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POLICY

A. Purpose

This policy covers the use, management, and sharing of research data generated at Lawrence Berkeley National Laboratory (Berkeley Lab). Its aim is to provide a framework for the managing and sharing of research data in support of Berkeley Lab's mission of bringing science solutions to the world. The researchers at Berkeley Lab contribute their knowledge and work to the mission of the Laboratory; they are the stewards of the research data generated and facilitate the sharing and dissemination of their work.

B. Persons Affected

This policy applies to employees, affiliates, joint faculty, staff, volunteers, contractors, researchers, postdocs, student workers, student supporting/performing research, medical center staff/personnel, clinicians, student interns, student volunteers, or persons working for Berkeley Lab in any capacity or through any other augmentation to Berkeley Lab staffing levels, who are involved in the design, conduct or reporting of research, regardless of the funding source for such activities. Read more about the policy implementation on the Research Compliance Office's FAQs page.

C. Exceptions

1. This policy applies to all research data for which Berkeley Lab holds ownership or use rights. It does not apply to information that is not research data.
2. Research data generated at Berkeley Lab Designated User Facilities is governed by the policies and user agreements at these facilities.

D. Policy Statement

D.1 Ownership, Availability, and Public Access

1. The Department of Energy (DOE) owns all research data (also referred to as technical data and scientific and technical information (STI)), whether it is copyrightable or not, that is first produced in accordance with the Management and Operating Contract No. DE-AC02-05CH11231 between the Regents of the University of California and the DOE.
2. Researchers at Berkeley Lab are the stewards of the data they generate, and in accordance with this policy, DOE or sponsor requirements have certain usage rights to the data, including public dissemination in academic journals and in data repositories. Section D.4 of this policy outlines the procedures in the event that a researcher leaves Berkeley Lab.
3. As a DOE Lab that is managed and operated by the University of California, Office of the President (UCOP), Berkeley Lab requires that researchers follow UCOP's Research Data Policy for any research data created by or at the direction of University of California researchers or principal investigators during the course of University of California research, unless specifically agreed otherwise by the university under sponsorship or other related agreements.
4. This policy is intended to provide the governing policies and principles to support Berkeley Lab researchers' ability to conduct research, transmit research data to collaborators, independently publish the outcomes of their research, or create scholarly works.
5. To fulfill Berkeley Lab's mission of outstanding research and the broad exchange of ideas as well as to meet obligations with legal, funder, and collaborator requirements, it is the responsibility of researchers at Berkeley Lab to be aware of the relevant policies and conditions of use of any research data created at Berkeley Lab and to ensure that all research data are properly curated, collected, securely stored, managed, and fully accessible, and appropriate stewardship of research data throughout the research life cycle, from the point of research design to preservation.
6. In the performance of our DOE contractual obligations, Berkeley Lab must manage research data produced under the contract as a direct and integral part of our work and ensure the broad availability of Berkeley Lab research data by making research data available to:
   1. DOE's central STI coordinating office (OSTI) per DOE O 241.1B or its successor version; and
   2. The public or scientific community for the purpose of scientific research, knowledge and education through all manner of communication and distribution channels.
7. Berkeley Lab researchers are encouraged to widely disseminate research data and results through such means as publishing in academic, technical, or professional journals; depositing supporting data in established repositories; and releasing data, code, models, and software in accordance with this policy and any DOE program or other sponsor requirements.
8. Separate policies and agreements may cover the use of data and assertion of copyright by Berkeley Lab in data and software. The appropriate technology transfer expert in the Intellectual Property Office (IPO) should be consulted prior to release and assertion of copyright. Data obtained from collaborators or purchased from external sources may be licensed under agreements that limit the use of the data or their public dissemination. The IPO should be consulted during the licensing process or where licensing terms are not clear.
9. Separate agreements may cover rights in data or research results if research work is sponsored by other agencies or industry partners, such as through Cooperative Research and Development Agreements (CRADAs), User Agreements, and Strategic Partnership Projects (SPP), or if generated by Berkeley Lab collaborators and partners through research and supplier subcontracts issued by Berkeley Lab. While typically the sponsor, Berkeley Lab and the DOE maintain unlimited rights in all generated information in sponsored research projects. Except for information disclosed in a subject invention disclosure being considered for patent protection, the grant of permission to assertion of copyright may depend on the specific contract, and researchers should review the applicable agreement terms prior to sharing or release of data.
10. Principal investigators (PI) must retain research data as long as required by funders, publishers, Berkeley Lab policies, compliance or regulatory bodies, and applicable law, and as indicated in other relevant agreements. To ensure proper preservation, PIs must have systems or practices for maintaining and retaining research data in accordance with stated requirements and with the standards of their scholarly disciplines and of Berkeley Lab. PIs are responsible for consulting these requirements and must follow the most stringent requirement for retaining research data.
11. Research data that demonstrate a path to discovery are considered scientific Research & Development records and need to be managed and retained in accordance with Berkeley Lab's Archives and Records Management Policy. These records include research data used to provide a direct input to forming government policy. In using the term "path to discovery," our definition follows Research & Development Records Schedule Item 12 that describes raw data as "used for reference in arriving at determinations in the conduct of research projects or determined to have probable value for secondary evaluations or future experiments."
12. Separate considerations apply to computer software and data generated by subcontractors of Berkeley Lab. Subcontract requesters and technical representatives should consider the project, data, and intellectual property needs when engaging subcontractors, and should be aware of the Rights in Data clause that is applied in Berkeley Lab subcontracts. Under Berkeley Lab subcontracts, data and software generated by subcontractors are not always deemed works-for-hire as a default. In most cases, for software and data generated under subcontracts, the subcontractor needs to request permission from the DOE to own and assert copyright in such software or data in the event the DOE has not provided pre-approval or grant of approval in their subcontract. Pre-approval is often granted for academic and non-profit institutional subcontractors conducting research and on an individual request basis with industry or large business subcontractors. For instances where the software or data generated are special works or there are specific DOE or program needs, subcontract requesters and technical representatives should consult with IPO or Lab counsel to discuss the individual project and subcontract data needs. Accordingly, while the data copyright will generally belong to subcontractors, the DOE reserves a non-exclusive license to data and copyrighted material for itself and the government's use, to which Berkeley Lab may access such data via its government use license.

D.2 Data Management

1. As of July 1, 2023, all research projects or programs at Berkeley Lab that are sponsored by the DOE, external funders, or through the Laboratory Directed Research and Development (LDRD) program require a data management plan (DMP) that covers the research performed. Where a research funder does not require the submission of a DMP, it is the responsibility of a PI or program lead to draft and store the DMP either in their records or upload it to a suitable repository. Research funders and sponsors may have additional requirements on DMPs, and researchers should review any additional applicable agreement terms for specific projects.
2. The aim of DMPs is to ensure an efficient and effective use of government funding resources, and to facilitate the appropriate sharing of research data through documentation of how the data are generated, stored, and organized.
3. Any data ownership, management, use, and licensing questions should be clarified and developed between research collaborators at the proposal stage and reflected in DMPs as necessary.
4. DMPs must address the following requirements, with all applicable topics included in the DMP:
   1. Confidential or personal data: as applicable, DMPs must consider measures to protect confidentiality, personal privacy, personally identifiable information, and U.S. national, homeland, and economic security; recognize proprietary interests, business confidential information, and intellectual property rights; avoid significant negative impact on innovation, and U.S. competitiveness; and otherwise be consistent with all applicable laws, regulations, and DOE orders and policies, including Berkeley Lab's Controlled and Prohibited Information Categories Policy. Research Projects identified as being Export Controlled and/or Restricted (e.g., on the Science & Technology Risk Matrix) require DMPs in accordance with applicable DOE orders and policies. All of these topics must be considered prior to the collection of relevant research data, and any necessary permissions and approvals must be obtained in advance.
   2. Intellectual property: Berkeley Lab recognizes the value of research that could lead to economic or commercial benefit. If applicable, such opportunities should be documented and the appropriate technology transfer expert consulted. There is no requirement to share proprietary research data prior to protecting intellectual property.
   3. Data collection: DMPs should describe data collection and organization, including information about what type of data will be produced, what size or volume of data is expected, what tools or instruments will be used, and what types of analyses are planned.
   4. Data management: DMPs should consult and reference available information about data management resources to be used in the course of the proposed research. In particular, DMPs that explicitly or implicitly commit data management resources at a facility beyond what is conventionally made available to approved users should be accompanied by written approval from that facility. In determining the resources available for data management at Office of Science User Facilities, researchers should consult the published description of data management resources and practices at that facility and reference it in the DMP. Information about other Office of Science facilities can be found in the additional guidance from the sponsoring program. Roles and responsibilities in data preservation and curation should be clearly defined.
   5. Data preservation: DMPs should describe whether and how data generated in the course of the proposed research will be shared and preserved, and what methods or software tools will be needed to access and use the data. If the plan is not to share and/or preserve certain data, then the plan must explain the basis of the decision (for example, cost/benefit considerations, other parameters of feasibility, scientific appropriateness, or limitations discussed in Section D.1., "Ownership, Availability and Public Access"). At a minimum, DMPs must describe how data sharing and preservation will enable validation of results, or how results could be validated if data are not shared or preserved.
   6. Data sharing: DMPs should provide a plan for making all research data intended for publication or dissemination open, machine actionable, and digitally accessible to the public at the time of publication, in accordance with Section D.3., "Data Sharing."
   7. Data sharing practices: DMPs should reference community best practices for data when applicable, including for the specific data type and field as well as FAIR data principles (see Section D.3, "Data Sharing"). For non-standard data types, a description of planned processing and definitions should be included.
   8. Data formats: Deposited data should use openly documented data formats and metadata standards.
   9. Machine actionable DMP: Where applicable, DMPs should be provided in a machine actionable format.
   10. Copyrighted data: Research projects with the potential intent to assert copyright of the data for licensing should discuss sharing limitations, and the appropriate technology transfer expert should be consulted.
   11. Data license: A DMP should declare the intended data license, for example to assert copyright for research data for a sponsored research project.
5. DMPs must be updated throughout a research project or program if there are changes to the research that affect a DMP in any area of the above list of requirements.
6. In accordance with the Archives and Records Management Policy, the Research & Development retention schedules are 10 years for raw data as described in

DOCUMENT INFORMATION