§5.02
Scientific and Technical Publications
§5.02
Rev. 3/11
It is the policy of Lawrence Berkeley National Laboratory (also referred to as Berkeley Lab or the Laboratory) to encourage wide dissemination of its research results through all appropriate channels, including peer-reviewed journals, conferences, and research repositories. Berkeley Lab supports open access to publicly funded research, and makes publications freely available through the U.S. Department of Energy (DOE), Office of Scientific and Technical Information (OSTI), as well as through other channels. Formal Laboratory scientific reports and publications must meet the requirements described below, and must be submitted to the Report Coordination Office (RCO), which ensures appropriate distribution to DOE and other open-access repositories.
All Berkeley Lab staff are expected to manage Scientific and Technical Information effectively throughout its life cycle to help ensure the continuity of research, and its wide availability.
Scientific and Technical Information (STI) products are those deemed by the originator to be useful beyond the originating site (i.e., intended to be published or disseminated), in any format or medium, and which contain findings and technological innovations resulting from research and development (R&D) efforts and scientific and technological work of scientists, researchers, and engineers.
Scientific and Technical Information publications include journal and conference submissions (whether or not they were refereed, and whether they were accepted for publication or rejected by the organization to which they were submitted), proceedings, books and book chapters, theses and dissertations, formal programmatic progress and completion reports, and major institutional documents such as strategic plans.
The following two categories of publications produced at the Laboratory are not covered by this policy:
Berkeley Lab Scientific and Technical Information (STI) publications require appropriate credit lines and acknowledgements, author affiliations, and legal disclaimers. In addition, STI publications must be submitted to the Laboratory’s Report Coordination Office (RCO).
All Berkeley Lab Scientific and Technical Information publications must carry the appropriate credit line on the title page showing the funding source, the DOE/Laboratory contract number, and any applicable Laboratory/non-DOE contract number. Most non-DOE awards, including all National Institutes of Health (NIH) awards, contain specific wording for acknowledgments that must be used in the credit line.
When the funding source is DOE, the credit line must include two levels of organization within DOE, as in the following examples:
This work was supported by the Director, Office of Science, Office of Basic Energy Sciences, of the U.S. Department of Energy under Contract No. DE-AC02-05CH11231.
This work was supported by the Assistant Secretary for Energy Efficiency and Renewable Energy, Office of Building Technology, State, and Community Programs, of the U.S. Department of Energy under Contract No. DE-AC02-05CH11231.
All open-access literature publications (e.g., journal articles and conference papers) must carry this same credit line somewhere in the body of the paper, preferably in an acknowledgments section. Conference papers must also carry this credit line, preferably on a title page.
All Laboratory Directed Research and Development (LDRD)–supported research must carry the following standard credit line:
This work was supported by the Director, Office of Science, of the U.S. Department of Energy under Contract No. DE-AC02-05CH11231.
In Laboratory publications reporting work supported by more than one DOE organization or supported in part by a non-DOE organization (e.g., a federal or state agency, private institute, or commercial firm), acknowledgment of this support, including the contract number and any acknowledgment language specified in the agreement, is required. When work has been carried out in collaboration with other DOE contractors, all contractors must be identified with contract numbers. More information about required sponsor acknowledgments is available from the Report Coordination Office.
For abstracts, where space is limited, it is acceptable to use an abbreviated credit line, as in the following example:
Supported by the U.S. Department of Energy under Contract No. DE-AC02-05CH11231.
The affiliation(s) of the author(s) must be shown on the title page of all Berkeley Lab documents. For Berkeley Lab authors, this information must include the complete Laboratory address:
Lawrence Berkeley National Laboratory
One Cyclotron Road
Berkeley, CA 94720
The Berkeley Lab division (or division-level organization) may also be included. The inclusion of Laboratory organizations such as the Center for Advanced Materials, National Center for Electron Microscopy, and Center for X-Ray Optics is allowed with the approval of the cognizant division director. For authors who have joint affiliations with the University of California (UC), Berkeley, and Berkeley Lab, the affiliation should include both the UC department and the Berkeley Lab division, as in the following example:
Name of Author
Department of Physics
University of California, Berkeley
and
Physics Division
Lawrence Berkeley National Laboratory
Berkeley, CA 94720
If additional affiliations of Berkeley Lab authors are listed, they must be shown separately.
The following disclaimer must appear on the inside front cover of each report:
DISCLAIMER
This document was prepared as an account of work sponsored by the United States Government. While this document is believed to contain correct information, neither the United States Government nor any agency thereof, nor the Regents of the University of California, nor any of their employees, makes any warranty, express or implied, or assumes any legal responsibility for the accuracy, completeness, or usefulness of any information, apparatus, product, or process disclosed, or represents that its use would not infringe privately owned rights. Reference herein to any specific commercial product, process, or service by its trade name, trademark, manufacturer, or otherwise, does not necessarily constitute or imply its endorsement, recommendation, or favoring by the United States Government or any agency thereof, or the Regents of the University of California. The views and opinions of authors expressed herein do not necessarily state or reflect those of the United States Government or any agency thereof or the Regents of the University of California.
Scientific and Technical Information publications are processed through the Report Coordination Office (RCO) of the Information Technologies (IT) Division. RCO assigns an appropriate report number, ensures contractual information requirements are met, coordinates the receipt of printed archive copies, and makes the required distributions to open-access repositories. Guidelines for ensuring that publications are ready for distribution, and information about publisher-required embargoes, are available from RCO.
Berkeley Lab values the role of peer review in ensuring the integrity of scientific research. Researchers are expected to seek ongoing internal review of their work before publication. It is expected that employees will adhere to the highest ethical standards in their publishing, including those detailed in the University’s Statement of Ethical Values, especially in regards to the integrity and originality of work, and the recognition of the contributions of colleagues. Researchers must ensure that any information of a nonpublishable nature (such as that protected by human subjects protocol or a nondisclosure agreement) is excluded from publication.
All publications must be reviewed within a division before receiving a Berkeley Lab report number. Each division will ensure that (1) a reasonable scientific process has been followed, (2) the publication requirements in Paragraph (C) above have been met, and (3) any other requirements indicated by the division director have been met. Divisional procedures must ensure that the review is fair and unbiased, and that freedom of scientific inquiry is not unfairly constrained. More information on this requirement is available from the Office of the Chief Information Officer.
Per Section 5.03 (Patents) of the Regulations and Procedures Manual (RPM), researchers must identify potentially patentable discoveries to Technology Transfer and Intellectual Property Management prior to any form of publication.
Copyrighted material may not be reproduced without the specific permission of the copyright holder. Laboratory employees must comply fully with federal copyright laws. Questions regarding proper procedures for obtaining permission to reproduce copyrighted material should be addressed to the Report Coordination Office (RCO). All transfer of copyrights must include the Technology Transfer and Intellectual Property Management–approved statement available from RCO. The Regents of the University of California, acting through the Laboratory, are the owner of the copyright on all scientific and technical writings prepared at the Laboratory. An author may transfer copyright for purposes of publication subject to the requirements of this RPM section (Section 5.02).
The selection of an external publisher for the proceedings of a Berkeley Lab–hosted conference, or for a book, is governed by Laboratory procurement policy. See RPM §11.38 (Obtaining Goods and Services).
Before starting any writing project on a Laboratory-related subject for which payment is expected, Laboratory authors must check with Technology Transfer and Intellectual Property Management to ensure compliance with DOE and Laboratory policies regarding the distribution of advances and royalties. See also RPM §5.03 (Patents) and RPM §5.05 (Licensing Income Distribution).
Publishing charges, including submission fees, page-related charges, article reprints, and preprints, are handled solely by your division's local administrative support. Please contact your local administrative support for more information about procurement, payments, and tracking of these expenses.
Printed
. The official or current version is located in the online LBNL Regulations and Procedures Manual.
Printed or electronically transmitted copies are not official. Users are responsible for working with the latest approved revision.