Funding

[fred-atherden]

The funding information associated with an article.

User Stories

Author

1. As an author, I want to be able to add a funding source to my article so that I can acknowledge the funding for my research.
2. As an author, I want to be able to associate funding with the author(s) it supported so that I can acknowledge who was supported by each funder.
3. As an author, I want to be able to add a grant number to a funding source so that I can acknowledge the specific grant received.
4. As an author, I want to be able to edit the details for a funding source so that I can correct any errors.
5. As an author, I want to be able to edit which author(s) a funding source is associated with so that I can correct any errors.
6. As an author I want to be able to reorder the list of funding sources so that I can specify a particular order for the funding details.
7. As an author, I want to be able to remove a funder so that I can correct errors.
8. As an author, I want to be able to add a funding statement to an article so that I can declare the role of the funders in the work.
9. As an author, I want to be able to edit the funding statement so that I can correct errors.

Production staff

10. As production staff, I want to be able to add a DOI for a funder so the article can be linked to that funding body following publication.
11. As production staff, I want to be able to see whether a funder DOI is present so that I can search for one if it is missing.

But what if . . . ?

Considerations

• Funding information is optional. Some publishers will not include any funding information. Some publishers who do include funding information will not include a funding-statement, and/or will not link the funding to the author names.
• Each funding entry may have one or more authors associated with it.
• DOIs for funders are assigned by CrossRef, which maintains the Open Funder Registry (https://www.crossref.org/services/funder-registry/). They provide this registry as a freely downloadable file updated monthly. Entries in this registry contain name and country information for funders: http://dx.doi.org/10.13039/100000002.
• Funders may be referred to by different variants of their name; these will hopefully be captured in the OFR entries.
• Not all funders are in the Open Funder Registry so we need to allow for funders with no corresponding DOI.
• Not all funding will have an associated grant ID; again, this should be an optional field.
• It is possible to have a funding statement and no funders - for articles that did not receive any external funding, for example.
• The funding statement needs to be freely editable - at eLife, for example, this field is populated from the submission system where it is boiler-plate that can be edited as required. It sometimes needs updating during proofing.
• Currently, eLife includes an xref link in an author's contrib element for any funding entries in which they are a recipient. This might have some value internally as a linking mechanism but it is not currently used on publication or downstream delivery.

Also need to add a consideration about drawing the country information from OFR.

XML requirements

This information is captured inside a funding-group element as a child of article-meta. There can only be one funding-group element in an article. funding-groupshould have the attribute specific-use="crossref".

Each funding entry is captured in an award-group element (funding-group may contain numerous award-group elements). Each award-group should have a unique id, so that this can be linked to from the author details (xref as child of contrib).

An award-group can have the following child elements:

• funding-source (1 required)
• award-id (0 or 1)
• principal-award-recipient (1 or more)
• principal-investigator (0 or 1)

The funding-source element should have a country attribute, the value of which should be a 2-digit ISO 3166-1 country code. Each funding-source element must have an institution-wrap element.

institution-wrap may contain an institution-id element, and must contain an institution element. If the funding is from an institution contained within the open funder registry an <institution-id> is required, with the following attributes: a) @institution-id-type="doi" b) @vocab="OpenFunderRegistry" c) @vocab-identifier="10.13039/open_funder_registry"

Each principal-award-recipient or principal-investigator should must contain (only) 1 name or string-name. If that author has a contrib-id, then this should also be included in the principal-award-recipient or principal-investigator.

funding-group may also have a child funding-statement (for eLife content, all funding-group elements will have a funding-statement).

Example

<article-meta>
       ...
       <funding-group>
              <award-group id="fund1">
                     <funding-source country="US">
                            <institution-wrap>
                                   <institution-id institution-id-type="doi" vocab="OpenFunderRegistry" vocab-identifier="10.13039/open_funder_registry">10.13039/100000002</institution-id>
                                   <institution>National Institutes of Health</institution>
                            </institution-wrap>
                     </funding-source>
                    <award-id>DA037327</award-id>
                    <principal-award-recipient>
                            <contrib-id contrib-id-type="orcid" authenticated="true">https://orcid.org/0000-0002-6048-1470</contrib-id>
                            <name>
                                   <surname>Atherden</surname>
                                   <given-names>Frederick P</given-names>
                              </name>
                     </principal-award-recipient>
                </award-group>
                <award-group id="fund2">
                     <funding-source country="US">
                            <institution-wrap>
                                   <institution-id institution-id-type="doi" vocab="OpenFunderRegistry" vocab-identifier="10.13039/open_funder_registry">10.13039/100000002</institution-id>
                                   <institution>National Institutes of Health</institution>
                            </institution-wrap>
                     </funding-source>
                    <award-id>DA99999</award-id>
                    <principal-award-recipient>
                            <contrib-id contrib-id-type="orcid" authenticated="true">https://orcid.org/0000-0002-6048-1470</contrib-id>
                            <name>
                                   <surname>Atherden</surname>
                                   <given-names>Frederick P</given-names>
                              </name>
                     </principal-award-recipient>
                    <principal-award-recipient>
                            <name>
                                   <surname>Gilbert</surname>
                                   <given-names>James F</given-names>
                            </name>
                     </principal-award-recipient>
                </award-group>
                <award-group id="fund3">
                    <funding-source country="GB">
                            <institution-wrap>
                                   <institution>eLife Sciences</institution>
                            </institution-wrap>
                     </funding-source>
                    <award-id>00000000001</award-id>
                    <principal-award-recipient>
                            <name>
                                   <surname>Gilbert</surname>
                                   <given-names>James F</given-names>
                            </name>
                     </principal-award-recipient>
                </award-group>
                <award-group id="fund4">
                    <funding-source country="DE">
                        <institution-wrap>
                            <institution-id  institution-id-type="doi" vocab="OpenFunderRegistry" vocab-identifier="10.13039/open_funder_registry">10.13039/100005156</institution-id>
                            <institution>Alexander von Humboldt-Stiftung</institution>
                        </institution-wrap>
                    </funding-source>
                    <award-id>Postdoctoral Fellowship</award-id>
                    <principal-award-recipient>
                            <contrib-id contrib-id-type="orcid" authenticated="true">...</contrib-id>
                            <name>
                                <surname>...</surname>
                                <given-names>...</given-names>
                            </name>
                    </principal-award-recipient>
                    <principal-award-recipient>
                            <name>
                                <surname>...</surname>
                                <given-names>...</given-names>
                            </name>
                    </principal-award-recipient>
                    <principal-award-recipient>
                            <contrib-id contrib-id-type="orcid" authenticated="true">...</contrib-id>
                            <name>
                                <surname>...</surname>
                                <given-names>...</given-names>
                            </name>
                    </principal-award-recipient>
                </award-group>
                <award-group id="fund5">
                      <funding-source country="US">
                        <institution-wrap>
                            <institution-id institution-id-type="doi" vocab="OpenFunderRegistry" vocab-identifier="10.13039/100000011">10.13039/100000011</institution-id>
                            <institution>Howard Hughes Medical Institute</institution>
                        </institution-wrap>
                      </funding-source>
                    <principal-award-recipient>
                            <name>
                                <surname>Plaza</surname>
                                <given-names>Stephen M</given-names>
                            </name>
                    </principal-award-recipient>
                </award-group>
                <funding-statement>The funders had no role in study design, data collection and
                    interpretation, or the decision to submit the work for
                    publication.</funding-statement>
            </funding-group>
</article-meta>

Funding information is optional. There can be a funding-group with no child award-group:

<funding-group>
  <funding-statement>The authors declare that there was no funding for this work</funding-statement>
</funding-group>

Equally the presence of a principal-award-recipient is desired, but nevertheless optional, so the following would be acceptable:

<funding-group>
    <award-group id="fund1">
        <funding-source country="US">
            <institution-wrap>
                <institution-id institution-id-type="doi" vocab="OpenFunderRegistry" vocab-identifier="10.13039/open_funder_registry">10.13039/100000002</institution-id>
                <institution>National Institutes of Health</institution>
            </institution-wrap>
        </funding-source>
        <award-id>DA037327</award-id>
    </award-group>
</funding-group>

Taken from: https://github.com/elifesciences/TextureRequirements/issues/27

[fred-atherden]

Note that this issue likely still requires discussion.