More Like this

1. The Effects of Gist Information and Scientific Quality on Damages in a Civil Trial

   Dellapaolera, K.S. ( March 2020 , Annual Conference of the American Psychology-Law Society.)

   Abstract: 100 words Jurors are increasingly exposed to scientific information in the courtroom. To determine whether providing jurors with gist information would assist in their ability to make well-informed decisions, the present experiment utilized a Fuzzy Trace Theory-inspired intervention and tested it against traditional legal safeguards (i.e., judge instructions) by varying the scientific quality of the evidence. The results indicate that jurors who viewed high quality evidence rated the scientific evidence significantly higher than those who viewed low quality evidence, but were unable to moderate the credibility of the expert witness and apply damages appropriately resulting in poor calibration. Summary: <1000 words Jurors and juries are increasingly exposed to scientific information in the courtroom and it remains unclear when they will base their decisions on a reasonable understanding of the relevant scientific information. Without such knowledge, the ability of jurors and juries to make well-informed decisions may be at risk, increasing chances of unjust outcomes (e.g., false convictions in criminal cases). Therefore, there is a critical need to understand conditions that affect jurors’ and juries’ sensitivity to the qualities of scientific information and to identify safeguards that can assist with scientific calibration in the courtroom. The current project addresses these issues with an ecologically valid experimental paradigm, making it possible to assess causal effects of evidence quality and safeguards as well as the role of a host of individual difference variables that may affect perceptions of testimony by scientific experts as well as liability in a civil case. Our main goal was to develop a simple, theoretically grounded tool to enable triers of fact (individual jurors) with a range of scientific reasoning abilities to appropriately weigh scientific evidence in court. We did so by testing a Fuzzy Trace Theory-inspired intervention in court, and testing it against traditional legal safeguards. Appropriate use of scientific evidence reflects good calibration – which we define as being influenced more by strong scientific information than by weak scientific information. Inappropriate use reflects poor calibration – defined as relative insensitivity to the strength of scientific information. Fuzzy Trace Theory (Reyna & Brainerd, 1995) predicts that techniques for improving calibration can come from presentation of easy-to-interpret, bottom-line “gist” of the information. Our central hypothesis was that laypeople’s appropriate use of scientific information would be moderated both by external situational conditions (e.g., quality of the scientific information itself, a decision aid designed to convey clearly the “gist” of the information) and individual differences among people (e.g., scientific reasoning skills, cognitive reflection tendencies, numeracy, need for cognition, attitudes toward and trust in science). Identifying factors that promote jurors’ appropriate understanding of and reliance on scientific information will contribute to general theories of reasoning based on scientific evidence, while also providing an evidence-based framework for improving the courts’ use of scientific information. All hypotheses were preregistered on the Open Science Framework. Method Participants completed six questionnaires (counterbalanced): Need for Cognition Scale (NCS; 18 items), Cognitive Reflection Test (CRT; 7 items), Abbreviated Numeracy Scale (ABS; 6 items), Scientific Reasoning Scale (SRS; 11 items), Trust in Science (TIS; 29 items), and Attitudes towards Science (ATS; 7 items). Participants then viewed a video depicting a civil trial in which the defendant sought damages from the plaintiff for injuries caused by a fall. The defendant (bar patron) alleged that the plaintiff (bartender) pushed him, causing him to fall and hit his head on the hard floor. Participants were informed at the outset that the defendant was liable; therefore, their task was to determine if the plaintiff should be compensated. Participants were randomly assigned to 1 of 6 experimental conditions: 2 (quality of scientific evidence: high vs. low) x 3 (safeguard to improve calibration: gist information, no-gist information [control], jury instructions). An expert witness (neuroscientist) hired by the court testified regarding the scientific strength of fMRI data (high [90 to 10 signal-to-noise ratio] vs. low [50 to 50 signal-to-noise ratio]) and gist or no-gist information both verbally (i.e., fairly high/about average) and visually (i.e., a graph). After viewing the video, participants were asked if they would like to award damages. If they indicated yes, they were asked to enter a dollar amount. Participants then completed the Positive and Negative Affect Schedule-Modified Short Form (PANAS-MSF; 16 items), expert Witness Credibility Scale (WCS; 20 items), Witness Credibility and Influence on damages for each witness, manipulation check questions, Understanding Scientific Testimony (UST; 10 items), and 3 additional measures were collected, but are beyond the scope of the current investigation. Finally, participants completed demographic questions, including questions about their scientific background and experience. The study was completed via Qualtrics, with participation from students (online vs. in-lab), MTurkers, and non-student community members. After removing those who failed attention check questions, 469 participants remained (243 men, 224 women, 2 did not specify gender) from a variety of racial and ethnic backgrounds (70.2% White, non-Hispanic). Results and Discussion There were three primary outcomes: quality of the scientific evidence, expert credibility (WCS), and damages. During initial analyses, each dependent variable was submitted to a separate 3 Gist Safeguard (safeguard, no safeguard, judge instructions) x 2 Scientific Quality (high, low) Analysis of Variance (ANOVA). Consistent with hypotheses, there was a significant main effect of scientific quality on strength of evidence, F(1, 463)=5.099, p=.024; participants who viewed the high quality evidence rated the scientific evidence significantly higher (M= 7.44) than those who viewed the low quality evidence (M=7.06). There were no significant main effects or interactions for witness credibility, indicating that the expert that provided scientific testimony was seen as equally credible regardless of scientific quality or gist safeguard. Finally, for damages, consistent with hypotheses, there was a marginally significant interaction between Gist Safeguard and Scientific Quality, F(2, 273)=2.916, p=.056. However, post hoc t-tests revealed significantly higher damages were awarded for low (M=11.50) versus high (M=10.51) scientific quality evidence F(1, 273)=3.955, p=.048 in the no gist with judge instructions safeguard condition, which was contrary to hypotheses. The data suggest that the judge instructions alone are reversing the pattern, though nonsignificant, those who received the no gist without judge instructions safeguard awarded higher damages in the high (M=11.34) versus low (M=10.84) scientific quality evidence conditions F(1, 273)=1.059, p=.30. Together, these provide promising initial results indicating that participants were able to effectively differentiate between high and low scientific quality of evidence, though inappropriately utilized the scientific evidence through their inability to discern expert credibility and apply damages, resulting in poor calibration. These results will provide the basis for more sophisticated analyses including higher order interactions with individual differences (e.g., need for cognition) as well as tests of mediation using path analyses. [References omitted but available by request] Learning Objective: Participants will be able to determine whether providing jurors with gist information would assist in their ability to award damages in a civil trial. 

   more » « less
2. Predictors of Jurors’ Understanding of Evidence Strength

   McCowan, K. ( March 2020 , Annual Conference of the American Psychology-Law Society.)

   Abstract Expert testimony varies in scientific quality and jurors have a difficult time evaluating evidence quality (McAuliff et al., 2009). In the current study, we apply Fuzzy Trace Theory principles, examining whether visual and gist aids help jurors calibrate to the strength of scientific evidence. Additionally we were interested in the role of jurors’ individual differences in scientific reasoning skills in their understanding of case evidence. Contrary to our preregistered hypotheses, there was no effect of evidence condition or gist aid on evidence understanding. However, individual differences between jurors’ numeracy skills predicted evidence understanding. Summary Poor-quality expert evidence is sometimes admitted into court (Smithburn, 2004). Jurors’ calibration to evidence strength varies widely and is not robustly understood. For instance, previous research has established jurors lack understanding of the role of control groups, confounds, and sample sizes in scientific research (McAuliff, Kovera, & Nunez, 2009; Mill, Gray, & Mandel, 1994). Still others have found that jurors can distinguish weak from strong evidence when the evidence is presented alone, yet not when simultaneously presented with case details (Smith, Bull, & Holliday, 2011). This research highlights the need to present evidence to jurors in a way they can understand. Fuzzy Trace Theory purports that people encode information in exact, verbatim representations and through “gist” representations, which represent summary of meaning (Reyna & Brainerd, 1995). It is possible that the presenting complex scientific evidence to people with verbatim content or appealing to the gist, or bottom-line meaning of the information may influence juror understanding of that evidence. Application of Fuzzy Trace Theory in the medical field has shown that gist representations are beneficial for helping laypeople better understand risk and benefits of medical treatment (Brust-Renck, Reyna, Wilhelms, & Lazar, 2016). Yet, little research has applied Fuzzy Trace Theory to information comprehension and application within the context of a jury (c.f. Reyna et. al., 2015). Additionally, it is likely that jurors’ individual characteristics, such as scientific reasoning abilities and cognitive tendencies, influence their ability to understand and apply complex scientific information (Coutinho, 2006). Methods The purpose of this study was to examine how jurors calibrate to the strength of scientific information, and whether individual difference variables and gist aids inspired by Fuzzy Trace Theory help jurors better understand complicated science of differing quality. We used a 2 (quality of scientific evidence: high vs. low) x 2 (decision aid to improve calibration - gist information vs. no gist information), between-subjects design. All hypotheses were preregistered on the Open Science Framework. Jury-eligible community participants (430 jurors across 90 juries; Mage = 37.58, SD = 16.17, 58% female, 56.93% White). Each jury was randomly assigned to one of the four possible conditions. Participants were asked to individually fill out measures related to their scientific reasoning skills prior to watching a mock jury trial. The trial was about an armed bank robbery and consisted of various pieces of testimony and evidence (e.g. an eyewitness testimony, police lineup identification, and a sweatshirt found with the stolen bank money). The key piece of evidence was mitochondrial DNA (mtDNA) evidence collected from hair on a sweatshirt (materials from Hans et al., 2011). Two experts presented opposing opinions about the scientific evidence related to the mtDNA match estimate for the defendant’s identification. The quality and content of this mtDNA evidence differed based on the two conditions. The high quality evidence condition used a larger database than the low quality evidence to compare to the mtDNA sample and could exclude a larger percentage of people. In the decision aid condition, experts in the gist information group presented gist aid inspired visuals and examples to help explain the proportion of people that could not be excluded as a match. Those in the no gist information group were not given any aid to help them understand the mtDNA evidence presented. After viewing the trial, participants filled out a questionnaire on how well they understood the mtDNA evidence and their overall judgments of the case (e.g. verdict, witness credibility, scientific evidence strength). They filled this questionnaire out again after a 45-minute deliberation. Measures We measured Attitudes Toward Science (ATS) with indices of scientific promise and scientific reservations (Hans et al., 2011; originally developed by National Science Board, 2004; 2006). We used Drummond and Fischhoff’s (2015) Scientific Reasoning Scale (SRS) to measure scientific reasoning skills. Weller et al.’s (2012) Numeracy Scale (WNS) measured proficiency in reasoning with quantitative information. The NFC-Short Form (Cacioppo et al., 1984) measured need for cognition. We developed a 20-item multiple-choice comprehension test for the mtDNA scientific information in the cases (modeled on Hans et al., 2011, and McAuliff et al., 2009). Participants were shown 20 statements related to DNA evidence and asked whether these statements were True or False. The test was then scored out of 20 points. Results For this project, we measured calibration to the scientific evidence in a few different ways. We are building a full model with these various operationalizations to be presented at APLS, but focus only on one of the calibration DVs (i.e., objective understanding of the mtDNA evidence) in the current proposal. We conducted a general linear model with total score on the mtDNA understanding measure as the DV and quality of scientific evidence condition, decision aid condition, and the four individual difference measures (i.e., NFC, ATS, WNS, and SRS) as predictors. Contrary to our main hypotheses, neither evidence quality nor decision aid condition affected juror understanding. However, the individual difference variables did: we found significant main effects for Scientific Reasoning Skills, F(1, 427) = 16.03, p <.001, np2 = .04, Weller Numeracy Scale, F(1, 427) = 15.19, p <.001, np2 = .03, and Need for Cognition, F(1, 427) = 16.80, p <.001, np2 = .04, such that those who scored higher on these measures displayed better understanding of the scientific evidence. In addition there was a significant interaction of evidence quality condition and scores on the Weller’s Numeracy Scale, F(1, 427) = 4.10, p = .04, np2 = .01. Further results will be discussed. Discussion These data suggest jurors are not sensitive to differences in the quality of scientific mtDNA evidence, and also that our attempt at helping sensitize them with Fuzzy Trace Theory-inspired aids did not improve calibration. Individual scientific reasoning abilities and general cognition styles were better predictors of understanding this scientific information. These results suggest a need for further exploration of approaches to help jurors differentiate between high and low quality evidence. Note: The 3rd author was supported by an AP-LS AP Award for her role in this research. Learning Objective: Participants will be able to describe how individual differences in scientific reasoning skills help jurors understand complex scientific evidence. 

   more » « less
3. Recent Advances in the Temple University Digital Pathology Corpus

   https://doi.org/10.1109/SPMB47826.2019.9037859  

   Hunt, I. ; Husain, S. ; Simon, J. ; Obeid, I. ; Picone, J. ( December 2019 , IEEE Signal Processing in Medicine and Biology Symposium (SPMB))

   Obeid, Iyad ; Picone, Joseph ; Selesnick, Ivan (Ed.)

   The Neural Engineering Data Consortium (NEDC) is developing a large open source database of high-resolution digital pathology images known as the Temple University Digital Pathology Corpus (TUDP) [1]. Our long-term goal is to release one million images. We expect to release the first 100,000 image corpus by December 2020. The data is being acquired at the Department of Pathology at Temple University Hospital (TUH) using a Leica Biosystems Aperio AT2 scanner [2] and consists entirely of clinical pathology images. More information about the data and the project can be found in Shawki et al. [3]. We currently have a National Science Foundation (NSF) planning grant [4] to explore how best the community can leverage this resource. One goal of this poster presentation is to stimulate community-wide discussions about this project and determine how this valuable resource can best meet the needs of the public. The computing infrastructure required to support this database is extensive [5] and includes two HIPAA-secure computer networks, dual petabyte file servers, and Aperio’s eSlide Manager (eSM) software [6]. We currently have digitized over 50,000 slides from 2,846 patients and 2,942 clinical cases. There is an average of 12.4 slides per patient and 10.5 slides per case with one report per case. The data is organized by tissue type as shown below: Filenames: tudp/v1.0.0/svs/gastro/000001/00123456/2015_03_05/0s15_12345/0s15_12345_0a001_00123456_lvl0001_s000.svs tudp/v1.0.0/svs/gastro/000001/00123456/2015_03_05/0s15_12345/0s15_12345_00123456.docx Explanation: tudp: root directory of the corpus v1.0.0: version number of the release svs: the image data type gastro: the type of tissue 000001: six-digit sequence number used to control directory complexity 00123456: 8-digit patient MRN 2015_03_05: the date the specimen was captured 0s15_12345: the clinical case name 0s15_12345_0a001_00123456_lvl0001_s000.svs: the actual image filename consisting of a repeat of the case name, a site code (e.g., 0a001), the type and depth of the cut (e.g., lvl0001) and a token number (e.g., s000) 0s15_12345_00123456.docx: the filename for the corresponding case report We currently recognize fifteen tissue types in the first installment of the corpus. The raw image data is stored in Aperio’s “.svs” format, which is a multi-layered compressed JPEG format [3,7]. Pathology reports containing a summary of how a pathologist interpreted the slide are also provided in a flat text file format. A more complete summary of the demographics of this pilot corpus will be presented at the conference. Another goal of this poster presentation is to share our experiences with the larger community since many of these details have not been adequately documented in scientific publications. There are quite a few obstacles in collecting this data that have slowed down the process and need to be discussed publicly. Our backlog of slides dates back to 1997, meaning there are a lot that need to be sifted through and discarded for peeling or cracking. Additionally, during scanning a slide can get stuck, stalling a scan session for hours, resulting in a significant loss of productivity. Over the past two years, we have accumulated significant experience with how to scan a diverse inventory of slides using the Aperio AT2 high-volume scanner. We have been working closely with the vendor to resolve many problems associated with the use of this scanner for research purposes. This scanning project began in January of 2018 when the scanner was first installed. The scanning process was slow at first since there was a learning curve with how the scanner worked and how to obtain samples from the hospital. From its start date until May of 2019 ~20,000 slides we scanned. In the past 6 months from May to November we have tripled that number and how hold ~60,000 slides in our database. This dramatic increase in productivity was due to additional undergraduate staff members and an emphasis on efficient workflow. The Aperio AT2 scans 400 slides a day, requiring at least eight hours of scan time. The efficiency of these scans can vary greatly. When our team first started, approximately 5% of slides failed the scanning process due to focal point errors. We have been able to reduce that to 1% through a variety of means: (1) best practices regarding daily and monthly recalibrations, (2) tweaking the software such as the tissue finder parameter settings, and (3) experience with how to clean and prep slides so they scan properly. Nevertheless, this is not a completely automated process, making it very difficult to reach our production targets. With a staff of three undergraduate workers spending a total of 30 hours per week, we find it difficult to scan more than 2,000 slides per week using a single scanner (400 slides per night x 5 nights per week). The main limitation in achieving this level of production is the lack of a completely automated scanning process, it takes a couple of hours to sort, clean and load slides. We have streamlined all other aspects of the workflow required to database the scanned slides so that there are no additional bottlenecks. To bridge the gap between hospital operations and research, we are using Aperio’s eSM software. Our goal is to provide pathologists access to high quality digital images of their patients’ slides. eSM is a secure website that holds the images with their metadata labels, patient report, and path to where the image is located on our file server. Although eSM includes significant infrastructure to import slides into the database using barcodes, TUH does not currently support barcode use. Therefore, we manage the data using a mixture of Python scripts and manual import functions available in eSM. The database and associated tools are based on proprietary formats developed by Aperio, making this another important point of community-wide discussion on how best to disseminate such information. Our near-term goal for the TUDP Corpus is to release 100,000 slides by December 2020. We hope to continue data collection over the next decade until we reach one million slides. We are creating two pilot corpora using the first 50,000 slides we have collected. The first corpus consists of 500 slides with a marker stain and another 500 without it. This set was designed to let people debug their basic deep learning processing flow on these high-resolution images. We discuss our preliminary experiments on this corpus and the challenges in processing these high-resolution images using deep learning in [3]. We are able to achieve a mean sensitivity of 99.0% for slides with pen marks, and 98.9% for slides without marks, using a multistage deep learning algorithm. While this dataset was very useful in initial debugging, we are in the midst of creating a new, more challenging pilot corpus using actual tissue samples annotated by experts. The task will be to detect ductal carcinoma (DCIS) or invasive breast cancer tissue. There will be approximately 1,000 images per class in this corpus. Based on the number of features annotated, we can train on a two class problem of DCIS or benign, or increase the difficulty by increasing the classes to include DCIS, benign, stroma, pink tissue, non-neoplastic etc. Those interested in the corpus or in participating in community-wide discussions should join our listserv, nedc_tuh_dpath@googlegroups.com, to be kept informed of the latest developments in this project. You can learn more from our project website: https://www.isip.piconepress.com/projects/nsf_dpath. 

   more » « less
4. PoseASL: An RGBD Dataset of American Sign Language

   https://doi.org/10.17910/b7.1279  

   Huenerfauth, Matt ( January 2021 , Databrary)

   The PoseASL dataset consists of color and depth videos collected from ASL signers at the Linguistic and Assistive Technologies Laboratory under the direction of Matt Huenerfauth, as part of a collaborative research project with researchers at the Rochester Institute of Technology, Boston University, and the University of Pennsylvania. Access: After becoming an authorized user of Databrary, please contact Matt Huenerfauth if you have difficulty accessing this volume. We have collected a new dataset consisting of color and depth videos of fluent American Sign Language signers performing sequences ASL signs and sentences. Given interest among sign-recognition and other computer-vision researchers in red-green-blue-depth (RBGD) video, we release this dataset for use by the research community. In addition to the video files, we share depth data files from a Kinect v2 sensor, as well as additional motion-tracking files produced through post-processing of this data. Organization of the Dataset: The dataset is organized into sub-folders, with codenames such as "P01" or "P16" etc. These codenames refer to specific human signers who were recorded in this dataset. Please note that there was no participant P11 nor P14; those numbers were accidentally skipped during the process of making appointments to collect video stimuli. Task: During the recording session, the participant was met by a member of our research team who was a native ASL signer. No other individuals were present during the data collection session. After signing the informed consent and video release document, participants responded to a demographic questionnaire. Next, the data-collection session consisted of English word stimuli and cartoon videos. The recording session began with showing participants stimuli consisting of slides that displayed English word and photos of items, and participants were asked to produce the sign for each (PDF included in materials subfolder). Next, participants viewed three videos of short animated cartoons, which they were asked to recount in ASL: - Canary Row, Warner Brothers Merrie Melodies 1950 (the 7-minute video divided into seven parts) - Mr. Koumal Flies Like a Bird, Studio Animovaneho Filmu 1969 - Mr. Koumal Battles his Conscience, Studio Animovaneho Filmu 1971 The word list and cartoons were selected as they are identical to the stimuli used in the collection of the Nicaraguan Sign Language video corpora - see: Senghas, A. (1995). Children’s Contribution to the Birth of Nicaraguan Sign Language. Doctoral dissertation, Department of Brain and Cognitive Sciences, MIT. Demographics: All 14 of our participants were fluent ASL signers. As screening, we asked our participants: Did you use ASL at home growing up, or did you attend a school as a very young child where you used ASL? All the participants responded affirmatively to this question. A total of 14 DHH participants were recruited on the Rochester Institute of Technology campus. Participants included 7 men and 7 women, aged 21 to 35 (median = 23.5). All of our participants reported that they began using ASL when they were 5 years old or younger, with 8 reporting ASL use since birth, and 3 others reporting ASL use since age 18 months. Filetypes: *.avi, *_dep.bin: The PoseASL dataset has been captured by using a Kinect 2.0 RGBD camera. The output of this camera system includes multiple channels which include RGB, depth, skeleton joints (25 joints for every video frame), and HD face (1,347 points). The video resolution produced in 1920 x 1080 pixels for the RGB channel and 512 x 424 pixels for the depth channels respectively. Due to limitations in the acceptable filetypes for sharing on Databrary, it was not permitted to share binary *_dep.bin files directly produced by the Kinect v2 camera system on the Databrary platform. If your research requires the original binary *_dep.bin files, then please contact Matt Huenerfauth. *_face.txt, *_HDface.txt, *_skl.txt: To make it easier for future researchers to make use of this dataset, we have also performed some post-processing of the Kinect data. To extract the skeleton coordinates of the RGB videos, we used the Openpose system, which is capable of detecting body, hand, facial, and foot keypoints of multiple people on single images in real time. The output of Openpose includes estimation of 70 keypoints for the face including eyes, eyebrows, nose, mouth and face contour. The software also estimates 21 keypoints for each of the hands (Simon et al, 2017), including 3 keypoints for each finger, as shown in Figure 2. Additionally, there are 25 keypoints estimated for the body pose (and feet) (Cao et al, 2017; Wei et al, 2016). Reporting Bugs or Errors: Please contact Matt Huenerfauth to report any bugs or errors that you identify in the corpus. We appreciate your help in improving the quality of the corpus over time by identifying any errors. Acknowledgement: This material is based upon work supported by the National Science Foundation under award 1749376: "Collaborative Research: Multimethod Investigation of Articulatory and Perceptual Constraints on Natural Language Evolution." 

   more » « less
5. A Multi-match Approach to the Author Uncertainty Problem

   https://doi.org/10.2478/jdis-2019-0006  

   Carley, Stephen F. ; Porter, Alan L. ; Youtie, Jan L. ( June 2019 , Journal of Data and Information Science)

   Abstract Purpose The ability to identify the scholarship of individual authors is essential for performance evaluation. A number of factors hinder this endeavor. Common and similarly spelled surnames make it difficult to isolate the scholarship of individual authors indexed on large databases. Variations in name spelling of individual scholars further complicates matters. Common family names in scientific powerhouses like China make it problematic to distinguish between authors possessing ubiquitous and/or anglicized surnames (as well as the same or similar first names). The assignment of unique author identifiers provides a major step toward resolving these difficulties. We maintain, however, that in and of themselves, author identifiers are not sufficient to fully address the author uncertainty problem. In this study we build on the author identifier approach by considering commonalities in fielded data between authors containing the same surname and first initial of their first name. We illustrate our approach using three case studies. Design/methodology/approach The approach we advance in this study is based on commonalities among fielded data in search results. We cast a broad initial net—i.e., a Web of Science (WOS) search for a given author’s last name, followed by a comma, followed by the first initial of his or her first name (e.g., a search for ‘John Doe’ would assume the form: ‘Doe, J’). Results for this search typically contain all of the scholarship legitimately belonging to this author in the given database (i.e., all of his or her true positives), along with a large amount of noise, or scholarship not belonging to this author (i.e., a large number of false positives). From this corpus we proceed to iteratively weed out false positives and retain true positives. Author identifiers provide a good starting point—e.g., if ‘Doe, J’ and ‘Doe, John’ share the same author identifier, this would be sufficient for us to conclude these are one and the same individual. We find email addresses similarly adequate—e.g., if two author names which share the same surname and same first initial have an email address in common, we conclude these authors are the same person. Author identifier and email address data is not always available, however. When this occurs, other fields are used to address the author uncertainty problem. Commonalities among author data other than unique identifiers and email addresses is less conclusive for name consolidation purposes. For example, if ‘Doe, John’ and ‘Doe, J’ have an affiliation in common, do we conclude that these names belong the same person? They may or may not; affiliations have employed two or more faculty members sharing the same last and first initial. Similarly, it’s conceivable that two individuals with the same last name and first initial publish in the same journal, publish with the same co-authors, and/or cite the same references. Should we then ignore commonalities among these fields and conclude they’re too imprecise for name consolidation purposes? It is our position that such commonalities are indeed valuable for addressing the author uncertainty problem, but more so when used in combination. Our approach makes use of automation as well as manual inspection, relying initially on author identifiers, then commonalities among fielded data other than author identifiers, and finally manual verification. To achieve name consolidation independent of author identifier matches, we have developed a procedure that is used with bibliometric software called VantagePoint (see www.thevantagepoint.com) While the application of our technique does not exclusively depend on VantagePoint, it is the software we find most efficient in this study. The script we developed to implement this procedure is designed to implement our name disambiguation procedure in a way that significantly reduces manual effort on the user’s part. Those who seek to replicate our procedure independent of VantagePoint can do so by manually following the method we outline, but we note that the manual application of our procedure takes a significant amount of time and effort, especially when working with larger datasets. Our script begins by prompting the user for a surname and a first initial (for any author of interest). It then prompts the user to select a WOS field on which to consolidate author names. After this the user is prompted to point to the name of the authors field, and finally asked to identify a specific author name (referred to by the script as the primary author) within this field whom the user knows to be a true positive (a suggested approach is to point to an author name associated with one of the records that has the author’s ORCID iD or email address attached to it). The script proceeds to identify and combine all author names sharing the primary author’s surname and first initial of his or her first name who share commonalities in the WOS field on which the user was prompted to consolidate author names. This typically results in significant reduction in the initial dataset size. After the procedure completes the user is usually left with a much smaller (and more manageable) dataset to manually inspect (and/or apply additional name disambiguation techniques to). Research limitations Match field coverage can be an issue. When field coverage is paltry dataset reduction is not as significant, which results in more manual inspection on the user’s part. Our procedure doesn’t lend itself to scholars who have had a legal family name change (after marriage, for example). Moreover, the technique we advance is (sometimes, but not always) likely to have a difficult time dealing with scholars who have changed careers or fields dramatically, as well as scholars whose work is highly interdisciplinary. Practical implications The procedure we advance has the ability to save a significant amount of time and effort for individuals engaged in name disambiguation research, especially when the name under consideration is a more common family name. It is more effective when match field coverage is high and a number of match fields exist. Originality/value Once again, the procedure we advance has the ability to save a significant amount of time and effort for individuals engaged in name disambiguation research. It combines preexisting with more recent approaches, harnessing the benefits of both. Findings Our study applies the name disambiguation procedure we advance to three case studies. Ideal match fields are not the same for each of our case studies. We find that match field effectiveness is in large part a function of field coverage. Comparing original dataset size, the timeframe analyzed for each case study is not the same, nor are the subject areas in which they publish. Our procedure is more effective when applied to our third case study, both in terms of list reduction and 100% retention of true positives. We attribute this to excellent match field coverage, and especially in more specific match fields, as well as having a more modest/manageable number of publications. While machine learning is considered authoritative by many, we do not see it as practical or replicable. The procedure advanced herein is both practical, replicable and relatively user friendly. It might be categorized into a space between ORCID and machine learning. Machine learning approaches typically look for commonalities among citation data, which is not always available, structured or easy to work with. The procedure we advance is intended to be applied across numerous fields in a dataset of interest (e.g. emails, coauthors, affiliations, etc.), resulting in multiple rounds of reduction. Results indicate that effective match fields include author identifiers, emails, source titles, co-authors and ISSNs. While the script we present is not likely to result in a dataset consisting solely of true positives (at least for more common surnames), it does significantly reduce manual effort on the user’s part. Dataset reduction (after our procedure is applied) is in large part a function of (a) field availability and (b) field coverage. 

   more » « less