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Laboratory Notebook Prac0ces

A tutorial on notebook best prac0ces for

maintaining organiza0on of data and research
integrity during the conduct of research

Created by Office of Research Compliance and Training

As part of ReaDI Program
Supported by Columbia University Standing CommiGee on the Conduct of Research

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Research and Data Integrity
 The Purpose of this Tutorial

Maintaining a laboratory notebook is essen0al

for anybody performing research. It is a means to
document work that is completed in order to
enable replica0on and valida0on. This tutorial is
designed to provide some basic informa0on and
0ps for good laboratory prac0ces. These are
merely guidelines, not policies. You should
always check with your PI regarding specific
policies.

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 Outline

I.  Introduc0on to the laboratory notebook

II.  Choosing a Laboratory Notebook
III.  Notebook naming conven0ons
IV.  What should be recorded in the laboratory notebook
V.  Who owns the laboratory notebook and intellectual
property
VI.  Laboratory notebook ethics
VII.  Summary

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 I. What is a Laboratory Notebook?
•  WriGen record of procedures, reagents, data, calcula0ons, thoughts,
explana0ons, and results of experiments
•  Legal document used to defend intellectual property and
accusa0ons of fraud
•  Knowledge for future researchers
•  The founda0on of a thesis and other publica0ons

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 I. The Effort Spent is not Wasted
It takes 0me to produce accurate notebook entries, but it is
worth the effort--consider famous scien0sts from history
Leonardo Da Vinci Dmitri Mendeleev Marie Curie Thomas Edison

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 II. Choosing a Laboratory Notebook
•  Paper laboratory notebooks should have the following characteris0cs:
–  Hard-cover, s0tched binding
–  Numbered pages
–  Pages that are not easily removed
–  Durable
•  If choosing an electronic lab notebook (ELN) or using a combina0on paper
and electronic, the following should be considered:
–  Robust note-taking capabili0es
–  Searchable
–  Embed data and image files
–  Link between pages
–  Secure login
–  Audit trail, including 0mestamp changes are made and by whom
–  Add witness signatures and lock notebook pages
–  Ability to export to a common file type (ex PDF)
•  Columbia University has an enterprise license with LabArchives (an ELN
so[ware), learn more at labnotebooks.columbia.edu
The remainder of this tutorial is inspired by paper notebooks however these best
prac9ces can be incorporated into any ELN
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 III. Naming Your Laboratory Notebook
•  Naming laboratory notebook allows for:
–  Easy iden0fica0on to the owner of the notebook
–  Ability to easily reference collected data to a certain notebook entry
•  There are many prac0ces that are used in both industry and
academia which include:
–  Use of name/ini0als of researcher
–  Assignment of a numeric or alphabe0c code to each researcher,
code may be unique for each notebook used by researcher
Prof. Smith’s Notebook Code
Code Researcher Code Researcher
Notebooks coded: Notebooks coded:
AA, AB, & AC AA Sci N. Tist AF Grad S. Tudent AF, AG, AH, AI, & AJ
belong to AB Sci N. Tist AG Grad S. Tudent belong to
Sci N. Tist Grad S. Tudent
AC Sci N. Tist AH Grad S. Tudent
Notebooks coded: AD Rea S. Cher AI Grad S. Tudent
AD & AE belong to
Rea S. Cher AE Rea S. Cher AJ Grad S. Tudent
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 III. Naming Your Laboratory Notebook
•  Some research groups may have
established notebook naming
conven0ons, check with your PI
•  Label your notebook clearly with your
full name on the front AB

•  If using a bound notebook label the S

spine N
T
•  During the course of research,
mul0ple lab notebooks may be used, Notebook code, II
iden0fy each one with either Roman ini0als of Sci N.
Tist and notebook
Numerals or numbers number Indicates the notebook
•  Indicate the dates notebook is used code AB, belongs to Sci N.
Tist and that it is the 2nd
•  If the notebook is specific to a notebook used by Sci
par0cular project, include on the front
cover
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 IV. Contents of Laboratory Notebook
•  Notebook name and researcher(s) it belongs to
•  Inside cover or cover page
–  Dates used
–  Project name(s)
–  The address of the laboratory or office of researcher
•  Table of contents
•  Main text of notebook (experimental records)
–  Dates and 0tles of experiments
–  If mul0ple researchers using same notebook, name of researcher
crea0ng notebook entry
–  Hypothesis/goals/specific aims
–  Background informa0on
–  Protocols, calcula0ons, reagents, equipment used during experiments
–  Observa0ons: anything planned or unplanned, raw data, permanently
affixed informa0on with reference to data loca0on
–  Conclusions
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 IV. Table of Contents
Table of Contents
•  Table of contents help you (and
Page # Date Title of Experiment
present and future researchers)
quickly find previous experiments 1 2/4/2011 Synthesis of Fe2O3
nanopar0cles
•  If there is not a space provided for
2 2/5/2011 Raman of Fe2O3
a table of contents, make your own nanopar0cles
within the first few pages of the
3 2/7/2011 Synthesis of Ru(bpy)3
notebook
•  Write down the date and 0tle of
4
experiment
•  If comple0ng an experiment that is 5
mul0-page, record the entry on the
first page used, then use arrows to
6 2/9/2011 Calcula0ons for
show the number of pages devoted citric acid buffer pH=6
to that entry
7 2/9/2011 NMR analysis of
bypyridine ligand
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 IV. Main Text of Notebook: Experimental Record
•  What should be included:
–  Objec0ve/purpose of experiment
–  Plan, outline, or flow diagram
–  Step-by-step procedure, including condi0ons such as
temperature, equipment, reagents, it is important to remember
to be specific
–  All important test condi0ons/parameters
–  Supplementary informa0on including cita0ons
–  Observa0ons: everything that occurs either planned or
unplanned
–  Raw data, calculated data, and any transcribed data
–  Results including graphs, tables, figures, and data analysis
(permanently affixed if a print-out)
–  Units
–  Conclusions: if objec0ve was met and/or sugges0ons for future
experiments
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 IV. Data Within Notebook Entries
•  Raw data: original informa0on, including handwriGen notes and
print-outs from instruments
•  Calculated data: any data that is derived from a calcula0on,
include equa0on
•  Transcribed data: data that is copied from another source,
indicate the loca0on of the original copy
•  Indicate if numbers are es0mated or exact (ex: ~2 mL vs 2.00
mL )

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 IV. Supplemental Documents
•  AGach forms/printouts with either tape or glue, ensuring that it
remains intact, and fully exposed, sign and date printouts if required
by discipline and/or PI
•  Do not cover any previously recorded entries
•  Some researchers collect mass amounts of data in one day and it is
common to use addi0onal methods of storing hard copies of data
–  Three-ring binders
–  Addi0onal notebooks
•  Cross-reference to supplemental sources that contain collected data
•  Use a similar naming conven0on for supplemental sources that is
easily referenced to the researcher and notebooks
•  Use of external hard-copy data storage does not replace well-wriGen
notebook entries

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 IV. Use of Abbrevia0ons
•  Many abbrevia0ons are common and can be understood by
researchers in the same discipline
•  Some abbrevia0ons are created by the individual researcher to
reduce characters in saved file names and simplify long names
•  For abbrevia0ons that are unique to the project and regularly used,
reserve the last few pages of the notebook to define the
abbrevia0ons, or create a code book or data dic0onary

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 IV. General Notebook Housekeeping
•  Use an ink pen to write in notebook
•  Write as you go: the likelihood of 19 August 2013
remembering a procedural step Using the procedure outline on page
decreases as 0me elapses 15 on this notebook.
However, using 30 mL 50.0 mL
•  Cross out any blank space not used of acetone (ACS grade, lot #123)
(> 3 lines) Observed the solu0on turned cloudy a[er
•  Complete notebook entries in 30 minutes s0rring (40 rpm) at
room temperature (~25°C)
consecu0ve page order, avoid blank A[er 1 hour of s0rring, used roto-vap
pages or X-out unused pages, do not At 100 rpm rota0on with hot water bath
set at 35 °C to remove extra solvent
remove pages
Used spatula to transfer solid from flask
•  Begin new experimental entries on a to weigh paper and massed solid
new page Amount of product collected: 0.0156 g
•  Draw a single line through errors, and
write the correct informa0on adjacent
•  Never use white-out to fix error
•  Sign/date entries
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27 08/19/13
 V. Laboratory Notebook Ownership
•  As a researcher, it is your responsibility to maintain your laboratory
notebook in a format that is intelligible to yourself, your PI, and future
researchers. Your notebooks and supplemental resources should remain
in the possession of your PI a[er leaving the University
•  As a federally funded research ins0tu0on, the University must assert
ownership over research data for project conducted at the University or
under its auspices. (1) The PI should retain possession of the data on behalf
of the ins0tu0on (2)
•  Collected data in the form of laboratory notebooks and supplemental
resources are owned by the University as outlined by regula0ons and/or
sponsors as well as intellectual property rights (3-5)

Laboratory notebooks should not leave the laboratory

(1)  OMB Circular A-110, Sec. 53, Reten'on and Access Requirements for Records
(2)  Managing Externally Funded Research Programs: A Guide to Effec've Management Prac'ces. Council on Governmental
Rela0ons, July 2009
(3)  Columbia University Office of Vice President for Research Sponsored Projects Handbook, June 2013
(4)  Columbia University Faculty Handbook, 2008

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 V. Intellectual Property
University policy is as follows:
“Unless it has specifically waived its rights, the University holds the
intellectual property rights to patentable inven0ons and discoveries, and
any associated technology, that result primarily from the use of its facili0es
or from the ac0vity of its officers while engaged in its service. Similarly, the
University claims the copyright on any work of authorship created with the
substan0al use of its resources beyond the level commonly provided to
faculty, for its use, or subject to contractual obliga0ons requiring the
copyright be in the name of the University.”
-Faculty Handbook, 2008
•  Always consult Columbia Technology Ventures about any
poten0al patentable research hGp://techventures.columbia.edu/
•  Laboratory notebook is proof of intellectual property
•  In laboratory notebook,
–  Sign, date, and have a person witness the inven0on
–  List all co-inventors
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 VI. Laboratory Notebook Ethics

•  All data needs to go into notebook, even if the results are bad or the
experiment failed
•  Do not remove pages or mistakes. Simply draw a line through error
and give correc0on. Consider wri0ng ini0al and date of correc0on
•  Record facts, not opinions (ex: no reac0on occurred under these
experimental condi0ons vs. this reac0on will never work!)
•  Be honest!

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 VI. Don’t Become a Sta0s0c
•  Tu[s University immunologist Thereza Imanishi-Kari admiGed that her
poor-record keeping led to misconduct allega0ons regarding falsifica0on
and fabrica0on of data in her 1986 paper in Cell with co-author Nobel
Laureate David Bal0more (1)
•  December 2011, a paper about Sleep Apnea was retracted from the New
England Journal of Medicine due to the authors’ inability to locate
original data (2)
•  A survey of 90 major research ins0tu0ons’ Research Integrity Officers
showed that 38% of 553 misconduct cases involves some degree of poor
record keeping (3)
•  In a 2007 NIH survey of 1,479 researchers, 27.5% admiGed to
inadequate record keeping (4)
(1)  Kaiser, J.; Marshal, E., 1996, Imanishi-Kari Ruling Slams ORI. Science, 272, 1864-1866
(2)  Retrac0on Watch (hGp://retrac0onwatch.com/2013/10/30/nejm-paper-on-sleep-apnea-retracted-when-original-data-cant-be-found/)
(3)  Wilson, K.; et. al. 2007, Research Records and the Resolu'on of Misconduct Allega'ons at Research Universi'es.
Accountability in Research, 14, 57-71
(4)  Shamoo, A.E.; Resnik, D.B., 2009, Responsible Conduct of Research (2nd Ed.). Oxford University Press

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 VII. Summary

•  Always check with your PI regarding prac0ces that are appropriate

within the research group
•  The laboratory notebook is a legal record of experiments as well as
the founda0on for thesis and publica0ons
•  Use a naming conven0on that uniquely iden0fies the notebook to
the researcher
•  Be as specific as possible when wri0ng experimental records
•  Include all data that is collected during the course of experiment,
when necessary use supplemental sources to store hard-copies of
data with cross-reference in notebook entry
•  Honesty is the best policy

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 References
•  Good Laboratory Notebook Prac0ces- Mississippi University by Lucy
H. Senter
–  hGp://www.research.msstate.edu/search/index.php?
q=notebook
•  NIH Office of Intramural Training and Educa0on’s Webinar on
Keeping a Lab Notebook: Basic Principles and Best Prac0ces by Dr.
Phillip Ryan
–  hGps://www.training.nih.gov/nih_resources
•  Thomson JA. 2007. How to Start—and Keep—a Laboratory
Notebook: Policy and Prac0cal Guidelines. In Intellectual Property
Management in Health and Agricultural Innova'on: A Handbook of
Best Prac'ces (eds. A Krazger, RT Mahoney, L Nelsen, et al.). MIHR:
Oxford, U.K., and PIPRA: Davis, U.S.A.
–  www.ipHandbook.org

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 Addi0onal Resources

•  Other Rascal Trainings:

–  Research Data Management TC2800 and TC2801
–  Best Prac'ces for Data Management When Using Instrumenta'on TC2650
–  Sample Labeling and Storage Tutorial TC3250
•  LabArchives for Columbia University researchers:
labnotebooks.columbia.edu

Created by Michelle C. Benson, PhD

AGribu0on Non-Commercial Interna0onal 4.0
Office of Research Compliance and Training
[email protected]
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