Rev. 04/08
This policy applies to all scientific and technical publications prepared at the Laboratory.
Scientific and technical publications include journal and conference submissions (whether refereed or not and whether actually 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, the Institutional Plan, division annual reports, and facility newsletters.
Three types of scientific and technical publications are produced at the Laboratory: Laboratory reports (e.g., abstracts, journal preprints, conference papers, theses, and standard distribution reports); LBNL/PUB reports, which are not technical and scientific in the strict sense (e.g., brochures, informational reports, newsletters, user manuals, proposals, and conceptual design reports); and LBID reports (e.g., reports of a sensitive nature, preliminary reports, and informal reports).
The following two categories of publications produced at the Laboratory are not covered by this policy:
DOE programs funding the creation of scientific and technical information must follow life-cycle information-management practices to ensure that the information is planned for, budgeted, produced, processed, disseminated, and stored in cost-effective ways to ensure its maximum use by all customer segments, including United States industry and the general public. Formal scientific and technical information performance assessments are conducted as part of program reviews sponsored by DOE programs.
All Laboratory scientific and technical publications must carry a standard credit line on the title page showing the funding source, the DOE/Laboratory contract number, and any applicable Laboratory non-DOE contract number. 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 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 on a title page for submission to DOE.
All Laboratory Directed Research and Development (LDRD)-supported research must carry a standard credit line showing the following with the DOE/Laboratory contract number. Only one level of organization is required.
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., federal or state agency, private institute, or commercial firm), acknowledgment of this support (including the contract number) is required. When work has been carried out in collaboration with other DOE contractors, all contractors must be identified with contract numbers.
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 Laboratory documents. For Laboratory authors, this information must include the complete Laboratory address:
Lawrence Berkeley National Laboratory
Berkeley, CA 94720
The Laboratory 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 affiliation with the University of California, Berkeley, and Berkeley Lab, the affiliation should include both the campus department and the Berkeley Lab divisional information, 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 Laboratory authors are listed, they must be shown separately.
The following disclaimer must appear on the inside front cover of each report prepared under DOE sponsorship and issued by the Laboratory:
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.
All scientific and technical publications must be processed through
the Report Coordinator, reporting to the Scientific and Technical
Information Manager, in the Library. This office assigns an
appropriate report number, assures contractual information
requirements, coordinates the receipt of printed archive copy, and
makes the required DOE/Laboratory distribution.
LBNL 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 as 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. Per Section 5.03 of the RPM, researchers must identify potentially patentable discoveries to the Technology Transfer and Intellectual Property Management prior to any form of publication.
All publications must be reviewed within a division before receiving an LBNL/PUB or LBID number. Each division will ensure that (1) a reasonable scientific process has been followed, (2) the publication requirements in §5.02(C) above have been met, and (3) any other requirements indicated by their 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.
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 RCO. All transfer of copyrights must include the Technology Transfer and Intellectual Property Management–approved statement available from the 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 other requirements of this RPM §5.02.
The selection of an external publisher for the proceedings of a Laboratory-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 the Technology Transfer Department 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.