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Good Laboratory Notebook Prac0ces - Columbia | Research · 2017-06-02 · AD Rea S. Cher AI Grad S....
Transcript of 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
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ThePurposeofthisTutorial
Maintainingalaboratorynotebookisessen0alforanybodyperformingresearch.Itisameanstodocumentworkthatiscompletedinordertoenablereplica0onandvalida0on.Thistutorialisdesignedtoprovidesomebasicinforma0onand0psforgoodlaboratoryprac0ces.Thesearemerelyguidelines,notpolicies.YoushouldalwayscheckwithyourPIregardingspecificpolicies.
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Outline
I. Introduc0ontothelaboratorynotebookII. ChoosingaLaboratoryNotebookIII. Notebooknamingconven0onsIV. WhatshouldberecordedinthelaboratorynotebookV. Whoownsthelaboratorynotebookandintellectual
propertyVI. LaboratorynotebookethicsVII. Summary
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I.WhatisaLaboratoryNotebook?
• WriGenrecordofprocedures,reagents,data,calcula0ons,thoughts,explana0ons,andresultsofexperiments
• Legaldocumentusedtodefendintellectualpropertyandaccusa0onsoffraud
• Knowledgeforfutureresearchers• Thefounda0onofathesisandotherpublica0ons
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LeonardoDaVinci MarieCurieDmitriMendeleev ThomasEdison
Ittakes0metoproduceaccuratenotebookentries,butitisworththeeffort--considerfamousscien0stsfromhistory
I.TheEffortSpentisnotWasted
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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
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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
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III.NamingYourLaboratoryNotebook• Someresearchgroupsmayhave
establishednotebooknamingconven0ons,checkwithyourPI
• Labelyournotebookclearlywithyourfullnameonthefront
• Ifusingaboundnotebooklabelthespine
• Duringthecourseofresearch,mul0plelabnotebooksmaybeused,iden0fyeachonewitheitherRomanNumeralsornumbers
• Indicatethedatesnotebookisused• Ifthenotebookisspecifictoa
par0cularproject,includeonthefrontcover
SNT
IndicatesthenotebookcodeAB,belongstoSciN.Tistandthatitisthe2ndnotebookusedbySci
Notebookcode,ini0alsofSciN.Tistandnotebooknumber
AB
II
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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
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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
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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
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IV.DataWithinNotebookEntries
• Rawdata:originalinforma0on,includinghandwriGennotesandprint-outsfrominstruments
• Calculateddata:anydatathatisderivedfromacalcula0on,includeequa0on
• Transcribeddata:datathatiscopiedfromanothersource,indicatetheloca0onoftheoriginalcopy
• Indicateifnumbersarees0matedorexact(ex:~2mLvs2.00mL)
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IV.SupplementalDocuments
• AGachforms/printoutswitheithertapeorglue,ensuringthatitremainsintact,andfullyexposed,signanddateprintoutsifrequiredbydisciplineand/orPI
• Donotcoveranypreviouslyrecordedentries• Someresearcherscollectmassamountsofdatainonedayanditis
commontouseaddi0onalmethodsofstoringhardcopiesofdata– Three-ringbinders– Addi0onalnotebooks
• Cross-referencetosupplementalsourcesthatcontaincollecteddata• Useasimilarnamingconven0onforsupplementalsourcesthatis
easilyreferencedtotheresearcherandnotebooks• Useofexternalhard-copydatastoragedoesnotreplacewell-wriGen
notebookentries
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IV.UseofAbbrevia0ons
• Manyabbrevia0onsarecommonandcanbeunderstoodbyresearchersinthesamediscipline
• Someabbrevia0onsarecreatedbytheindividualresearchertoreducecharactersinsavedfilenamesandsimplifylongnames
• Forabbrevia0onsthatareuniquetotheprojectandregularlyused,reservethelastfewpagesofthenotebooktodefinetheabbrevia0ons,orcreateacodebookordatadic0onary
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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
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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
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V.IntellectualProperty
• AlwaysconsultColumbiaTechnologyVenturesaboutanypoten0alpatentableresearchhGp://techventures.columbia.edu/
• Laboratorynotebookisproofofintellectualproperty• Inlaboratorynotebook,
– Sign,date,andhaveapersonwitnesstheinven0on– Listallco-inventors
Universitypolicyisasfollows:“Unlessithasspecificallywaiveditsrights,theUniversityholdstheintellectualpropertyrightstopatentableinven0onsanddiscoveries,andanyassociatedtechnology,thatresultprimarilyfromtheuseofitsfacili0esorfromtheac0vityofitsofficerswhileengagedinitsservice.Similarly,theUniversityclaimsthecopyrightonanyworkofauthorshipcreatedwiththesubstan0aluseofitsresourcesbeyondthelevelcommonlyprovidedtofaculty,foritsuse,orsubjecttocontractualobliga0onsrequiringthecopyrightbeinthenameoftheUniversity.”
-FacultyHandbook,2008
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VI.LaboratoryNotebookEthics
• Alldataneedstogointonotebook,eveniftheresultsarebadortheexperimentfailed
• Donotremovepagesormistakes.Simplydrawalinethrougherrorandgivecorrec0on.Considerwri0ngini0alanddateofcorrec0on
• Recordfacts,notopinions(ex:noreac0onoccurredundertheseexperimentalcondi0onsvs.thisreac0onwillneverwork!)
• Behonest!
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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
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VII.Summary
• AlwayscheckwithyourPIregardingprac0cesthatareappropriatewithintheresearchgroup
• Thelaboratorynotebookisalegalrecordofexperimentsaswellasthefounda0onforthesisandpublica0ons
• Useanamingconven0onthatuniquelyiden0fiesthenotebooktotheresearcher
• Beasspecificaspossiblewhenwri0ngexperimentalrecords• Includealldatathatiscollectedduringthecourseofexperiment,
whennecessaryusesupplementalsourcestostorehard-copiesofdatawithcross-referenceinnotebookentry
• Honestyisthebestpolicy
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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
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Addi0onalResources
• OtherRascalTrainings:– ResearchDataManagementTC2800andTC2801– BestPrac'cesforDataManagementWhenUsingInstrumenta'onTC2650– SampleLabelingandStorageTutorialTC3250
• LabArchivesforColumbiaUniversityresearchers:labnotebooks.columbia.edu
CreatedbyMichelleC.Benson,[email protected]
AGribu0onNon-CommercialInterna0onal4.0