orcid @ cmu - Carnegie Mellon University Libraries

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Sep 11, 2015 - The web app helps CMU researchers create an ORCID ID if they don't .... Sample sizes were determined usin
ORCID @ CMU Why ORCID? ORCID stands for Open Researcher and Contributor ID. Worldwide, universities are increasingly integrating ORCID into campus systems and workflows. Publishers and funders are increasingly requesting ORCID IDs with manuscript and grant submissions. The Wellcome Trust will begin requiring ORCID IDs in August 2015. Other funders are expected to swiftly follow their lead. Publishers are eager to require ORCID IDs, but must first assuage editor concerns that the requirement could discourage submissions. Why ORCID? Because ORCID IDs uniquely and persistently identify researchers and, being non-proprietary and platform independent, enable automated linkages between researchers, their collaborators, institutions, funders, and research products, including publications, datasets, scholarly blogs, and peer reviews. Widespread adoption and integration of ORCID IDs into scholarly communication workflows throughout the ecosystem will help transform research management, improve data quality and exchange, and have a positive impact on the research profiles of individuals and institutions. ORCID supports needed interoperability, innovation and efficiency. For example, if an author has an ORCID ID and has entered key information into her ORCID profile, Nature Publishing Group and Biomed Central enable ORCID to prepopulate the author’s information in the manuscript submission system.

Why ORCID @ CMU? ORCID @ CMU has two goals: • •

To ensure that CMU researchers have an ORCID ID, in preparation for requests or requirements from publishers and funders, and To ensure that CMU units that want to integrate ORCID IDs into their workflows have easy access to the authenticated ORCID IDs of CMU researchers.

To achieve these goals, Carnegie Mellon University joined ORCID. CMU Libraries, working with the ORCID API, developed the ORCID @ CMU web application available at https://orcid.library.cmu.edu/. The web app helps CMU researchers create an ORCID ID if they don’t have one, fetches their ORCID ID from the ORCID registry if they already have one, and in both cases links their ORCID ID with their Andrew ID in CMU’s identity management system, where it can be harvested by CMU units (with appropriate permissions) for various purposes. For example, the Office of Research plans to integrate

ORCID @ CMU CMU researcher ORCID IDs into the Sponsored Programs and Research Compliance System (SPARCS) to facilitate communication with research sponsors. The University Libraries plans to integrate ORCID IDs into the new repository platform for Research Showcase @ CMU (http://repository.cmu.edu) to facilitate discovery of CMU work in the repository. Participation in ORCID @ CMU is voluntary, but strongly encouraged because of the many benefits that will accrue from widespread adoption by the various stakeholders in scholarly communication.

ORCID @ CMU Pilot and Push ORCID @ CMU launched fall semester 2014 with a CIT pilot project. A total of 429 faculty, staff, and post-docs – designated by CIT – were invited to participate in the pilot. Most (95%) of those invited were CIT researchers; the others were CMU researchers who presumably collaborate with CIT researchers. Graduate students were not included in the pilot because we were still investigating the implications of the Family Educational Rights and Privacy Act (FERPA). Email from Gary Fedder, CIT Associate Dean for Research, launched the pilot November 11, 2014. Reminder messages were sent to those who had not yet participated by liaison librarian Lynn Berard two weeks after the launch and by Gary Fedder three weeks later. In January 2015, we learned that Curtis Meyer, MCS Associate Dean for Faculty and Graduate Affairs, was encouraging MCS researchers to get an ORCID ID. Starting with the Physics Department, he planned to systematically campaign through the other MCS departments. We immediately informed him about the ORCID @ CMU web application and urged him to have MCS researchers use it. The response was swift, with many MCS researchers using the web app prior to the university-wide launch. ORCID @ CMU launched university wide March 7, 2015. Email from President Suresh and Provost Jahanian (then VP for Research) invited all CMU faculty members who had not participated in the pilot and all CMU graduate students to participate. The email to faculty encouraged them to forward the invitation to research staff, post-docs, and any undergraduate students working on significant projects. The email to graduate students advised those who had restricted access to their information in CMU’s online directory to contact Denise Troll Covey, Scholarly Communications Librarian. The ORCID @ CMU web app queries the online directory and, for students who have restricted access to their directory information, displays a message instructing them to contact Denise Troll Covey. 1 Catherine Copetas, SCS Assistant Dean, sent reminder messages to SCS faculty and graduate students roughly a week after the launch. Three weeks after the launch, the Deans sent a reminder message to their faculty, and Gina Casalegno, Dean of Student 1

Students who protect their identity information in the CMU Directory should understand that if they create an ORCID ID, their ORCID ID and name will be publicly accessible in the ORCID Registry, and any other information they enter into their ORCID profile will -- by default -- be publicly accessible in the Registry unless or until they restrict access to it. If these students want an ORCID ID, they can register for one at orcid.org, then use the ORCID @ CMU web app to link their ORCID ID with their Andrew ID in CMU’s identity management system. Prepared by Denise Troll Covey – June 30, 2015; revised September 11, 2015 to correct error in SCS graphs.

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ORCID @ CMU Affairs, and Keith Webster, Dean of CMU Libraries, sent a reminder message to the graduate students.

Assessing the Success of ORCID @ CMU Two issues complicate gauging the success of ORCID @ CMU. First, the relevance of an ORCID ID to faculty and graduate students varies depending on their career path. Having an ORCID ID is likely more important for tenure- and research-track faculty than teaching-track faculty, instructors, and performance artists. Similarly, having an ORCID ID is likely more important for doctoral students and students in research-oriented master’s degree programs than students in professional master’s degree programs. These disparities no doubt – and understandably – affected participation. Second, we do not know who was invited to participate in the university-wide initiative spring 2015. We were not granted access to the distribution lists used to send the invitations. We know only that email invitations were sent to 1,564 faculty and 5,258 graduate students. Beyond CMU, the success of ORCID depends on widespread adoption and engagement. In November 2014, the number of researchers worldwide with an ORCID ID exceeded one million. The number of organizations, including universities, publishers, funders, and system developers, integrating ORCID into their workflows is substantial and increasing. Full realization of the benefits of ORCID is contingent not just on researchers having an ORCID ID, but on their having provided information about their education, employment, funding and works in their ORCID profile record.

About this Report With the exception of these introductory remarks, this report consists of graphical presentations of the data on participation in ORCID @ CMU from the launch of the CIT pilot fall semester 2014 through May 31, 2015. It provides an overview of participation throughout the university, and a more detailed look at participation by department or center in each college or school that has designated departments or centers in the CMU Factbook 2014-2015. 2 The presentation on participation in Heinz College and Tepper School of Business is different because of the lack of designated departments or centers in the Factbook. The report graphics show participation by status (e.g., faculty, staff, post-doc, graduate student) and what the participants did. The actions are indicated as: •

2

Created and claimed – Participants used the ORCID @ CMU web app to create an ORCID ID and associate it with their Andrew ID in CMU’s identity management system. They also took ownership of their ORCID profile record by claiming their ORCID ID in response to email from ORCID.

The CMU Factbook 2014-2015 is available at http://www.cmu.edu/ira/factbook/facts2015.html.

Prepared by Denise Troll Covey – June 30, 2015; revised September 11, 2015 to correct error in SCS graphs.

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ORCID @ CMU •

• •

Created not claimed – Participants used the ORCID @ CMU web app to create an ORCID ID and associate it with their Andrew ID in the identity management system, but they did not claim their ORCID to take ownership of their ORCID profile record. Create incomplete – Participants started using the web app to create an ORCID ID, but did not complete the transaction. 3 Linked – Participants used the web app to associate a pre-existing ORCID ID with their Andrew ID in CMU’s identity management system.

Indications of the percentage of faculty and graduate student participation per department are estimates based on data from the CMU Factbook 2014-2015. Note that the scales on the graphs differ across colleges because of the significantly different levels of participation. The report also includes data on participants’ ORCID profiles. 4 Roughly half of the participants have entered no information into their ORCID profile. Perhaps they will over time, but in the meantime, this lack of engagement is obstructing, for example, plans to automatically generate CVs or annual reports from ORCID data and efforts by developers to use ORCID data to increase efficiency and impact.

Next Steps ORCID @ CMU is ongoing. Your support and engagement will be much appreciated as we: • •





Integrate use of the ORCID @ CMU web application into the onboarding process for new faculty and graduate students via orientations and onboarding checklists available on the web. Continue the campaign to get current faculty and graduate students to use the ORCID @ CMU web app. We know that some CMU researchers have an ORCID ID, but have not used the web app to link their ORCID ID with their Andrew ID in CMU’s identity management system. Endeavor to get CMU researchers to - Complete their ORCID profile records, which hinges on their understanding that ORCID is more than simply another profile service, and - Encourage developers of tools they use to integrate ORCID into these tools, e.g., ResearchGate. Explore next steps for integrating ORCID IDs into CMU systems.

3

These researchers will be contacted in the near future and encouraged to claim their ORCID ID or to use the ORCID @ CMU web app again and complete the transaction. 4 With the exception of CFA, where all participant profiles were examined, the ORCID profile data in this report are based on statistically valid random samples per college. Sample sizes were determined using the Sample Size Calculator at http://www.surveysystem.com/sscalc.htm with a confidence level of 95% and confidence interval of 10. Participants per college were sequentially numbered and selected for inclusion in the sample using the Random Integer Generator at http://random.org. The sample sizes are indicated in the report. Prepared by Denise Troll Covey – June 30, 2015; revised September 11, 2015 to correct error in SCS graphs.

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ORCID @ CMU Lessons learned from our experience with ORCID @ CMU and further details not included in this report will be discussed in a forthcoming article. If you have questions about this report or want more information, please contact Denise Troll Covey Scholarly Communications Librarian ORCID @ CMU Project Manager [email protected] 412-268-8599 ORCID Team: University Libraries Lynn Berard – Liaison Librarian Chris Kellen – Developer Gabrielle Michalek – Director, Scholarly Publishing, Archives, and Data Services Computing Services Doug Blair – IT Consulting Engineer Michael Gettes – Assistant Director for Identity Services

Prepared by Denise Troll Covey – June 30, 2015; revised September 11, 2015 to correct error in SCS graphs.

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ORCID @ CMU

CARNEGIE MELLON UNIVERSITY Overall: 946 participants

Faculty Staff Post-doc Grad doctoral Grad masters U-grad TOTAL

TOTAL 395 69 44 264 166 8 946

42% 7% 5% 28% 18% 1% 100%

350 300

U-grad

250

Grad masters

200

Grad doctoral

150

Post-doc

100

Staff

50

Faculty

0 CFA

CIT

DC

HC

MCS

SCS

TSB

Other

350 300 250

Linked

200

Create incomplete

150

Created not claimed

100

Created and claimed

50 0 CFA

CIT

DC

HC

MCS

SCS

TSB

Other

No information entered into ORCID profile 100% 80% 60% 40% 20% 0% CFA

CIT

DC

HC

MCS

SCS

TSB

Prepared by Denise Troll Covey – June 30, 2015; revised September 11, 2015 to correct error in SCS graphs.

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ORCID @ CMU

COLLEGE OF FINE ARTS Overall: 25 participants 12 10 8 6 4 2 0

Grad masters Grad doctoral Post-doc Faculty ARC

DES

DRA

MUS

Faculty: 8 participants 5 4 3 2 1 0

100% 80% 60% 40% 20% 0% ARC

DES

DRA

Created and claimed % total faculty % total tenure & research faculty

MUS

Doctoral students: 6 participants 5

100%

4

80%

3

60%

2

40%

1

20%

Linked Created and claimed % total doctoral students

0%

0 ARC

DES

DRA

MUS

Master’s degree students: 10 participants 5

100%

4

80%

3

60%

2

40%

1

20%

Linked Created and claimed % total masters students

0%

0 ARC

DES

DRA

MUS

Information entered into ORCID profiles: examined all 25 participant profiles 100% 80% 60% 40% 20% 0% No info

Education

Enployment

Funding

Prepared by Denise Troll Covey – June 30, 2015; revised September 11, 2015 to correct error in SCS graphs.

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ORCID @ CMU

COLLEGE OF ENGINEERING Overall: 324 participants 100 80

U-grad

60

Grad masters Grad doctoral

40

Post-doc

20

Staff Faculty

0 BMD

CEE

CHE CYLAB ECE

EPP

ICES

ICT

INI

MEG MSE

SV Dean's office

Faculty: 138 participants Note: In some cases the percentages exceed 100%, presumably because some units now have more faculty than indicated in the CMU Factbook 2014-2015. 35

350%

30

300%

25

250%

20

200%

15

150%

10

100%

5

50%

0

0%

Linked Created not claimed Create incomplete Created and claimed % total faculty % total tenure & research faculty

Doctoral students: 87 participants 35

100%

30

Linked

80%

25 20

60%

Created not claimed

15

40%

Create incomplete

20%

Created and claimed

0%

% total doctoral students

10 5 0 BMD CEE

CHE CYLAB ECE

EPP

ICES

ICT

INI

MEG MSE

SV

Prepared by Denise Troll Covey – June 30, 2015; revised September 11, 2015 to correct error in SCS graphs.

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ORCID @ CMU

COLLEGE OF ENGINEERING continued Master’s degree students: 53 participants 35

100%

30

Linked

80%

25 20

60%

15

40%

10

20%

5

0%

0 BMD CEE

CHE CYLAB ECE

EPP

ICES

ICT

INI

MEG MSE

Created not claimed Created and claimed % total masters students

SV

Information entered into ORCID profiles: random sample of 74 profiles examined 100% 80% 60% 40% 20% 0% No info

Education

Employment

Funding

Works

DIETRICH COLLEGE Overall: 66 participants 20

U-grad

15

Grad masters Grad doctoral

10

Post-doc 5

Staff

0 CNB

ENG

HIS

ML

PHI

PSY

SDS

STA

Other

Faculty

Prepared by Denise Troll Covey – June 30, 2015; revised September 11, 2015 to correct error in SCS graphs.

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ORCID @ CMU

DIETRICH COLLEGE continued Faculty: 31 participants

Linked

10

100%

8

80%

6

60%

4

40%

Created and claimed

2

20%

% total faculty

0%

% total tenure & research faculty

0 CNB

ENG

HIS

ML

PHI

PSY

SDS

STA

Other

Created not claimed Create incomplete

Doctoral students: 24 participants 10

100%

8

80%

6

60%

4

40%

2

20%

0

0% CNB

ENG

HIS

ML

PHI

PSY

SDS

STA

Other

Linked Created not claimed Created and claimed % total doctoral students

Master’s degree students: 5 participants 10

100%

8

80%

6

60%

4

40%

2

20%

0

0% CNB

ENG

HIS

ML

PHI

PSY

SDS

STA

Created not claimed Created and claimed % total masters students

Other

Information entered into ORCID profiles: random sample of 39 profiles examined 100% 80% 60% 40% 20% 0% No info

Education

Employment

Funding

Prepared by Denise Troll Covey – June 30, 2015; revised September 11, 2015 to correct error in SCS graphs.

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ORCID @ CMU

HEINZ COLLEGE Overall: 62 participants 35 30 25 20

Linked

15

Created not claimed

10

Created and claimed

5 0 Faculty

Staff

Totals Faculty Tenure & research faculty Post-docs Staff Doctoral students Masters students

Post-doc

Grad doctoral

Factbook Participants 69 13 31 1 2 56 15 1,356 31

Grad masters

Participant estimates % total faculty % tenure & research faculty % total doctoral students % total masters students

19% 42% 27% 2%

Information entered into ORCID profiles: random sample of 38 profiles examined 100% 80% 60% 40% 20% 0% No info

Education

Employment

Funding

Prepared by Denise Troll Covey – June 30, 2015; revised September 11, 2015 to correct error in SCS graphs.

Works

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ORCID @ CMU

MELLON COLLEGE OF SCIENCE Overall: 144 participants 75 U-grad

50

Grad masters Grad doctoral

25

Post-doc Faculty

0 BSC

CMY

MSC

PHY

MBIC

Dean's Office

Faculty: 68 participants 35

100%

Linked

80%

Created not claimed

20

60%

Create incomplete

15

40%

Created and claimed

20%

% total faculty

0%

% total tenure & research faculty

30 25

10 5 0 BSC

CMY

MSC

PHY

MBIC

Dean's Office

Doctoral students: 60 participants 100%

35 30

80%

25 20

60%

15

40%

10

20%

5 0

Linked Created and claimed % total doctoral students

0% BSC

CMY

MSC

PHY

Prepared by Denise Troll Covey – June 30, 2015; revised September 11, 2015 to correct error in SCS graphs.

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ORCID @ CMU

MELLON COLLEGE OF SCIENCE continued Master’s degree students: 4 participants 35 30 25 20 15 10 5 0

100% 80% 60% 40% 20% 0% BSC

CMY

MSC

Linked Created and claimed % total masters students

PHY

Information entered into ORCID profiles: random sample of 58 profiles examined 100% 80% 60% 40% 20% 0% No info

Education

Employment

Funding

Works

SCHOOL OF COMPUTER SCIENCE Overall: 196 participants 60 50

Special student

40

Grad-masters

30

Grad-doctoral Post-doc

20

Staff

10

Faculty

0 CB

CS

HCI

ISR

LTI

MLG

ROB

SE

Prepared by Denise Troll Covey – June 30, 2015; revised September 11, 2015 to correct error in SCS graphs.

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ORCID @ CMU

SCHOOL OF COMPUTER SCIENCE continued Faculty: 84 participants 30

100%

Linked

25

80%

Created not claimed

20

60%

15

40%

10 5

20%

0

0% CB

CS

HCI

ISR

LTI

MLG

ROB

SE

Created and claimed % total faculty % total tenure & research faculty

Doctoral students: 59 participants 30

100%

Linked

25

80%

Created not claimed

20

60%

15

40%

10 5

20%

0

0% CB

CS

HCI

ISR

LTI

MLG

ROB

SE

Create incomplete Created and claimed % total doctoral students

Master’s degree students: 35 participants 30

100%

25

80%

Created not claimed

60%

Created and claimed

20 15

40%

10

20%

5 0

% total masters students

0% CB

CS

HCI

ISR

LTI

MLG

ROB

SE

Information entered into ORCID profiles: random sample of 65 profiles examined 100% 80% 60% 40% 20% 0% No info

Education

Employment

Funding

Prepared by Denise Troll Covey – June 30, 2015; revised September 11, 2015 to correct error in SCS graphs.

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ORCID @ CMU

TEPPER SCHOOL OF BUSINESS Overall: 54 participants 25 20 15

Linked

10

Created not claimed Created and claimed

5 0 Faculty

Totals Faculty Tenure & research faculty Post-docs Doctoral students Masters students Undergraduate students

Post-doc

Grad doctoral

Factbook Participants 106 20 74 2 92 13 850 17 2

Grad masters

U-grad

Participant estimates % total faculty % tenure & research faculty % total doctoral students % total masters students

19% 27% 14% 2%

Information entered into ORCID profiles: random sample of 35 profiles examined 100% 80% 60% 40% 20% 0% No info

Education

Employment

Funding

Prepared by Denise Troll Covey – June 30, 2015; revised September 11, 2015 to correct error in SCS graphs.

Works

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ORCID @ CMU

OTHER CMU UNITS Overall: 75 participants 20 15

Grad-masters

10

Post-doc Staff

5

Faculty

0 CMU-Q

ETC

III

SEI

UL

Other

20 15

Linked

10

Created not claimed Create incomplete

5

Created and claimed

0 CMU-Q

ETC

III

SEI

UL

Other

Information entered into ORCID profiles: random sample of 42 profiles examined 100% 80% 60% 40% 20% 0% No info

Education

Employent

Funding

Prepared by Denise Troll Covey – June 30, 2015; revised September 11, 2015 to correct error in SCS graphs.

Works

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