Update ORCID record with KAUST affiliation.
 Track ORCID uptake via dashboard.

8. ORCID@KAUST 3
• PlumX Metrics dashboard(https://plu.mx/kaust/g/)
 Track usage, citation and social media discussion of
research in repository matched on ORCID ID.
 Currently we do not use the functionality to harvest
item information directly from the ORCID record.
• Faculty Annual Review submission form
 API retrieval of ORCID ID and publication list for given
year from KAUST integration based on KAUST ID.
 Starting with 2016 review, ORCID ID will be a required
field for form submission.

9. Repository ► Goals
• Collect ORCID IDs for new and past items.
• Store ORCID IDs for authors, advisors,
committee members, and institutional
authors.
• Expose ORCID IDs in useful ways for people
and systems.

10. Repository ► Submission
Options:
 retrieval of ORCID IDs by DOI when available from Crossref
 as-you-type matching on existing names in the repository
 name search using the public ORCID API

11. Repository ► Metadata Update
• Admin manual edit
• Batch metadata edit

12. Repository ► Public interface
• Item Display
• Advanced Search
• Author Browse

13. Repository ► OAI-PMH
• xoai • ext_dc

14. Member Integration ► Goals
• Support faculty, researchers and students to have and
use ORCID IDs.
• Push information to ORCID profiles to connect
authors to KAUST and to their works in the
repository.
• Build services around ORCID that are of value to
researchers and that support the open access policy.

15. Member Integration ► Design 1
• Internal integration using PHP and MySQL.
• Database with basic information about
researchers.
• Email generator with templates for different
groups and for different stages of process.
• Web interface for researchers to select which
permissions to grant to KAUST.

16. Member Integration ► Design 2
• Nightly harvest to pull new or updated works
from the repository via OAI-PMH
• Nightly push of new items into ORCID records for
authors who have granted permission.
• As needed, manual upload of CSV files to
repository to update existing items with newly
identified ORCID IDs.

17. Member Integration ► Process
• Staged process, starting with faculty.
• Emails with custom link requesting ORCID creation or
identification.
• Follow-up emails to those who did not create an ORCID.
• Further follow-up emails to faculty with possible
existing ORCID IDs with empty profiles.
• Name match to add ID to existing repository items, with
manual review by library staff.

18. Member Integration ► Options

19. Member Integration ► Success!

20. Member Integration ► Hiccups
Creation of duplicate ORCID IDs
“Limited access” setting for new works
- “The tool said it added 5 articles to my ORCID, but later when I looked there was
nothing there.”

21. ORCID Outreach ► Reactions
• “I will most probably never use ORCID.”
• “I have a unique name in my research field and having an
ORCID will have no benefit for me.”
• “If it is not mandatory I will not sign up.”
• “I will be leaving KAUST soon.”
• “Here is my ORCID …” (not connected, empty profile)
• “My publications are under two ScopusIDs, can ORCID
help with that?”
• “How can I get all my publications into ORCID?”
• “Why aren’t all my articles in the repository?”
• “Can I see citation information for my articles in ORCID?”
• “I will tell my students to get ORCIDs too, what link should
they use?”

22. Member Integration ► Results 1
• Over 730 ORCID IDs created or identified.
• Over 80% of those used the integration tool
and granted permissions for us to update their
ORCID profile.
• 90% of faculty, 45% of postdocs and 16% of
research scientists now have ORCID IDs.

23. Member Integration ► Results 2
• All theses and dissertations since Nov. 2014 have an
ORCID for the student author.
• Over 80% of articles and conference papers in the
repository research community have an ORCID ID for at
least one KAUST author.
• New item types such as patents, presentations,
posters, technical reports, working papers and our lone
deposited dataset, also have ORCID IDs attached.
• 8 known cases of duplicate ID creation.

24. Member Integration ► Dashboard 1

25. Member Integration ► Dashboard 2

26. Member Integration ► TO DO 1
• Continue follow-up with those who lack
ORCIDs or whose ORCIDs are not
connected to the repository.
• Develop procedure for incoming
researchers and students to register ORCID
IDs as standard part of onboarding.

27. Member Integration ► TO DO 2
• Update integration to stay current with
newest version of ORCID API, XML schema
and scopes.
• Improve integration to properly update
affiliations when individuals leave the
institution.
• Increasingly automate manual steps.

28. Member Integration ► TO DO 3
• Support use of ORCID in our current research
information system (CRIS), as Elsevier Pure is
implemented.
• Find ways for other university workflows to
effectively use ORCID (Faculty Annual Review
example).
• Find ways for ORCID information to flow into
more public-facing pages (faculty profiles,
individual websites, etc.)

29. Membership Goals:
How are we doing?
All faculty, researchers, postdoctoral fellows and students
will have ORCID IDs.
Automated exchange of information will save researchers’
time and keep systems up-to-date.
University systems will use ORCID IDs, especially when
interacting with external information systems.

30. Rethinking our approach
• Custom DSpace integration
 Better off staying on most recent
DSpace version?
• Custom local integration
 Better off using shared code-base with
minimal local configuration?
• Independent institutional membership
 Better off as part of a regional
consortium?

31. Thanks for listening,
any questions?
Please email me at:
daryl.grenz@kaust.edu.sa