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Funding data overview

The funding data service collects funding source information for publications deposited with Crossref. An overview is available on the Crossref website. Implementation instructions are detailed below and include:

BEFORE YOU DEPOSIT:

  • Funder_name AND funder_identifier must both be included when the funding organization exists in the Open Funder Registry. Award numbers must be included when available.
  • Correct nesting of funder names and identifiers is essential as it significantly impacts how funders, funder identifiers, and award numbers are related to each other.

Correct: In this example, funder "National Science Foundation" is associated with the funder identifier "https://doi.org/10.13039.10000001"

 <fr:assertion name="funder_name">National Science Foundation
     <fr:assertion name="funder_identifier">https://doi.org/10.13039/10000001</fr:assertion>
 </fr:assertion>

Incorrect: Here, the funder name and funder identifier are not nested - these assertions will be indexed as separate funders.

 <fr:assertion name="funder_name">National Science Foundation</assertion>
 <fr:assertion name="funder_identifier">https://doi.org/10.13039/10000001</fr:assertion>

  • The purpose of funder groups is to establish relationships between funders and award numbers. A funder group assertion should only be used to associate funder names and identifiers with award numbers when multiple funders are present.

    Funding data deposit with one group of funders (no "fundgroup" needed):

    Funding data deposit with two fundgroups:

    Incorrect: Groups used to associate funder names with funder identifiers, these need to be nested as described above.
  • Deposits using a funder_identifier that is not taken from the Open Funder Registry will be rejected.
  • Deposits with only funder_name (no funder_identifier) are not considered valid funding data deposits and will not appear in funding Search or the search API.
  • If you have previously deposited funder names without funder IDs you should use the "get funders" API to see if the funder names have since been added to the Registry. You should then re-deposit your funding data with the funder IDs.

Depositing funding metadata

Funding metadata must include the name of the funding organization AND the funder identifier, where the funding organization is listed in the Registry, and should include an award/grant number. Funder names should only be deposited without the accompanying ID when the funder is not found in the Registry. These deposits will not be considered valid records until such a time as the funder is added to the database and they are re-deposited with an ID. To this end it is critical that publishers do their utmost to match submitted or extracted funding data to the Registry, which covers all major international funders and a growing number of lesser-known organizations. 

CrossMark participants should nest funding data within the <crossmark> element, for example:

 <crossmark>
     <crossmark_version>1</crossmark_version>
     <crossmark_policy>10.5555/cm_1</crossmark_policy>
     <crossmark_domains>
         <crossmark_domain><domain>www.crossref.org</domain></crossmark_domain>
     </crossmark_domains>
     <crossmark_domain_exclusive>true</crossmark_domain_exclusive>
     <updates>
         <update type="correction" label="Correction" date="2011-04-10">10.5555/cm_test2.1</update>
     </updates>
     <custom_metadata>
         <assertion name="received" label="Received" group_name="publication_history" group_label="Publication History">2011-04-12</assertion>
         <fr:program name="fundref">
            <fr:assertion name="funder_name">IMA Funder
                    <fr:assertion name="funder_identifier">https://doi.org/10.13039/xxxxxxxxxx</fr:assertion>              
              </fr:assertion>                    
              <fr:assertion name="award_number">HPC-227</fr:assertion>   </fr:program>
</custom_metadata>
 </crossmark>

Members not participating in CrossMark may deposit funding metadata along with article metadata, for example:

   ...
   <publication_date media_type="print">
​     <year>2011</year>
   </publication_date>
   <pages>
     <first_page>15</first_page>
   </pages>       
    <fr:program name="fundref">
      <fr:assertion name="funder_name">ABC Inc.
      <fr:assertion name="funder_identifier">https://doi.org/10.13039/xxxxxxxxxx</fr:assertion>
          </fr:assertion>   
 <fr:assertion name="award_number">BXDFSDS</fr:assertion>
    </fr:program>
   <doi_data>
      <doi>10.5555/cm_test_1.1</doi>
      <resource>http://www.crossref.org/crossmark/index.html</resource>
    </doi_data>
  </journal_article>

​Funding data schema 

The <fr:program> element has been added to the deposit schema (crossref4.4.0.xsd | documentation) to support the import of the fundref.xsd schema (documentation). The fundref namespace (xmlns:fr=http://www.crossref.org/fundref.xsd) must be included in the schema declaration, for example:

<doi_batch xmlns="http://www.crossref.org/schema/4.3.6" xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xmlns:fr="http://www.crossref.org/fundref.xsd"xsi:schemaLocation="http://www.crossref.org/schema/4.3.6 http://www.crossref.org/schemas/crossref4.3.6.xsd" version="4.3.1">

To accommodate integration with CrossMark, the fundref.xsd consists of a series of nested <fr:assertion> tags with enumerated name attributes.  The name attributes are:

  • fundgroup: used to group a funder and its associated award number(s) for items with multiple funders. 
  • funder_name: name of the funding agency as it appears in the funding Registry. Funder names that do not match those in the registry will be accepted to cover instances where the funding organization is not listed. 
  • funder_identifier: funding agency identifier in the form of a DOI, must be nested within the "funder_name" assertion. The funder_identifier must be taken from the funding Registry and cannot be created by the publisher. Deposits with no funder_identifier do not qualify as funding records. 
  • award_number: grant number or other fund identifier

"funder_name" AND "funder_identifier" must be present in a deposit where the funding body is listed in the Open Funder Registry. Multiple "funder_name", "funder_identifier", and "award_number" assertions may be included. 

Funder and award number hierarchy

A relationship between "funder_identifier" and "funder_name" is established by nesting "funder_identifier"  within "funder_name". For example, this deposit excerpt has the funder "National Science Foundation" with its corresponding funder identifier in the funding Registry of "https://doi.org/10.13039.10000001":

     <fr:assertion name="funder_name">National Science Foundation
         <fr:assertion name="funder_identifier">https://doi.org/10.13039.10000001</fr:assertion>
      </fr:assertion>

A relationship betwen a single "funder_name" and/or "funder_identifier" and an "award_number" is established by including assertions with a <fr:program>. In this example, funder "National Institute on Drug Abuse" with funder identifier "https://doi.org/10.13039/R01ZDA" are associated with award number "JQY0937263":

   <fr:program name="fundref">
      <fr:assertion name="funder_name">National Institute on Drug Abuse
         <fr:assertion name="funder_identifier">https://doi.org/10.13039/R01ZDA</fr:assertion>
      </fr:assertion>
      <fr:assertion name="award_number">JQY0937263</fr:assertion>
   </fr:program>

If multiple funder and award combinations exist, each combinaton should be deposited within a "fundgroup" to ensure that the award number is associated with the appropriate funder(s). In this example, two funding groups exist: 1. Funder "National Science Foundation" with funder identifier "10.13039/100000001" is associated with award numbers "CBET-106" and "CBET-106",  and 2. Funder "Basic Energy Sciences, Office of Science, U.S. Department of Energy" with funder identifier "https://doi.org/10.13039/100006151" is associated with award number "1245-ABDS".

<fr:program name="fundref">
     <fr:assertion name="fundgroup">
        <fr:assertion name="funder_name">National Science Foundation
            <fr:assertion name="funder_identifier">https://doi.org/10.13039/100000001</fr:assertion>
        </fr:assertion>
        <fr:assertion name="award_number">CBET-106</fr:assertion>
        <fr:assertion name="award_number">CBET-7259</fr:assertion>
     </fr:assertion>

    <fr:assertion name="fundgroup">
        <fr:assertion name="funder_name">Basic Energy Sciences, Office of Science, U.S. Department of Energy
            <fr:assertion name="funder_identifier">https://doi.org/10.13039/100006151</fr:assertion>
        </fr:assertion>
        <fr:assertion name="award_number">1245-ABDS</fr:assertion>
     </fr:assertion>
</fr:program>

Items with multiple funder names but no award numbers may be deposited without a fundgroup.

At minimum a funding data deposit must contain a "funder_name" and "funder_identifier" assertion. Deposits with just an "award_number" assertion are not allowed. A "funder_name", "funder_identifier", and "award_number" should be included in deposits whenever possible. If the funder name cannot be matched in the Registry you may submit funder_name only and the funding body will be reviewed and considered for addition to the official Registry. Until it is added to the Registry the deposit will not be considered a valid funding record and will not appear in funding Search or the Search API. 

As demonstrated in Example #3, items with several award numbers associated with a single funding organization should be grouped together by enclosing the "funder_name", "funder_identifier", and award_number(s) within a "fundgroup" assertion.    

Some rules will be enforced by the deposit logic, including:

  • Nesting of the <fr:assertion> elements: the schema allows infinite nesting of the assertion element to accommodate nesting of an element within itself. Deposit code will only allow 3 levels of nesting (with attribute values of "fundgroup", "funder_name", and "funder_identifier")
  • Values of different <fr:assertion> elements: "funder_name", "funder_identifier", and "award_number" may have deposit rules imposed
  • Only valid funder identifiers will be accepted: the "funder_identifier" value will be compared against the Open Funder Registry file. If the funder_identifier is not found, the deposit will be rejected.

Deleting or updating funding metadata

If funding metadata is incorrect or out of date, it may be updated by redepositing the metadata. Be sure to redeposit all available metadata for an item, not just the elements being updated. A DOI may be updated without resubmitting funding metadata, previously deposited funding metadata will remain associated with the DOI. 

Funding metadata may be deleted by redepositing an item with an empty <fr:program name="fundref"> element:

Deleting non-CrossMark funding metadata:

   ...
   <publication_date media_type="print">      <year>2011</year>
   </publication_date>
   <pages>
     <first_page>15</first_page>
   </pages>       
   <fr:program name="fundref" />
   <doi_data>
      <doi>10.5555/cm_test_1.1</doi>
      <resource>http://www.crossref.org/crossmark/index.html</resource>
    </doi_data>
  </journal_article>

Deleting CrossMark funding metadata:
Submitting an empty Crossmark tag (<crossmark />) will delete all Crossmark data, including funding data. To delete only funding data, submit an empty <fr:program name="fundref" /> element:

<crossmark>
     <crossmark_version>1</crossmark_version>
     <crossmark_policy>10.5555/cm_1</crossmark_policy>
     <crossmark_domains>
         <crossmark_domain><domain>www.crossref.org</domain></crossmark_domain>
     </crossmark_domains>
     <crossmark_domain_exclusive>true</crossmark_domain_exclusive>
     <updates>
         <update type="correction" label="Correction" date="2011-04-10">10.5555/cm_test2.1</update>
         <update type="retraction" label="Retraction" date="2011-04-12">10.5555/cm_test2.2</update>
     </updates>
     <custom_metadata>
         <assertion name="received" label="Received" group_name="publication_history" group_label="Publication History">2011-04-12</assertion>
         <fr:program name="fundref" />
    </custom_metadata>
 </crossmark>

Examples

1. Funding Organization information within a CrossMark deposit: The <fr:program> element captures funder data as <custom_metadata> within the <crossmark> element.

<crossmark>
    <crossmark_version>1</crossmark_version>
    <crossmark_policy>10.5555/crossmark_policy</crossmark_policy>
    <custom_metadata>
        <fr:program name="fundref">
            <fr:assertion name="funder_name">National Science Foundation
                <fr:assertion name="funder_identifier">https://doi.org/10.13039/100000001</fr:assertion>
            </fr:assertion>
            <fr:assertion name="award_number">psychoceramics-1152342</fr:assertion>
        </fr:program>
    </custom_metadata>
</crossmark>

2. Funding Organization information outside of CrossMark: The <fr:program> element captures funding data, it should be placed before the <doi_data> element. This deposit contains minimal funding data - one "funder_name" or one "funder_identifier" must be present; both are recommended.

<fr:program name="fundref">
     <fr:assertion name="funder_name">National Science Foundation
<fr:assertion name="funder_identifier">https://doi.org/10.13039/100000001</fr:assertion> </fr:assertion>
</fr:program>

3. One funding organization, two grant numbers: This example contains one funder_name and one funder_identifier. Note that the funder_identifier is nested within the funder_name assertion, establishing "https://doi.org/10.13039.100000001" as the funder identifier for funder name "National Science Foundation." Two award numbers are present.

<fr:program name="fundref">
     <fr:assertion name="funder_name">National Science Foundation
           <fr:assertion name="funder_identifier">https://doi.org/10.13039/100000001</fr:assertion>
     </fr:assertion>
     <fr:assertion name="award_number">CBET-106</fr:assertion>
     <fr:assertion name="award_number">CBET-7259</fr:assertion>
</fr:program>

4. Multiple Funding Organizations and grant numbers: This example contains two funder_name/identifiers and two award_numbers for each funder. Each funding organization is within its own "fundgroup".

<fr:program name="fundref">
     <fr:assertion name="fundgroup">
        <fr:assertion name="funder_name">National Science Foundation
            <fr:assertion name="funder_identifier">https://doi.org/10.13039/00000001</fr:assertion>
        </fr:assertion>
        <fr:assertion name="award_number">CBET-106</fr:assertion>
        <fr:assertion name="award_number">CBET-7259</fr:assertion>
     </fr:assertion>

    <fr:assertion name="fundgroup">
        <fr:assertion name="funder_name">Basic Energy Sciences, Office of Science, U.S. Department of Energy
            <fr:assertion name="funder_identifier">https://doi.org/10.13039/100006151</fr:assertion>
        </fr:assertion>
        <fr:assertion name="award_number">1245-ABDS</fr:assertion>
        <fr:assertion name="award_number">98562-POIUB</fr:assertion>
     </fr:assertion>
</fr:program>

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