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Title:	Scientific and Technical Publications Requirements
Publication date:	8/9/2024
Effective date:	3/7/2011

BRIEF

Policy Summary

This policy describes Berkeley Lab requirements for the publication of scientific and technical information (STI).

Who Should Read This Policy

Employees and affiliates involved in scientific or technical research

To Read the Full Policy, Go To:

The POLICY tab on this wiki page

Contact Information

Information Technology Policy Manager
Information Technology Division
[email protected]

Wiki Markup

{dojo-tabs:theme=tundra} {dojo-tab:title=Brief|selected=true} | Title: | Scientific and Technical Publications Requirements | | Publication date: | 5/7/2012 | | Effective date: | 3/7/2011 | h2. BRIEF h3. Policy Summary This policy describes Berkeley Lab requirements for the publication of scientific and technical information (STI). h3. Who Should Read This Policy Employees and affiliates involved in scientific or technical research h3. To Read the Full Policy, Go To: The POLICY tab on this wiki page h3. Contact Information Information Technology Policy Manager Information Technology Division [[email protected]|mailto:[email protected]] {dojo-tab} {dojo-tab:title=Policy} | Title: | Scientific and Technical Publication Requirements | | Publication date: | 5/7/2012 \\ | | Effective date: | 3/7/2011 | [D. Policy Statement|#_D._Policy_Statement] [D.1 Publication Submission Requirement|#_D.1_Publication_Submission] [D.2 Credit Line, Author Affiliations, Copyright Notice, and Disclaimer Requirements|#_D.2_Credit_Line,] h2. POLICY h3. A. Purpose This policy establishes requirements that help to ensure: * Open access to research conducted at Lawrence Berkeley National Laboratory (Berkeley Lab) and to encourage wide dissemination of research results * Adherence to copyright obligations in the publication of research results * The appropriate assignment of intellectual property rights h3. B. Persons Affected This policy applies to employees and affiliates involved in the creation of scientific and technical information. h3. C. Exceptions The scope of this policy is scientific and technical information (STI) created in the course of research. It does not include all other Laboratory Information. {anchor:_D._Policy_Statement} h3. D. Policy Statement {anchor:_D.1_Publication_Submission} h4. D.1 Publication Submission Requirement # *Purpose.* The purpose of the publication submission requirement is to: ## Ensure that STI funded by the U.S. government or conducted at facilities funded by the U.S. government is made available for public access ## Review STI to ensure that copyright obligations are met ## Review STI for potential patents or other intellectual property # *Requirement.* Authors must submit STI to the [Report Coordination Office|https://commons.lbl.gov/display/rst/Report+Coordination]. {anchor:

Card

label	Policy

Title:	Scientific and Technical Publication Requirements
Publication date:	8/9/2024
Effective date:	3/7/2011

POLICY

A. Purpose

This policy establishes requirements that help to ensure:

Open access to research conducted at Lawrence Berkeley National Laboratory (Berkeley Lab) and to encourage wide dissemination of research results
Adherence to copyright obligations in the publication of research results
The appropriate assignment of intellectual property rights

B. Persons Affected

This policy applies to employees and affiliates involved in the creation of scientific and technical information.

C. Exceptions

The scope of this policy is scientific and technical information (STI) created in the course of research. It does not include all other Laboratory Information.

Anchor

	_D._Policy_Statement
	_D._Policy_Statement

D. Policy Statement

Anchor

	_D.1_Publication_Submission
	_D.1_Publication_Submission

D.1 Publication Submission Requirement

Purpose. The purpose of the publication submission requirement is to:
1. Ensure that STI funded by the U.S. government or conducted at facilities funded by the U.S. government is made available for public access
2. Review STI to ensure that copyright obligations are met
3. Review STI for potential patents or other intellectual property
Requirement. Authors must submit STI to the Publications Office.

Anchor

_D.2_Credit_Line,

} h4.


	_D.2_Credit_Line,

D.2 Credit

Line,

Author

Affiliations,

Copyright

Notice,

and

Disclaimer

Requirements

#

Publications

must

contain

the

appropriate

credit

line,

author

affiliations,

disclaimers,

and

copyright

notice.

# *

Credit

line.

*

The

credit

line

must

include

funding

source(s),

contract

number(s),

and

any

required

acknowledgements

from

other

funding

sources.

Examples

of

credit

lines

with

DOE

as

the

funding

source:

##

1. This

1. work

1. was

1. supported

1. by

1. the

1. Director,

1. Office

1. of

1. Science,

1. Office

1. of

1. Basic

1. Energy

1. Sciences,

1. of

1. the

1. U.S.

1. Department

1. of

1. Energy

1. under

1. Contract

1. No.

1. DE-AC02-05CH11231.

##

2. This

1. work

1. was

1. supported

1. by

1. the

1. Assistant

1. Secretary

1. for

1. Energy

1. Efficiency

1. and

1. Renewable

1. Energy,

1. Office

1. of

1. Building

1. Technology,

1. State

1. and

1. Community

1. Programs,

1. of

1. the

1. U.S.

1. Department

1. of

1. Energy

1. under

1. Contract

1. No.

1. DE-AC02-05CH11231.

# *

Author

affiliations.

*

Publications

must

list

authors

and

appropriate

affiliations.

Include

both

affiliations

for

authors

with

joint

appointments

with

the

University

of

California

at

Berkeley

and

Berkeley

Lab.

# *

Disclaimers.

*

Publications

must

include

the

following

disclaimer:

##

1. This

1. document

1. was

1. prepared

1. as

1. an

1. account

1. of

1. work

1. sponsored

1. by

1. the

1. United

1. States

1. Government.

1. While

1. this

1. document

1. is

1. believed

1. to

1. contain

1. correct

1. information,

1. neither

1. the

1. United

1. States

1. Government

1. nor

1. any

1. agency

1. thereof,

1. nor

1. the

1. Regents

1. of

1. the

1. University

1. of

1. California,

1. nor

1. any

1. of

1. their

1. employees,

1. makes

1. any

1. warranty,

1. express

1. or

1. implied,

1. or

1. assumes

1. any

1. legal

1. responsibility

1. for

1. the

1. accuracy,

1. completeness,

1. or

1. usefulness

1. of

1. any

1. information,

1. apparatus,

1. product,

1. or

1. process

1. disclosed,

1. or

1. represents

1. that

1. its

1. use

1. would

1. not

1. infringe

1. privately

1. owned

1. rights.

1. Reference

1. herein

1. to

1. any

1. specific

1. commercial

1. product,

1. process,

1. or

1. service

1. by

1. its

1. trade

1. name,

1. trademark,

1. manufacturer,

1. or

1. otherwise,

1. does

1. not

1. necessarily

1. constitute

1. or

1. imply

1. its

1. endorsement,

1. recommendation,

1. or

1. favoring

1. by

1. the

1. United

1. States

1. Government

1. or

1. any

1. agency

1. thereof,

1. or

1. the

1. Regents

1. of

1. the

1. University

1. of

1. California.

1. The

1. views

1. and

1. opinions

1. of

1. authors

1. expressed

1. herein

1. do

1. not

1. necessarily

1. state

1. or

1. reflect

1. those

1. of

1. the

1. United

1. States

1. Government

1. or

1. any

1. agency

1. thereof

1. or

1. the

1. Regents

1. of

1. the

1. University

1. of

1. California.

# *

Copyright

notice.

*

Publication

submissions

must

include

the

following

copyright

notice:

##

1. This

1. manuscript

1. has

1. been

1. authored

1. by

1. an

1. author

1. at

1. Lawrence

1. Berkeley

1. National

1. Laboratory

1. under

1. Contract

1. No.

1. DE-AC02-05CH11231

1. with

1. the

1. U.S.

1. Department

1. of

1. Energy.

1. The

1. U.S.

1. Government

1. retains,

1. and

1. the

1. publisher,

1. by

1. accepting

1. the

1. article

1. for

1. publication,

1. acknowledges,

1. that

1. the

1. U.S.

1. Government

1. retains

1. a

1. non-exclusive,

1. paid-up,

1. irrevocable,

1. world-wide

1. license

1. to

1. publish

1. or

1. reproduce

1. the

1. published

1. form

1. of

1. this

1. manuscript,

1. or

1. allow

1. others

1. to

1. do

1. so,

1. for

1. U.S.

1. Government

1. purposes.

h3.

E. Roles

and

Responsibilities

Employees

and

affiliates

are

responsible

for

adhering

to

this

policy.

h3.

F. Definitions/Acronyms

Term
Definition
Scientific and Technical Information (STI)
Information products deemed by the originator to be useful beyond the originating site (i.e.,

intended

to

be

published

or

disseminated),

in

any

format

or

medium,

which

contain

findings

and

technological

innovations

resulting

from

research

and

development

(R&D)

efforts

and

scientific

and

technological

work

of

scientists,

researchers,

and

engineers,

whether

they

are

federal

employees,

contractors,

or

financial-assistance

recipients.

STI

also

conveys

the

results

of

demonstration

and

commercial

application

activities

as

well

as

experiments,

observations,

simulations,

studies,

and

analyses.

\\ | h3.

G. Recordkeeping

Requirements

None h3.

None

H. Implementing

Documents

None h3.

None

I. Contact

Information

Technology

Policy

Manager

Information

Technology

Division

[

[email protected]

|mailto:[email protected]] h3.

J. Revision

History

Date
Revision
By whom
Revision Description
Section(s)

affected

* | *

Change

Type* | |

Type
8/9/2024	1	A. Sultan	Periodic review: no changes	All	Editorial
6/15/2021	1	A. Sultan	Periodic review. Minor formatting. No changes.	All	Editorial
12/17/2020	1	D. Soustin	Updated Contract 31 I clause numbers as per mod 1105	Source Requirement Documents	Editorial
5/7/2012

| 1 |

1

J.

Bonaguro

|

Rewrite

for

wiki

(policy)

| All | Minor Change | |

	All	Minor Change
1/2/2012

| 0 |

0

J.

Bonaguro

|

Rewrite

for

wiki

(brief)

| All | Minor Change | {dojo-tab} {dojo-tab:title=Document Information} h2. DOCUMENT INFORMATION | Title: | Scientific and Technical Publications Requirements | | Document number |

All

Minor Change

Card

label	Document Information

DOCUMENT INFORMATION

Title:	Scientific and Technical Publications Requirements
Document number	10.02.001.000

| |

Revision

number

| 1 | | Publication date: | 5/7/2012 | | Effective date: |

	1
Publication date:	8/9/2024
Effective date:	3/7/2011

| |

date:

	8/8/2027
Policy Area:	Scientific and Technical Publications
RPM Section (home)	Information Management
RPM Section (cross-reference)

|

Section

5.02

| |

Functional

Division

|

Information

Technology

| |

Prior

reference

information

(optional)

|

RPM

Section

5.02

| h3. Source Requirements Documents * DOE O

Source Requirements Documents

DOE O 241.1B,

_

Scientific

and

Technical

Information

Managemen

{_}t * Contract

Clause

I.

91 - DEAR 970.

137, DEAR 970-5227-2,

_

Rights

in

Data - Technology

Transfer

_ (Deviation JUL 2006) Section d.2. ** Requires copyright notice * {color:#222222}Berkeley Lab Senior Management requirement{color}\*\* Requires disclaimer h3. Implementing Documents None {dojo-tab} {builder-show:group=rpm2-admins} {dojo-tab:title=Additional Information} h2.ADDITIONAL INFORMATION |Title: |Scientific and Technical Publications Requirements| |Document number|

(DEC 2000) [SC alternate SEP 2018] (prev. I.091)
- Requires copyright notice
Berkeley Lab Senior Management requirement

Implementing Documents

None

Show If

group	rpm2-admins

Card

label	Additional Information

ADDITIONAL INFORMATION

Title:	Scientific and Technical Publications Requirements
Document number	10.02.001.000

| |

Revision

number

|

1

| |

Publication

date:

|5/7/2012| |Effective date: |

	8/9/2024
Effective date:	3/7/2011

| |

date:

|3

8/

7/2015| |Policy

8/2024

Policy Area:

|

Scientific

and

Technical

Publications

| |

RPM

Section

(home)

|

Information

Management

| |

RPM

Section

(cross-reference)

|

Section

5.02

| |

Functional

Division

|

Information

Technology

| |

Author

name/contact

info

|

J.

Bonaguro

Revision 0 publication date	3/7/2011

| |

Retirement

date

|

n/a

| |

Prior

reference

information

(optional)

|

RPM

Section

5.02

| | | | |Inputs from more than one Functional Area?|No| |List additional Functional Areas & contacts| | | | | |Inputs from more than one Policy Area?|No| |List additional Policy Areas & contacts| | | | | |30-day notification needed?|No| |30-day start date|n/a| |30-day end date|n/a| | | | |LDAP protected?|No| | | | |Need TABL reminders?|No| |Frequency|n/a| |Brief reminder text:|n/a| | | | |Approval Sheet for this revision received (date) \\ \[Note: author is responsible\}| | h3.Key labels/tags: * Scientific and Technical Publications, Information Management h3.New terms that need to be added to Glossary/Acronym list:*** * Policy Area: Information Technology h3.Implementing Documents restricted to department/functional use (optional – these will be used for tracing between requirements and associated documents) |Document number|Title| | | | | | | \\ \\ *Side bars:* Side bar 1 location (cite by Policy Section # - for example: Section D.2.a) Sidebar 1 text: \\ Sidebar 2 location Sidebar 2 text: \\ Sidebar 3 location Sidebar 3 text: {dojo-tab} {builder-show} {dojo-tabs}



Inputs from more than one Functional Area?	No
List additional Functional Areas & contacts

Inputs from more than one Policy Area?	No
List additional Policy Areas & contacts

30-day notification needed?	No
30-day start date	n/a
30-day end date	n/a

LDAP protected?	No

Need TABL reminders?	No
Frequency	n/a
Brief reminder text:	n/a

Approval Sheet for this revision received (date) [Note: author is responsible}

Key labels/tags:

Scientific and Technical Publications, Information Management

New terms that need to be added to Glossary/Acronym list:***

Policy Area: Information Technology

Implementing Documents restricted to department/functional use

(optional – these will be used for tracing between requirements and associated documents)

Document number	Title

Side bars:
Side bar 1 location (cite by Policy Section # - for example: Section D.2.a)
Sidebar 1 text:
Sidebar 2 location
Sidebar 2 text:
Sidebar 3 location
Sidebar 3 text:

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Key

BRIEF

Policy Summary

Who Should Read This Policy

To Read the Full Policy, Go To:

Contact Information

POLICY

A. Purpose

B. Persons Affected

C. Exceptions

D. Policy Statement

D.1 Publication Submission Requirement

D.2

Credit

Line,

Author

Affiliations,

Copyright

Notice,

and

Disclaimer

Requirements

Publications

E.

Roles

and

Responsibilities

Employees

F.

Definitions/Acronyms

TermDefinitionScientific and Technical Information (STI)Information products deemed by the originator to be useful beyond the originating site (i.e.,

G.

Recordkeeping

Requirements

None

H.

Implementing

Documents

None

I.

Contact

Information

Information

J.

Revision

History

DateRevisionBy whomRevision DescriptionSection(s)

DOCUMENT INFORMATION

Source Requirements Documents

Implementing Documents

ADDITIONAL INFORMATION

Key labels/tags:

New terms that need to be added to Glossary/Acronym list:***

Implementing Documents restricted to department/functional use

Term
Definition
Scientific and Technical Information (STI)
Information products deemed by the originator to be useful beyond the originating site (i.e.,

Date
Revision
By whom
Revision Description
Section(s)