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Why do I have to submit my report to Report Coordination?

All scientific and technical research funded by the U.S. Government or undertaken at facilities funded by the government must be made available for access by the public. The Department of Energy’s Office of Scientific and Technical Information (OSTI) maintains several databases for open access to this information. Our contract requires us to send all scientific and technical documents including journal and conference submissions, proceedings, books and book chapters, theses/dissertations, and formal programmatic progress and completion reports to OSTI. This requirement is described in more detail in LBNL’s policy on Scientific and Technical Publications Requirements.

In addition to sending your paper to OSTI, the Report Coordination Office (RCO) also sends it to the UC California Digital Library (CDL)/eScholarship open access database. Inclusion in this repository and in the OSTI database provides access to your paper by thousands of scientists worldwide, without paying subscription or other access fees. This directly affects the likelihood of your paper being downloaded, referenced, and cited in other scientific studies. In addition, citation metrics are a measurement used by DOE to determine the value of research done at LBNL and they directly influence funding decisions made by funding agencies. Berkeley Lab routinely uses these figures to support the significance and value of research being done at LBNL. In addition, greater citation of your published works documents the value of your research within your program, and to other institutions interested in collaboration. Submitting your papers also supports a model of sustainable scientific and scholarly publishing endorsed by most major academic and research institutions. To read more about this, visit the website for the Scholarly Publishing Academic Resources Coalition (SPARC).

What is the process for contracting with a commercial journal publisher?

First, check with your supervisor or division administration about your division’s specific process for publishing. Each division determines the most effective way for their organization to handle reviews, entering into a contract with the publisher and paying publishing charges from journals.

When your paper is accepted and you receive a copyright agreement form from the publisher, you must include the following Copyright Statement with the completed and signed form you return to the publisher:

This manuscript has been authored by an author at Lawrence Berkeley National Laboratory under Contract No. DE-AC02-05CH11231 with the U.S. Department of Energy. The U.S. Government retains, and the publisher, by accepting the article for publication, acknowledges, that the U.S. Government retains a non-exclusive, paid-up, irrevocable, world-wide license to publish or reproduce the published form of this manuscript, or allow others to do so, for U.S. Government purposes.

 

Note on Elsevier Publications

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When submitting to Elsevier journals, email oxfordcopyrights@elsevier.com and inform them that you are an LBNL author and need an amended agreement.

 

Contact RCO, x6504, with any questions concerning publisher copyright compliance.

When you have a contract with the publisher, they may request an exclusivity period, holding  back the work from the public via open access databases. You should enter this date into the Report Submission System so that the report is only accessible to the submitter, contact person, patent attorneys, and the Report Coordinator. After the exclusivity date has expired the system will automatically release  the document so further processing to the public sites can take place. You must contact RCO, RepCoor@lbl.gov, if a release date needs to be changed.

When should I submit my report to Report Coordination?

For publications that can be made open access, you should submit prior to, or at the same time as external publication. Commercial journal publications often require an exclusivity period before your paper can be made available through OSTI or eScholarship. The Report Submission System allows you to enter the date when the exclusivity period will expire, and the Report Coordination Office will transmit your report to open access repositories after that date. You may prefer to submit the final version, but it must be in a generic format that does not conflict with the journal’s copyright requirements (i.e., without any journal titling or unique formatting). If you do not have a generic version of your document, you should reconstruct a generic copy from the published work.

Your report can only be submitted one time. We cannot accept drafts that are later replaced with final versions.

h2. What do I need to do to prepare to submit a document to Report Coordination?

Review Berkeley Lab Policy Requirements

When you are ready to publish, you need to make sure that your paper complies with LBNL’s policy on Scientific and Technical Publications Requirements section D.2. This describes in detail the requirements for a title page (see example), credit line, author affiliation(s), copyright notice, and legal disclaimer, that must be included.

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If your work is funded in part or whole by a non-DOE sponsor, be sure to use the credit line specified in your grant or agreement. Examples and information on where to find the credit line requirement in your agreement are available from OSPIP for general agreements, and specifically for NIH.  (Search for the word acknowledgement on the page).  

All reports published in commercial journals, such as Nature, are copyrighted by the publisher as they appear in that publication. The original works, as written by LBNL employees, are copyrighted by UC Regents. These original works, including peer review comments, may be distributed by LBNL and other author affiliations, without restriction or fees. The original works may not contain indicia, formatting, logos or masthead of the commercial publishers, but should remain in their generic format, for submission to RCO. Distributing this version or format of your paper saves the Lab time and money, as no fees are necessary for reprints, and you may make copies for distribution without expense to you.

Submit Required Copies

You will need to have a generic file of your report available for uploading to the Report Submission System. This file cannot have any journal specific content or formatting. The submission system will only accept PDF files.

Submit for Patent Review

If you know in advance that your report includes an invention or developed software (see Technology Transfer Information), you should complete a Record of Invention (ROI) form and submit it to Technology Transfer for review. If it is determined that the invention or software should be patented, the attorney will assign an Invention Reference Number. This number should be included in the Report Submission Form when completed.

Technology Transfer is required to review all reports before they are released outside Berkeley Lab. If your paper has not already been reviewed, the Report Submission System will automatically route your report to the appropriate attorney. The attorney will contact you if further information is needed. After the patent attorney has reviewed the report it will be automatically routed to RCO for the next step in the process.

Submit for Division Review

All publications must be reviewed within a division before being submitted per RPM Policy Scientific & Technical Publications Authorship and Review. Each division must have a procedure to ensure that a reasonable scientific process has been followed and the publication requirements in Scientific and Technical Publications Requirements above are met. Each division may also define any other requirements for their division review process. 

How do I submit a document to Report Coordination?

When you have completed the preparation and reviews described above, submit your report by logging into the Report Submission System using your LBNL LDAP id and password. Select “Submit Report” from the menu at the left and enter the required information about your paper. 

Once I have submitted my report to Report Coordination do I need to submit it anywhere else?

If the research being reported was funded solely by DOE, there are no other requirements.

If the National Institutes of Health (NIH) funding was used, you are required to report the paper to NIH as well as DOE. For more information see the Sponsored Projects Office web site. Check with all your funding agencies for any other requirements. 

Note that regardless of the source of funds, any work performed through LBNL must be submitted to RCO for DOE distribution.

How do I get more information about the Report Submission process?

For more information contact the Report Coordinator at repcoor@lbl.gov or call x6504

What is an LBNL report number and why do I need one?

When your paper has been submitted to RCO and the Report Coordinator has checked to ensure that it meets all the requirements, a unique LBNL report number will be assigned. This can be used for easy reference. Your division may ask you to use this number when listing your publications.

How do I review and check the status of reports I have submitted?

For reports that have not yet been released to the Reports Database, log into the Report Submission System using your LBNL LDAP id and password. Select “View Your Reports" from the menu at the left, and enter the appropriate search criteria. These reports may be in 1 of 3 states: Patent review, in exclusivity based on directions in the initial submission, or waiting for further processing by the Report Coordinator. Note that a report in the “View Your Reports” area can only be viewed by the submitter and the contact person listed in the submission.

How do I search for reports in the database?

You may generate a list of papers by author or title in the system by logging into the Report Submission System using your LBNL LDAP id and password, then selecting “Search Reports DB” from the menu at the left and entering the appropriate search criteria. You may then export the results to Excel for further processing. Please follow the instructions given there. This will only show public papers, not papers currently embargoed due to copyright exclusivity issues or currently in pre-press. See instructions above (“View Your Reports”) to get instructions on how to see papers currently embargoed.

Can I access the Report Database if I do not have a valid LBNL LDAP id?

No. The database is only available to those with an LBNL LDAP id and password. To find any report that is publicly available, go directly to OSTI’s open access database site or UC’s eScholarship open access database, or do a Google search.

If I am not an LBNL employee, how do I get a copy of a report?

You can download a copy of any recent LBNL report and many older ones that have already been scanned, from OSTI’s open access database site or UC’s eScholarship open access database, or by searching on Google. If you cannot find the report you want, contact the Reference Librarian at Library@lbl.gov. The Librarian will usually be able to provide a copy of any public report within 2-5 business days.

How do I get help using the Report Submission System?

If you need help with logging into the Report Submission System or other technical support, contact the IT Help Desk. If you need help with the fields you are required to complete in the Report Submission System, or finding reports in the Reports Database, contact the Report Coordinator at RepCoor@lbl.gov or x6504. To get a copy of a report not in the database, contact the Reference Librarian at Library@lbl.gov or x5621.

How do I request further system training?

If you are interested in having a training session for your group, department or division, please contact RepCoor@lbl.gov, and we will work with you to schedule a convenient time. Monthly or quarterly division, department or group meetings often provide a good opportunity for this. Let us know if you would like us to attend one of your regularly scheduled meetings, or arrange a custom time to help your group with the LBNL Report Submission System.

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