Effect of forename string on author name disambiguation

In author name disambiguation, author forenames are used to decide which name instances are disambiguated together and how much they are likely to refer to the same author. Despite such a crucial role of forenames, their effect on the performances of heuristic (string matching) and algorithmic disambiguation is not well understood. This study assesses the contributions of forenames in author name disambiguation using multiple labeled datasets under varying ratios and lengths of full forenames, reflecting real-world scenarios in which an author is represented by forename variants (synonym) and some authors share the same forenames (homonym). Results show that increasing the ratios of full forenames improves substantially the performances of both heuristic and machine-learning-based disambiguation. Performance gains by algorithmic disambiguation are pronounced when many forenames are initialized or homonym is prevalent. As the ratios of full forenames increase, however, they become marginal compared to the performances by string matching. Using a small portion of forename strings does not reduce much the performances of both heuristic and algorithmic disambiguation compared to using full-length strings. These findings provide practical suggestions such as restoring initialized forenames into a full-string format via record linkage for improved disambiguation performances.

The impact of imbalanced training data on machine learning for author name disambiguation

In supervised machine learning for author name disambiguation, negative training data are often dominantly larger than positive training data. This paper examines how the ratios of negative to positive training data can affect the performance of machine learning algorithms to disambiguate author names in bibliographic records. On multiple labeled datasets, three classifiers - Logistic Regression, Na\"ive Bayes, and Random Forest - are trained through representative features such as coauthor names, and title words extracted from the same training data but with various positive-negative training data ratios. Results show that increasing negative training data can improve disambiguation performance but with a few percent of performance gains and sometimes degrade it. Logistic Regression and Na\"ive Bayes learn optimal disambiguation models even with a base ratio (1:1) of positive and negative training data. Also, the performance improvement by Random Forest tends to quickly saturate roughly after 1:10 ~ 1:15. These findings imply that contrary to the common practice using all training data, name disambiguation algorithms can be trained using part of negative training data without degrading much disambiguation performance while increasing computational efficiency. This study calls for more attention from author name disambiguation scholars to methods for machine learning from imbalanced data.