good laboratory notebook prac0ces - columbia | research · 2017-06-02 · ad rea s. cher ai grad s....

GoodLaboratoryNotebookPrac0ces

Atutorialonnotebookbestprac0cesformaintainingorganiza0onofdataandresearch

integrityduringtheconductofresearch

CreatedbyOfficeofResearchComplianceandTrainingAspartofReaDIProgram

SupportedbyColumbiaUniversityStandingCommiGeeontheConductofResearch

Columbia University | ReaDI Program Research and Data Integrity

Columbia | ReaDI Program

ThePurposeofthisTutorial

Maintainingalaboratorynotebookisessen0alforanybodyperformingresearch.Itisameanstodocumentworkthatiscompletedinordertoenablereplica0onandvalida0on.Thistutorialisdesignedtoprovidesomebasicinforma0onand0psforgoodlaboratoryprac0ces.Thesearemerelyguidelines,notpolicies.YoushouldalwayscheckwithyourPIregardingspecificpolicies.


Outline

I.  Introduc0ontothelaboratorynotebookII.  ChoosingaLaboratoryNotebookIII.  Notebooknamingconven0onsIV.  WhatshouldberecordedinthelaboratorynotebookV.  Whoownsthelaboratorynotebookandintellectual

propertyVI.  LaboratorynotebookethicsVII.  Summary


I.WhatisaLaboratoryNotebook?

•  WriGenrecordofprocedures,reagents,data,calcula0ons,thoughts,explana0ons,andresultsofexperiments

•  Legaldocumentusedtodefendintellectualpropertyandaccusa0onsoffraud

•  Knowledgeforfutureresearchers•  Thefounda0onofathesisandotherpublica0ons


LeonardoDaVinci MarieCurieDmitriMendeleev ThomasEdison

Ittakes0metoproduceaccuratenotebookentries,butitisworththeeffort--considerfamousscien0stsfromhistory

I.TheEffortSpentisnotWasted


II.ChoosingaLaboratoryNotebook•  Paperlaboratorynotebooksshouldhavethefollowingcharacteris0cs:

–  Hard-cover,s0tchedbinding–  Numberedpages–  Pagesthatarenoteasilyremoved–  Durable

•  Ifchoosinganelectroniclabnotebook(ELN)orusingacombina0onpaperandelectronic,thefollowingshouldbeconsidered:–  Robustnote-takingcapabili0es–  Searchable–  Embeddataandimagefiles–  Linkbetweenpages–  Securelogin–  Audittrail,including0mestampchangesaremadeandbywhom–  Addwitnesssignaturesandlocknotebookpages–  Abilitytoexporttoacommonfiletype(exPDF)

•  ColumbiaUniversityhasanenterpriselicensewithLabArchives(anELNso[ware),learnmoreatlabnotebooks.columbia.edu

Theremainderofthistutorialisinspiredbypapernotebookshoweverthesebestprac9cescanbeincorporatedintoanyELN


III.NamingYourLaboratoryNotebook•  Naminglaboratorynotebookallowsfor:

–  Easyiden0fica0ontotheownerofthenotebook–  Abilitytoeasilyreferencecollecteddatatoacertainnotebookentry

•  Therearemanyprac0cesthatareusedinbothindustryandacademiawhichinclude:–  Useofname/ini0alsofresearcher–  Assignmentofanumericoralphabe0ccodetoeachresearcher,codemaybeuniqueforeachnotebookusedbyresearcher

Code Researcher Code Researcher

AA SciN.Tist AF GradS.Tudent

AB SciN.Tist AG GradS.Tudent

AC SciN.Tist AH GradS.Tudent

AD ReaS.Cher AI GradS.Tudent

AE ReaS.Cher AJ GradS.Tudent

Prof.Smith’sNotebookCode

Notebookscoded:AA,AB,&ACbelongtoSciN.Tist

Notebookscoded:AF,AG,AH,AI,&AJbelongtoGradS.Tudent

Notebookscoded:AD&AEbelongtoReaS.Cher


III.NamingYourLaboratoryNotebook•  Someresearchgroupsmayhave

establishednotebooknamingconven0ons,checkwithyourPI

•  Labelyournotebookclearlywithyourfullnameonthefront

•  Ifusingaboundnotebooklabelthespine

•  Duringthecourseofresearch,mul0plelabnotebooksmaybeused,iden0fyeachonewitheitherRomanNumeralsornumbers

•  Indicatethedatesnotebookisused•  Ifthenotebookisspecifictoa

par0cularproject,includeonthefrontcover

SNT

IndicatesthenotebookcodeAB,belongstoSciN.Tistandthatitisthe2ndnotebookusedbySci

Notebookcode,ini0alsofSciN.Tistandnotebooknumber

AB

II


IV.ContentsofLaboratoryNotebook•  Notebooknameandresearcher(s)itbelongsto•  Insidecoverorcoverpage

–  Datesused–  Projectname(s)–  Theaddressofthelaboratoryorofficeofresearcher

•  Tableofcontents•  Maintextofnotebook(experimentalrecords)

–  Datesand0tlesofexperiments–  Ifmul0pleresearchersusingsamenotebook,nameofresearchercrea0ngnotebookentry

–  Hypothesis/goals/specificaims–  Backgroundinforma0on–  Protocols,calcula0ons,reagents,equipmentusedduringexperiments–  Observa0ons:anythingplannedorunplanned,rawdata,permanentlyaffixedinforma0onwithreferencetodataloca0on

–  Conclusions


IV.TableofContents

•  Tableofcontentshelpyou(andpresentandfutureresearchers)quicklyfindpreviousexperiments

•  Ifthereisnotaspaceprovidedforatableofcontents,makeyourownwithinthefirstfewpagesofthenotebook

•  Writedownthedateand0tleofexperiment

•  Ifcomple0nganexperimentthatismul0-page,recordtheentryonthefirstpageused,thenusearrowstoshowthenumberofpagesdevotedtothatentry

TableofContentsPage# Date TitleofExperiment

1

2

3

4

5

6

7

SynthesisofFe2O3nanopar0cles

2/4/2011

RamanofFe2O3nanopar0cles

2/5/2011

2/7/2011 SynthesisofRu(bpy)3

2/9/2011 Calcula0onsforcitricacidbufferpH=6

2/9/2011 NMRanalysisofbypyridineligand


IV.MainTextofNotebook:ExperimentalRecord

•  Whatshouldbeincluded:–  Objec0ve/purposeofexperiment–  Plan,outline,orflowdiagram–  Step-by-stepprocedure,includingcondi0onssuchastemperature,equipment,reagents,itisimportanttoremembertobespecific

–  Allimportanttestcondi0ons/parameters–  Supplementaryinforma0onincludingcita0ons–  Observa0ons:everythingthatoccurseitherplannedorunplanned

–  Rawdata,calculateddata,andanytranscribeddata–  Resultsincludinggraphs,tables,figures,anddataanalysis(permanentlyaffixedifaprint-out)

–  Units–  Conclusions:ifobjec0vewasmetand/orsugges0onsforfutureexperiments


IV.DataWithinNotebookEntries

•  Rawdata:originalinforma0on,includinghandwriGennotesandprint-outsfrominstruments

•  Calculateddata:anydatathatisderivedfromacalcula0on,includeequa0on

•  Transcribeddata:datathatiscopiedfromanothersource,indicatetheloca0onoftheoriginalcopy

•  Indicateifnumbersarees0matedorexact(ex:~2mLvs2.00mL)


IV.SupplementalDocuments

•  AGachforms/printoutswitheithertapeorglue,ensuringthatitremainsintact,andfullyexposed,signanddateprintoutsifrequiredbydisciplineand/orPI

•  Donotcoveranypreviouslyrecordedentries•  Someresearcherscollectmassamountsofdatainonedayanditis

commontouseaddi0onalmethodsofstoringhardcopiesofdata–  Three-ringbinders–  Addi0onalnotebooks

•  Cross-referencetosupplementalsourcesthatcontaincollecteddata•  Useasimilarnamingconven0onforsupplementalsourcesthatis

easilyreferencedtotheresearcherandnotebooks•  Useofexternalhard-copydatastoragedoesnotreplacewell-wriGen

notebookentries


IV.UseofAbbrevia0ons

•  Manyabbrevia0onsarecommonandcanbeunderstoodbyresearchersinthesamediscipline

•  Someabbrevia0onsarecreatedbytheindividualresearchertoreducecharactersinsavedfilenamesandsimplifylongnames

•  Forabbrevia0onsthatareuniquetotheprojectandregularlyused,reservethelastfewpagesofthenotebooktodefinetheabbrevia0ons,orcreateacodebookordatadic0onary


IV.GeneralNotebookHousekeeping•  Useaninkpentowriteinnotebook•  Writeasyougo:thelikelihoodof

rememberingaproceduralstepdecreasesas0meelapses

•  Crossoutanyblankspacenotused(>3lines)

•  Completenotebookentriesinconsecu0vepageorder,avoidblankpagesorX-outunusedpages,donotremovepages

•  Beginnewexperimentalentriesonanewpage

•  Drawasinglelinethrougherrors,andwritethecorrectinforma0onadjacent

•  Neverusewhite-outtofixerror•  Sign/dateentries

19August2013

Amountofproductcollected:0.0156g

27

Usingtheprocedureoutlineonpage15onthisnotebook.However,using30mL50.0mLofacetone(ACSgrade,lot#123)

Observedthesolu0onturnedcloudya[er30minutess0rring(40rpm)atroomtemperature(~25°C)A[er1hourofs0rring,usedroto-vapAt100rpmrota0onwithhotwaterbathsetat35°Ctoremoveextrasolvent

Usedspatulatotransfersolidfromflasktoweighpaperandmassedsolid

08/19/13


V.LaboratoryNotebookOwnership•  Asaresearcher,itisyourresponsibilitytomaintainyourlaboratory

notebookinaformatthatisintelligibletoyourself,yourPI,andfutureresearchers.YournotebooksandsupplementalresourcesshouldremaininthepossessionofyourPIa[erleavingtheUniversity

•  Asafederallyfundedresearchins0tu0on,theUniversitymustassertownershipoverresearchdataforprojectconductedattheUniversityorunderitsauspices.(1)ThePIshouldretainpossessionofthedataonbehalfoftheins0tu0on(2)

•  CollecteddataintheformoflaboratorynotebooksandsupplementalresourcesareownedbytheUniversityasoutlinedbyregula0onsand/orsponsorsaswellasintellectualpropertyrights(3-5)

(1)  OMBCircularA-110,Sec.53,Reten'onandAccessRequirementsforRecords(2)  ManagingExternallyFundedResearchPrograms:AGuidetoEffec'veManagementPrac'ces.CouncilonGovernmental

Rela0ons,July2009(3)  ColumbiaUniversityOfficeofVicePresidentforResearchSponsoredProjectsHandbook,June2013(4)  ColumbiaUniversityFacultyHandbook,2008

Laboratorynotebooksshouldnotleavethelaboratory


V.IntellectualProperty

•  AlwaysconsultColumbiaTechnologyVenturesaboutanypoten0alpatentableresearchhGp://techventures.columbia.edu/

•  Laboratorynotebookisproofofintellectualproperty•  Inlaboratorynotebook,

–  Sign,date,andhaveapersonwitnesstheinven0on–  Listallco-inventors

Universitypolicyisasfollows:“Unlessithasspecificallywaiveditsrights,theUniversityholdstheintellectualpropertyrightstopatentableinven0onsanddiscoveries,andanyassociatedtechnology,thatresultprimarilyfromtheuseofitsfacili0esorfromtheac0vityofitsofficerswhileengagedinitsservice.Similarly,theUniversityclaimsthecopyrightonanyworkofauthorshipcreatedwiththesubstan0aluseofitsresourcesbeyondthelevelcommonlyprovidedtofaculty,foritsuse,orsubjecttocontractualobliga0onsrequiringthecopyrightbeinthenameoftheUniversity.”

-FacultyHandbook,2008


VI.LaboratoryNotebookEthics

•  Alldataneedstogointonotebook,eveniftheresultsarebadortheexperimentfailed

•  Donotremovepagesormistakes.Simplydrawalinethrougherrorandgivecorrec0on.Considerwri0ngini0alanddateofcorrec0on

•  Recordfacts,notopinions(ex:noreac0onoccurredundertheseexperimentalcondi0onsvs.thisreac0onwillneverwork!)

•  Behonest!


VI.Don’tBecomeaSta0s0c

•  Tu[sUniversityimmunologistTherezaImanishi-KariadmiGedthatherpoor-recordkeepingledtomisconductallega0onsregardingfalsifica0onandfabrica0onofdatainher1986paperinCellwithco-authorNobelLaureateDavidBal0more(1)

•  December2011,apaperaboutSleepApneawasretractedfromtheNewEnglandJournalofMedicineduetotheauthors’inabilitytolocateoriginaldata(2)

•  Asurveyof90majorresearchins0tu0ons’ResearchIntegrityOfficersshowedthat38%of553misconductcasesinvolvessomedegreeofpoorrecordkeeping(3)

•  Ina2007NIHsurveyof1,479researchers,27.5%admiGedtoinadequaterecordkeeping(4)

(1)  Kaiser,J.;Marshal,E.,1996,Imanishi-KariRulingSlamsORI.Science,272,1864-1866(2)  Retrac0onWatch(hGp://retrac0onwatch.com/2013/10/30/nejm-paper-on-sleep-apnea-retracted-when-original-data-cant-be-found/)(3)  Wilson,K.;et.al.2007,ResearchRecordsandtheResolu'onofMisconductAllega'onsatResearchUniversi'es.

AccountabilityinResearch,14,57-71(4)  Shamoo,A.E.;Resnik,D.B.,2009,ResponsibleConductofResearch(2ndEd.).OxfordUniversityPress


VII.Summary

•  AlwayscheckwithyourPIregardingprac0cesthatareappropriatewithintheresearchgroup

•  Thelaboratorynotebookisalegalrecordofexperimentsaswellasthefounda0onforthesisandpublica0ons

•  Useanamingconven0onthatuniquelyiden0fiesthenotebooktotheresearcher

•  Beasspecificaspossiblewhenwri0ngexperimentalrecords•  Includealldatathatiscollectedduringthecourseofexperiment,

whennecessaryusesupplementalsourcestostorehard-copiesofdatawithcross-referenceinnotebookentry

•  Honestyisthebestpolicy


References

•  GoodLaboratoryNotebookPrac0ces-MississippiUniversitybyLucyH.Senter–  hGp://www.research.msstate.edu/search/index.php?q=notebook

•  NIHOfficeofIntramuralTrainingandEduca0on’sWebinaronKeepingaLabNotebook:BasicPrinciplesandBestPrac0cesbyDr.PhillipRyan–  hGps://www.training.nih.gov/nih_resources

•  ThomsonJA.2007.HowtoStart—andKeep—aLaboratoryNotebook:PolicyandPrac0calGuidelines.InIntellectualPropertyManagementinHealthandAgriculturalInnova'on:AHandbookofBestPrac'ces(eds.AKrazger,RTMahoney,LNelsen,etal.).MIHR:Oxford,U.K.,andPIPRA:Davis,U.S.A.–  www.ipHandbook.org


Addi0onalResources

•  OtherRascalTrainings:–  ResearchDataManagementTC2800andTC2801–  BestPrac'cesforDataManagementWhenUsingInstrumenta'onTC2650–  SampleLabelingandStorageTutorialTC3250

•  LabArchivesforColumbiaUniversityresearchers:labnotebooks.columbia.edu

CreatedbyMichelleC.Benson,[email protected]

AGribu0onNon-CommercialInterna0onal4.0