Approved: XXXX-XX--XX-051
Sunset
Review: XX-XX-03
Expires: XX-XX-05
GUIDE TO THE MANAGEMENT OF
SCIENTIFIC AND TECHNICAL
INFORMATION
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U.S. DEPARTMENT OF ENERGY
Office of Scientific and
Technical Information
DISTRIBUTION: INITIATED
BY:
All
Departmental Elements Office
of Scientific and
Technical
Information
CONTENTS
Page
ACRONYMS.....................................................................................................................................
PART
I: MANAGEMENT OVERVIEW OF DOE=S
SCIENTIFIC AND TECHNICAL INFORMATION PROGRAM
1. INTRODUCTION....................................................................................................... I-
2. PURPOSE OF THIS GUIDE....................................................................................... I-
2.1 Updating/Modifying This Guide..................................................................... I-
2.2 Source of Guide and Contact........................................................................ I-
3. STI POLICY................................................................................................................ I-
4. DEFINITION OF STI.................................................................................................. I-
5. SCIENTIFIC AND TECHNICAL INFORMATION PROGRAM.............................. I-
6. STI PROGRAM REVIEW/ASSESSMENT................................................................. I-
6.1 STI Performance Objectives......................................................................... I-
6.2 Program Reviews.......................................................................................... I-
7. INFORMATION SYSTEMS AND DATABASES...................................................... I-
PART
II: ANNOUNCEMENT AND DISSEMINATION OF
SCIENTIFIC AND
TECHNICAL
INFORMATION PRODUCTS
1. INTRODUCTION...................................................................................................... II-
2. SCIENTIFIC/TECHNICAL REPORTING DELIVERABLES PRODUCED
BY FINANCIAL ASSISTANCE RECIPIENTS AND NON-MAJOR
FACILITIESNON-MAJOR SITE/FACILITY MANAGEMENT
CONTRACTORS.......................................................................... II-
2.1 Identifying the Required
Deliverables............................................................ II-
2.2 Submitting Deliverables to DOE .................................................................. II-
2.3 Contract Closeout....................................................................................... II-
3. APPROPRIATE REVIEW PROCESS TO RELEASE STI PRODUCTS
FOR ANNOUNCEMENT II-
4. STI PRODUCTS APPROPRIATE FOR ANNOUNCEMENT.................................. II-
4.1 STI Products............................................................................................... II-
4.2 Announcement/Availability Categories
for STI Products............................... II-
5. THE CONTENT OF STI PRODUCTS...................................................................... II-
5.1 Introduction................................................................................................. II-
5.2 Recommended Attributes of STI
Products................................................... II-
5.3 Miscellaneous Information............................................................................ II-
6. MAKING SCIENTIFIC AND TECHNICAL INFORMATION
AVAILABLE......... II-
6.1 Announcement Record................................................................................ II-
6.2 Submission of the Announcement
Record..................................................... II-
CONTENTS
(continued)
Page
6.3 Acceptable Electronic Formats for
Full-Text STI Products........................... II-
6.4 Submission of Full-Text STI Products
to OSTI............................................ II-
6.5 Announcing STI Products in a
Distributed Environment................................. II-
6.6 Announcing Classified STI Products............................................................. II-
6.7 Archiving and Retention of the STI
Product.................................................. II-
7. REQUESTS AND PUBLIC ACCESS........................................................................ II-
PART
III: DOE SCIENTIFIC AND TECHNICAL
SOFTWARE
1. INTRODUCTION..................................................................................................... III-
1.1 Departmental Requirements........................................................................ III-
1.2 Electronic Software Management................................................................ III-
2. RESPONSIBILITIES................................................................................................ III-
2.1 OSTI......................................................................................................... III-
2.2 Specialized Information Analysis
Centers.................................................... III-
2.3 Software Originators/Creators.................................................................... III-
3. SOFTWARE ANNOUNCEMENT AND SUBMISSION........................................ III-
3.1 STI Software Appropriate for
Announcement............................................. III-
3.2 Announcement/Submission Criteria............................................................. III-
3.3 Software Categories................................................................................... III-
3.4 Announcement Record (Metadata)............................................................. III-
4. SOFTWARE ACCESS............................................................................................. III-
4.1 Distribution of Software.............................................................................. III-
4.2 Software Dissemination.............................................................................. III-
4.3 License Agreements................................................................................... III-
5. ARCHIVING AND RETENTION OF SOFTWARE................................................ III-
ATTACHMENTS
1. CONCEPT PAPER ON ELECTRONIC STI MANAGEMENT........................................... 1‑1
2. AUTHORITIES AND OTHER GUIDANCE...................................................................... 21‑1
23. DEFINITIONS.................................................................................................................... 23‑1
34. NOTICES AND RESTRICTIVE LEGENDS...................................................................... 34‑1
45. TYPICAL COVER (AND TITLE PAGE) FOR SEMI‑ANNUAL,
ANNUAL, FINAL,
AND TOPICAL REPORTS................................................................................................ 45‑1
56. DISCLAIMERS.................................................................................................................. 56‑1
67. DISTRIBUTION STATEMENTS....................................................................................... 67‑1
78. SUBJECT CATEGORIES FOR UNCLASSIFIED
SCIENTIFIC AND TECHNICAL INFORMATION (STI) PRODUCTS........................................................................................................................ 78‑1
CONTENTS
(continued)
Page
89. SUBJECT CATEGORIES FOR CLASSIFIED SCIENTIFIC
AND TECHNICAL INFORMATION (STI) PRODUCTS........................................................................................................................ 89‑1
910. SOFTWARE LICENSE.................................................................................................... 190‑1
TABLES
1. Announcement/Availability Categories for STI Products.......................................................... II‑
2. Recommended Attributes of STI Products.............................................................................. II‑
3. Publication or Issuance Date................................................................................................... II‑
4. Standard Report Number....................................................................................................... II‑
5. Additional Identifying Information............................................................................................ II‑
6. Multimedia Identifiers.............................................................................................................. II‑
67. DOE STI Metadata Elements................................................................................................. II‑
78. Submission of Announcement Record..................................................................................... II‑
89. Acceptable Media and Transmission Method for
Categories.................................................... II‑
910. Electronic Formats in a Distributed
Environment...................................................................... II‑
1110............................................................................ STI
Submission, Access, and Archival Formats II‑
112. Software Categories.............................................................................................................. III-
123. DOE Software Metadata Elements........................................................................................ III‑
ACRONYMS
ANSI American National Standards Institute
B&R budget and reporting
BNL Brookhaven National Laboratory
CAF Controlled Access File
CD-ROM Compact Disk - Read Only Memory
CDIAC Carbon Dioxide Information Analysis
Center
CEMI Center for Environmental Management
Information
CFR Code of Federal Regulations
CIMS Classified Information Management
System
CLEO Classified Energy Online
CRADA cooperative research and development
agreement
DOE Department of Energy
DTD document type definition
DTIC Defense Technical Information Center
ECI Export Controlled Information
ESTSC Energy Science and Technology Software
Center
ETDE Energy Technology Data Exchange
ACRONYMS
(continued)
GPO Government Printing Office
HTML Hypertext Markup Language
IPAR Individual Procurement Action Request
IPAR Individual Procurement Action Report
LDRD laboratory‑directed research and
development
M&I management and integration
M&O management and operation
NARA National Archives and Records
Administration
NASA National Aeronautic and Space
Administration
NEA Nuclear Energy Agency
NIH National Institutes of Health
NISO National Information Standards
Organization
NNDC National Nuclear Data Center
NPTO National Petroleum Technology Office
NSF National Science Foundation
NTIS National Technical Information
Service
OECD Organization for Economic Cooperation
and Development
ORNL Oak Ridge National Laboratory
OSTI Office of Scientific and Technical
Information
OUO Official Use Only
PADS Procurement and Assistance Data System
PDF portable document format
PDFI portable document format image
PDFN portable document format normal
PDOUO Program Determined Official Use Only
R&D research and development
RD&D research, development, and
demonstration
RSICC Radiation Safety Information
Computational Center
S&T scientific and technical
SBIR Small Business Innovative Research
SGML standard generalized markup language
SIAC Specialized Information Analysis
Center
STI scientific and technical
information
STIAB Scientific and Technical Information
Advisory Board
STICG Scientific and Technical Information
Coordinating Group
STIP Scientific and Technical Information
Program
STTR Small Business Technology Transfer
Program
TIFF tagged image file format
U.S.C. United States Code
UCI Unclassified Controlled
Information
UCNI Unclassified Controlled Nuclear
Information
URL uniform resource locator
WFO Work for Others
WWW World Wide Web
XML Extensible Markup Language
PART
I
MANAGEMENT OVERVIEW OF DOE=S
SCIENTIFIC
AND TECHNICAL INFORMATION PROGRAM
1. INTRODUCTION
This Guide to the
management of scientific and technical information (STI)
provides nonmandatory guidelines for implementing the objective,
requirements, and responsibilities of Department of Energy (DOE) directive
DOE O 241.1A, Scientific and
Technical Information Management. This
Guide is for use by all DOE elements, including the National Nuclear Security
Administration (NNSA),
their contractors and
sub-contractors required to
implement DOE O 241.1A. For simplicity,
"DOE," as used throughout this Guide, includes NNSA.
Because
sScientific and technical information
is a key outcome of many of the Department=s funded activities, STI has an
important role in accomplishing DOE initiatives, missions, goals, and
objectives. Providing effective
management, protection, and access to unclassified (unlimited,
or sensitivecontrolled,
or export controlled) and classified
STI is vital. The Office of Scientific
and Technical Information (OSTI), within the Office of Science, is charged with
the responsibility of coordinating the Department=s Scientific and Technical
Information Program (STIP) activities and ensuring that policies and practices
are promulgated within the Department for managing STI resulting from DOE=s
research and development (R&D) and related scientific, technological, and
environmental activities.
The
Department is undergoing a transition to a decentralized, electronic STI
management environment. The Concept
Paper on Electronic STI Management (see Attachment 1) summarizes the
decentralized activities envisioned in FY 1998 and lays the framework for that
environment. This Guide reflects a
number of procedural changes pertaining to
the implementation of this transition.
Additional
information about the Department=s STI activities is located on
OSTI=s
home page at http://www.osti.gov and also on the Scientific
and Technical Information Program (STIP)
home page at http://www.osti.gov/stip. Forms mentioned in this Guide are available
on DOE=s Forms Internet site at http://www.explorer.doe.gov:1776/htmls/doeforms.html
http://www.directives.doe.gov/forms/index.html
and at http://www.osti.gov/stip/all241Fforms.html.
2. PURPOSE OF THIS GUIDE
This
Guide is based on best business practices as defined by DOE
and contractor STIP participants from across the DOE complex. The purpose of the Guide is to assist
individuals who are involved in STI whether it is unclassified (unlimited
or, controlledsensitive,
or export controlled) or classified to
meet Departmental expectations for ensuring access to STI and for managing STI
throughout the various phases of the information life‑cycle: planning, creation, publication,
dissemination, and preservation. It
complements other DOE directives relating to information security yet
specifically addresses STI products. Information management policies,
principles, and practices are evolvingcontinue to
evolve as new electronic technologies become available. This Guide is one of the primary STIP
mechanisms for sharing Abest‑in‑class@
practices, and it will be modified and updated as changes are identified by the
STI community.
2.1 Updating/Modifying This Guide
Because of the rapid changes in information
technologies within and external to DOE, the usefulness of this Guide requires
that it be kept up‑to‑date.
Proposed changes to the Guide may be identified by anyone involved in
STI and referred to as a STIP participant (an STI point of
contact). Normally, items are discussed
during regularly scheduled STIP meetings and are referred to a
one of the STIP workgroups
to make a recommendation to the entire STIP community. Agreed‑upon changes will then be
incorporated into this Guide.
2.2 Source of Guide and Contact
An
electronic version of this Guide is available through http://www.directives.doe.gov/
and also through http://www.osti.gov/stip/g2411-1a.pdfhttp://www.doe.gov/stip/polbest.htm. Questions concerning the Guide or recommended
changes may be referred to the STI point of contact at the respective site or
organization or to OSTI. These
individuals are listed at www.osti.gov/stip/peopleandgroups.html.
To send suggestions or questions to OSTI, use the comment form on
the STIP home page (http://www.osti.gov/stip.htmhttp://www.osti.gov/stip/commentform.html)
or call OSTI=s Office of Program Integration
at 865-576‑1035.
3. STI POLICY
An
overarching DOE requirement is to make STI broadly available, within applicable
laws and Departmental requirements, toC
$ accomplish
mission objectives and strategic goals,
$ promote
scientific advancement,
$ satisfy
statutory dissemination requirements, and
$ ensure
a fair return on Departmental and taxpayer investment.
Requirements
and responsibilities for STI are provided in DOE O 241.1A. The primary objective of the Order is to
ensure that STI is identified, processed, disseminated, and preserved to enable
the scientific community and the public to locate and use the unclassified and
unlimited STI resulting from DOE research and related endeavors. Additionally, the requirements and
responsibilities provide a mechanism to manage and protect classified
and, unclassified
controlledsensitive unclassified,
and export-controlled STI yet make it accessible for appropriate
access by the Department, its contractors, and others. Attachment 21
lists relevant authorities and other guidance.
4. DEFINITION OF STI
Scientific and
Technical Information (STI) consists of the experimental, observational, and
analytical findings and conclusions resulting from basic or applied research
and development activities, as well as other relevant associated information
and data. In other words, STI is the body of scientific, technical, or
associated knowledge identified as having value to accomplish DOE's missions
and support the advancement of science.
In further
clarification of the definition, STI is
communicable knowledge or information resulting from sponsored research,
development, or demonstration, or derived from scientific and technical
studies, analyses, or other endeavors which contribute to the DOE mission
and/or the national science or technology base. STI is documented in many
formats, including textual or electronic documents such as technical reports
and published papers, numeric data, audiovisual materials, etc., regardless of
media or level of classification. It is produced by contractors,
subcontractors, grantees or other financial assistance recipients, or by
Federal staff.
STI
consists of information products, in any format or medium, derived from
scientific and technical studies, work, or investigations that relate to
research, development, demonstration, and other specialized areas such as
environmental and health protection and waste management. Scientific and technical information products
may be unclassified unlimited, sensitive
unclassified, export controlled, classified,
or declassified. DOE‑funded STI originates primarily from
research and other activities performed by contractors for management,
operation, or integration of DOE‑owned/leased facilities, direct DOE‑executed
prime procurements, DOE‑operated research activities, and financial
assistance recipients, in addition to DOE employees.
STI
products and documents
that provide findings, statistics, and analysis related to DOE
research and development programs (excluding administrative documents)that
are appropriate for announcement to OSTI and are
listed in Part II, Section 4, of this Guide.
Definitions
are provided in Attachment 32
for other terms used in the management of STI.
5. SCIENTIFIC AND TECHNICAL INFORMATION PROGRAM
STIP
is comprised of DOE program managers, researchers, and STI professionals who
collaborate for the timely collection and broad dissemination of the Department=s
STI.
Strategic
goals of STIP are toC
$ provide
enhance access to DOE=s
STI,
$ promote
collaboration as a means of doing business,
$ use
best business practices for the life‑cycle management of STI, and
$ be customer‑focused in providing
STI products and services.share combined
body of knowledge and lessons learned
One component of the Department=s
STIP activities is the Scientific and Technical Information
Advisory Board
(STIAB) which supersedes the Scientific and Technical Information
Coordinating Group (STICG). The Board is
cognizant of Departmental STI activities and serves
as an advisory
body on crosscutting STI policies, issues, and initiatives. The
Board is chaired by
the Director,
Office of Science. Members
of the Board are Federal employees and are
representatives
of the Program Secretarial Offices,
the National Nuclear Security Administration,
as well as other
offices that impact STI policies.
The
STICG is made up primarily of representatives from Headquarters elements that
either fund research or set policies or practices affecting STI. The group, chaired by the Director of OSTI,
is cognizant of Departmental STI activities and serves as an advisory body on
crosscutting STI issues and initiatives.
Although
OSTI has the responsibility to coordinate STIP, the success of the program
depends on the active participation and involvement of each of the STI
representatives from the various DOE programs, field offices,
and contractors and
contractor sites. Activities are coordinated through DOE
Technical Information Officers, who are the designated STI points of contact at
DOE operations and field offices, withto
STI managers and STI points of contact at major contractor‑operated
facilities and the national laboratories.
6. STI PROGRAM REVIEW/ASSESSMENT
In
keeping with the Paramount among
the recent management reforms within the Federal Government is the Government
Performance and Results Act of 1993, which requires
agencies toCSTIP best
practices and priorities include:
$ focusing
on program outcomes,
$ establishing
measurable annual objectives that link to long‑term goals,
$ developing
budgets that are based on planned performance, and
$ reporting
results.
DOE
has initiated a number of management changes as part of that reform. Those relevant to STI include the following:
a. Review and oversight of laboratory performance under
performance‑based management contracts, primarily through performance
measures and self‑assessments.
Other influences on the annual laboratory evaluation include peer
reviews, program office evaluations, external reviews (e.g., Office of
Inspector General, Government Accounting Office), and day‑to‑day
operational experience.
b. The most recently issued DOE Strategic Plan (of September
2003) includes
a strategy for
protecting
our national and economic security by providing world-class scientific research
capacity
and advancing scientific knowledge.
cb. The Business Management Oversight
Program, where STI management/administration was identified as a specific
functional area. Performance objectives
were established for the FY 1998 Headquarters review of Field Federal Activities
(agreements were negotiated between OSTI and each operations office). Some of those agreements have begun to be
referenced in operations offices oversight of contractor activities.
c. The most recently issued DOE Strategic
Plan (of September 2000) included a strategy for ensuring the success of DOE=s
science mission through scientific and technical information access and use.
This strategy appears in the Science business line.
d. With STI being recognized as a key
outcome of R&D and related activities, initiatives have begun for placing
STI as a component of technical program reviews and of the laboratory appraisal
process.
d. Establishment
of the Scientific and Technical Information Advisory Board (STIAB) to ensure
the effective management and dissemination of scientific and technical
information (STI), a key deliverable of the Department’s research and
development (R&D) programs, and in support of the President’s Management
Agenda for expanded electronic government.
e. The Department=s
first STIP Strategic Plan was issued in September 1997 (see Part I, Section 5),
thereby establishing goals and strategies for the DOE=s
STI community and its activities. The
overarching goal is the Departmental initiative to transition STI activities to
an electronic environment.
Those
who either sponsor activities that produce STI or who conduct or manage
activities that are within the STI life‑cycle should consider the points
listed above as well as the information below for review or assessment of STI.
6.1 STI Performance Objectives
The
following four STI performance objectives have
been established for use in evaluating STIP
performance at the various levelsthe Headquarters
Review of Field Federal Activities Business Management Oversight Program. Several
strategies are listed with each goal. They
are intended to complement and help assess progress in accomplishing the STIP
strategic goals. Specific measures and
expectations for each objective are to be developed by the appropriate program
manager when being applied to program reviews, or by the DOE operations
office for contractor assessments on a case‑by‑case
basis.
Objective
1: EnhanceProvide
access to STI accessby
making it available to OSTI.
Strategy
1: Utilize
site-hosted electronic collections$ to ensure
timely availability of STI
Strategy
2: Enhance access to legacy collections
Strategy
3: Enhance accessibility and ease of use
of site collections with state-of-the-art search tools
Strategy
4: Enhance availability of
site-developed software Non‑management
and operation/integration (non-M&O/M&I)-generated STI deliverables are
made available to OSTI in a timely manner.
$ Useful M&O‑
or M&I‑generated STI products are made available to OSTI in a timely
manner.
Objective 2: Transition is
being made to a decentralized electronic environment.Promote
Collaboration
Strategy 1:
Establish a means of engaging Program Offices in reinforcing expectations
for reporting of STI deliverables
Strategy 2: Identify and address incentives/disincentives
to collaboration.
Strategy 3: Continue to identify
and publicize successful collaborations at least annually.
Strategy 4: Educate users/providers on value added by STI
processes.
Strategy 5: Enhance communication.
$ Non-M&O/M&I-generated
STI deliverables are increasingly provided to OSTI in appropriate electronic
formats (i.e., increasing numbers of contracts are changed to require
electronic formats).Communication
across business lines (OPSEC, CIO, Classification, Research Programs, and STI).
$ M&O/M&I
contractor announcement records and full‑text STI documents are
increasingly made available to OSTI in agreed‑upon electronic formats.Integrate
changes of NNSA and other Programs.
Objective 3: STI policies and
procedures are collaboratively developed.Share combined
body of knowledge and lessons learned.
Strategy
1: Define outcomes based on OSTI
mission; determine when consistency must take precedence over flexibility at
each site.
Strategy 2: Improve compliance with information release
at each DOE site.
Strategy 3: Establish a communication plan and process
for the STI community.
Strategy 4: Identify common barriers and needs for
process improvements.
$ STI
points of contact actively participate in scheduled and ad hoc teleconferences,
meetings, and STIP working groups to determine STI procedures based on best
business practices.
$ Leadership
and innovation are demonstrated by STI points of contact both locally and DOE‑wide.
Objective 4: STI performance objectives are
implemented with performing R&D contractors.
$ Performance expectations based on
adopted performance objectives are negotiated with each performing R&D
contractor.
$ Periodic reviews of performing R&D
contractor self assessments are conducted and operational awareness of each one
is maintained.
$ Provide assistance and data to
contracting officers on status of direct‑procurement type technical
information policies and deliverables.
The
contribution of the overall STIP activities to meeting Departmental goals and
objectives, such as those mentioned in the DOE Strategic Plan and individual
program plans, is also an important assessment.
6.2 Program Reviews
In evaluating the quality of the science and
technology performed by the major site/facility
management contractorslaboratory
and its relevance to their programmatic goals, DOE program managers may
periodically review the programs they fund.
One aspect of the effectiveness and efficiency of research program
management is the effectiveness with which technical results are communicated
to maximize the value of the research results and to gain appropriate
recognition for DOE and the major site/facility
management contractor laboratory. Therefore, Headquarters programs that fund
activities resulting in STI may want to consider criteria such as the following
in their program reviews:
a. Effectiveness of making STI results available to maximize
value of the research. (Are useful STI products or identified technical
reporting deliverables made available to OSTI so that DOE reporting and public
release can be completed as appropriate? What other means are used to announce
the STI?)
b. Implementation of electronic reporting and access as a
Departmental initiative. (Are researchers
beginning to useutilizing
electronic reporting? Are laboratories and other major facilities modifying
their information infrastructure, such
as hosting more full‑text STI documents on Web sitesto
make the various product types and classification
categories of data available electronically?)
c. Incorporation of STI into projects and plans. (Is STI recognized as a key outcome of
R&D that is planned for during the activity? Are activities coordinated
with STI counterparts?)
7. INFORMATION SYSTEMS AND DATABASES
Several
information systems or databases operated and maintained by OSTI provide
information of interest to the scientific community as well as assistance in
various aspects of managing the Department=s STI. Some of the tools helpful in managing and
providing access are described below:
a. Classified
Information Management System (CIMS) contains bibliographic records (metadata)
for the Department=s central
collection of classified DOE and other technical reports. Contact OSTI for more information about this
database and related information resources.
EnergyFiles. EnergyFiles, the Virtual Library of Energy,
Science and Technology (http://www.osti.gov/energyfiles), provides the umbrella
for the other Web‑based OSTI and STIP community information systems. This ever‑expanding virtual collection
of information sources, tools, and technologies supports the finding and use of
energy‑related information and the conduct of energy research. EnergyFiles serves as a central locator for
various DOE and laboratory resources. It
includes subject pathways comparable to technical literature subject areas of
interest to DOE and end‑users. A
key feature of Energy Files, EnergyPortal Search, is a search engine with the
capability to return distributed full text.
EnergyPortal Search employs a single search strategy to search across
approximately 500 heterogeneous databases and Web sites, including
OSTI-developed products, that are linked through EnergyFiles.
b. DOE R&D
Accomplishments (http://www.osti.gov/accomplishments)
is a publicly-available central forum for information about the outcomes of
past DOE-sponsored or generated research and development. The outcomes featured have had significant
economic impact, have improved people's lives, or have been widely recognized
as a remarkable advance in science. An
R&D accomplishment is the outcome of past research whose benefits are being
realized now. It consists of the
Database, Feature Topic pages and Snapshots.
The Database contains searchable full-text and bibliographic citations
of documents reporting accomplishments from DOE and DOE contractor facilities. Featured Topic pages spotlight an individual
scientist or an area of research.
Snapshots provide quick pictures, introductions, overviews, or synopses
of DOE accomplishments.
DOE
Energy Link or AE-Link@
(http://www.osti.gov/elink) is the OSTI-developed
system that facilitates electronic announcement and/or submission of DOE
STI. E-Link enables DOE sites to enter
data for the DOE announcement record through a Web interface or to upload data
files, as well as to upload the associated full-text STI products as needed. Sites
may also use E-Link to review the status of records or to revise previously
submitted information.
Password-protected access is granted to DOE or
major DOE
contractors routinely submitting records to OSTI. Financial assistance recipients and
non-facilities management contractors have a separate E-Link interface to the
Web form available for their use at http://www.osti.gov/elink-2413/ to provide
the announcement record and associated full-text.c. Energy Citations
Database (1948 - Present) (http://www.osti.gov/energycitations
) (ECD) contains publicly available bibliographic citations for energy and
energy-related scientific and technical information (STI) from 1948 forward,
with links to electronic full text when available. Citations are from DOE and its predecessor
agencies, the Energy Research & Development Administration (ERDA) and the
Atomic Energy Commission (AEC). ECD
provides citations to report literature, conference papers, journal articles,
books, dissertations, and patents. It
includes bibliographic citations of literature in disciplines of interest to
the Department of Energy (DOE) such as chemistry, physics, materials,
environmental science, geology, engineering, mathematics, climatology,
oceanography, computer science and related disciplines.
dc. EnergyFiles,
the Virtual Library of Energy, Science and Technology (http://www.osti.gov/energyfiles/),
is an ever-expanding collection of energy-related information sources, tools,
and technologies. It is a well-rounded and well-researched compilation of
scientific and technical databases and Web sites, providing desktop access to
energy-related information and research results, as well as links to
professional organizations, conferences, funding information, and other
reference material. Users may explore the site by following subject
pathways or by choosing multidisciplinary databases and resources.
EnergyFiles employs deep web technology to allow information seekers to
perform a distributed search across selected databases and Web sites.
Users may also create a unique, personalized search by combining
subject-specific resources with broader, multidisciplinary sources. Energyfiles
supports the discovery and use of energy-related information and the conduct of
energy research, while offering users and contributors a place to aggregate and
search collections of scientific and technical information.
DOE Information
Bridge (http://www.osti.gov/bridge) is the Web‑based collection of DOE=s
full‑text technical reports provided by STIP partners throughout the DOE
complex. It can be used to access,
locate, search, and download full-text and/or bibliographic information
electronically. Public access is
provided through an agreement between DOE and the Government Printing Office
(GPO), located on the GPO Access system. A DOE version, which also includes
bibliographic citations (full text when available) of energy‑related
scientific and technical information obtained from a variety of domestic and
international sources, is available to DOE and DOE contractors who obtain
access from OSTI.e. DOE Energy Link
or AE-Link@
(http://www.osti.gov/elink) is the OSTI-developed
system that facilitates electronic announcement and/or submission of DOE
STI. E-Link enables DOE sites to enter
data for the DOE announcement record through a Web interface or to upload data
files, as well as to upload the associated full-text STI products as needed.
Sites may also use E-Link to review the status of records or to revise
previously submitted information.
Password-protected access is granted to DOE and DOE major site/facility
management contractors routinely submitting records to OSTI. Financial assistance recipients and non-facilities
management contractors have a separate E-Link interface to the Web form
available for their use at http://www.osti.gov/elink-2413/ to provide the
announcement record and associated full-text.
df. The E-Print
Network (http://www.osti.gov/eprints) is a vast, integrated network of
electronic scientific and technical information created by scientists and
research engineers active in their respective fields, intended for use by other
scientists, engineers, and students as advanced levels. It is a gateway to Web sites and databases
worldwide, containing e-prints in basic and applied sciences, primarily in
physics but also including subject areas such as chemistry, biology and life
sciences, materials science, nuclear sciences and engineering, energy research,
computer and information technologies, and other disciplines of interest to
DOE. The E-print Network provides
one-stop browse/search access to websites containing e-prints, full-text
searching of e-print documents indexed from websites, deep web searching, and
links to professional societies.
GrayLIT Network
(http://www.osti.gov/graylit) is an interagency collaboration between DOE=s
Office of Scientific and Technical Information (OSTI), the Department of
Defense Defense Technical Information Center (DTIC), the National Aeronautic
and Space Administration (NASA) Jet Propulsion Lab and Langley Research Center,
and the Environmental Protection Agency National Environmental Publications
Center which provides the world=s most
comprehensive portal to governmental full-text technical reports on the
Internet. By offering one stop for this
previously hard-to-find Government information, the GrayLIT Network enables
convenient access to over 100,000 full-text
scientific and technical documents residing at disperse locations. A distributed search tool allows one search
across the combined deep Web information and returns results in one integrated
listing. The GrayLIT Network is
available to the public in partnership with the Government Printing Office
through GPO Access (http://www.access.gpo.gov/su_docs).
ge. R&D Project
Summaries Web Database (http://www.osti.gov/rnd) contains the publicly
accessible subset of the Department=s research
projects beginning in FY 1995. Over
75 percent of the total Department=s
R&D project summaries are available through this Web‑based
application.ETDEWEB (http://www.osti.gov/etdeweb) is the Energy
Technology Data Exchange (ETDE) World Energy Base, an Information Bridge-like
Web product serving the domestic and international community. Conceived,
developed, implemented, and operated by OSTI on behalf of the International
Energy Agency Energy Technology Data Exchange Implementing Agreement, ETDEWEB
contains both U.S. and international information exchanged since 1974, including
links to available full text. The
international information included in ETDEWEB is a result of OSTI=s
longstanding international information exchange agreements. U.S. public access is free, but registration
is necessary to ensure compliance with these agreements.
hf. Federal R&D Project Summaries
(http://www.osti.gov/fedrnd) combines over 2740,000
records of research and development summary and awards data from threesix
governmental agencies: DOE, the
National Institutes of Health (NIH), and the National
Science Foundation (NSF), Environmental Protection Agency (EPA), Small
Business Administration (SBA), and U.S. Department of Agriculture (USDA). Federal R&D Project Summaries provides a
unique window to the Federal research community, allowing both agencies and the
public to better understand the research and development efforts within
Government. A
distributed search tool allows one search across the records residing at
disperse locations. Federal R&D
Project Summaries is available to the public in partnership with the Government
Printing Office through GPO Access (http://www.access.gpoosti.gov/su_docsfedrnd).
g. R&D Tracking System
(http://www.osti.gov/rd/) provides DOE a centrally managed database of project
summaries of active R&D projects. It
contains summaries collected annually starting in FY 1995, with a cumulative
total of over 18,000 projects performed by the national laboratories and other
DOE facilities. The system is sponsored
by the Office of the Chief Financial Officer and is maintained and operated by
OSTI. Access to the system is provided
to authorized DOE and DOE contractor representatives.
h. PubSCIENCE
(http://www.osti.gov/pubscience) provides access to peer-reviewed scientific
and technical journal literature with a primary focus on physical sciences and
other disciplines of concern to DOE. The
PubSCIENCE system enables searching across thousands of bibliographic citations
from multiple journal sources with direct links to the publisher=s
doorstep. The user can then view the
full text, if the publisher has made it available, or with a subscription, with
a site license, or by pay-per-view.
i. GrayLIT
Network (http://www.osti.gov/graylit/) is an interagency collaboration between
DOE=s Office of
Scientific and Technical Information (OSTI), the Department of Defense Defense
Technical Information Center (DTIC), the National Aeronautic and Space
Administration (NASA) Jet Propulsion Lab and Langley Research Center, and the
Environmental Protection Agency National Environmental Publications Center
which provides the world=s most
comprehensive portal to governmental full-text technical reports on the
Internet. By offering one stop for this
previously hard-to-find Government information, the GrayLIT Network enables
convenient access to full-text scientific and technical documents residing at
disperse locations. A distributed search
tool allows one search across
the combined deep Web information and returns results in one integrated
listing. The GrayLIT Network is
available to the public in partnership with the Government Printing Office
through GPO Access (http://www.gpoaccess.gov/index.html).
PrePRINT
Network (http://www.osti.gov/preprints)
is a searchable gateway to preprint servers that deal with scientific
and technical disciplines of concern to DOE. Access is provided to thousands of electronic
preprints available from diverse sites.
Users may search a single site or search several sites simultaneously
using a distributed search tool. The
PrePRINT Alerts feature allows users to create personal profiles to match their
interests. Users then receive weekly
notification of new information that matches their profile.
j. Information
Bridge (http://www.osti.gov/bridge) is the Web‑based collection of DOE=s
full‑text technical reports provided by STIP partners throughout the DOE
complex. It can be used to access,
locate, search, and download full-text and/or bibliographic information
electronically. Public access is
provided through an agreement between DOE and the Government Printing Office
(GPO), located on the GPO Access system.
Research and
Development (R&D) Accomplishments Database (http://www.osti.gov/
accomplishments) is a publicly available central forum for information about
the outcome of past DOE R&D that had significant economic impact, improved
people=s lives, or was
a significant advance in science. The
core of the database consists of searchable bibliographic citations and full
text of documents reporting accomplishments from DOE and DOE contractors.
k. R&D
Project Summaries Web Database (http://www.osti.gov/researchanddevelopment) consists of ongoing and recently completed Department of
Energy research projects. This is a subset of data that is suitable for
public release available through online searching. It contains
summaries of projects performed by the national laboratories and other DOE
facilities that have been collected annually since FY 1995. Projects
pertain to a range of R&D disciplines in energy, science and
technology. Through this same website, there is an R&D Tracking
System that contains a complete set of R&D data that is available to authorized
DOE and DOE contractor representatives. The R&D Tracking
System is operated by the Office of Scientific and Technical Information
(OSTI) with oversight by the Office of
Management, Budget and Evaluation/Chief Financial Officer. An annual
R&D Data Call is distributed by the CFO requesting each national laboratory
and other DOE facilities that perform R&D projects to submit
their data to OSTI. OSTI collects and distributes this data to
the White House Office of Science and Technology Policy (OSTP).
ETDEWEB
(http://www.osti.gov/etdeweb) is the Energy Technology Data Exchange (ETDE)
World Energy Base, an Information Bridge-like Web product serving the domestic
and international community. Conceived, developed, implemented, and operated by OSTI on behalf of the
International Energy Agency Energy Technology Data Exchange Implementing
Agreement, ETDEWEB contains both U.S. and international information exchanged
since 1995, including
links to available full text. The
international information included in ETDEWEB is a result of OSTI=s
longstanding international information exchange agreements. U.S. public access is free, but registration
is necessary to ensure compliance with these agreements.
l. ScienceLab (www.osti.gov/sciencelab/) highlights
the nation’s Department of Energy Office of Science research facilities,
emphasizing each facility’s educational resources. Included at ScienceLab are
special sections on internships, science careers, science art, ask-an-expert
sites, and grade-level appropriate materials. Students will find homework help,
experiments, and science games at ScienceLab; teachers will find lesson plans,
grant opportunities, and professional development resources.Classified
Energy Online (CLEO)
contains bibliographic records (metadata) for the Department=s
central collection of classified DOE and other technical reports. Contact OSTI for more information about this
database and related information resources.
m. Controlled
Access File (CAF) contains bibliographic records (metadata) for the Department=s
central collection of DOE sensitive unclassified or other restricted access
technical reports. Contact OSTI for more
information about this database and related information resources.
m. Science Research
Connection (http://www.osti.gov/src)
(SRC) delivers science information to the U. S. Department of
Energy (DOE) community. Using a variety of search options, patrons can access
approximately four million bibliographic records and over 125,000 full-text documents
spanning more than six decades of DOE research. Domestic energy R&D
performed by DOE and predecessor agencies, as well as foreign energy research
obtained by the Department are available. SRC includes both
unclassified/unlimited and controlled access information, depending on the
level of approved access. The product requires registration and access is free
of charge. Special features include search result manipulation, save search
capability, alerts, shopping cart, field sorting and downloadable bibliographic
data to EndNote. Basic search is available, as well as sophisticated search
options including wild card, proximity, full-text, author, and taxonomy.
PART
II
ANNOUNCEMENT AND DISSEMINATION OF
SCIENTIFIC
AND TECHNICAL INFORMATION PRODUCTS
1. INTRODUCTION
This
part of the Guide describes the procedures for accomplishing the broadest
possible availability through appropriate review, access determination, and
central announcement. It also defines
STI products, electronic full‑text formats and transfer procedures,
announcement record submission, and some other activities carried out by DOE
and DOE contractor elements as well as those carried out by OSTI. General information is provided on the agreed‑upon
STIP practices and procedures, but the Guide does not attempt to provide all
details necessary for the complete life‑cycle management of STI. If further information is needed, contact
OSTI or consult with the STI Program contact at the respective site or
organization (http://www.doe.gov/stip/programcontacts.htmhttp://www.osti.gov/stip/peopleandgroups.html). Two A
ccentral locators
to the bibliographic
citations and electronic full-text
of DOE=s publicly available STI
are is maintained by OSTI through the Energy
Citations Database and DOE Information
Bridge, respectively. Additionally, OSTI fulfills
Departmental mandates for broad public dissemination by administering various
agreements with intermediaries for public access, including the National
Technical Information Service (NTIS), GPO, and international exchanges.
NOTE: Much of the information in this Guide
describes practices for management, announcement, and dissemination of
unclassified unlimited STI.
Additionally, exceptions are noted where applicable for practices
related to sensitive unclassified, export controlled
unclassified controlled and ,
classified, and declassified STI. References are also provided to other DOE
Orders, Manuals, Guides, and other specific guidance on the management of
sensitive unclassified unclassified
controlled and,
classified, declassified, and export
controlled STI. Users of
this Guide should always refer to these specific references when determining
the most up‑to‑date and appropriate treatment of sensitive
unclassified unclassified controlled
and, classified, declassified,
and export controlled S STI. For specific references, see Attachments 21
and 43.
2. SCIENTIFIC/TECHNICAL REPORTING DELIVERABLES PRODUCED BY
FINANCIAL ASSISTANCE RECIPIENTS AND NON-MAJOR SITE/FACILITIEYS
MANAGEMENT CONTRACTORS
This
section specifically addresses STI reporting for financial assistance awards
and non-major site/facility management contracts
(non-M&O/M&I contracts).
The Departmental requirement for scientific/technical reporting for this
type of award or contract is stated in DOE O 241.1A, 10 CFR 600, and 48 CFR
935.010. The
primary purpose of scientific/technical reporting is to enable the Department
to share the results of research, development, and demonstration (RD&D)
funded by DOE within the Department as well as publicly. Other sections of this Guide provide
additional information for use in preparing the deliverable and delivering it
to the Department for announcement and availability.
2.1 Identifying the Required Deliverables
The
initiator of the procurement request, usually the sponsoring program office,
specifies the type, frequency, and content of any scientific/technical reports
or products required under the corresponding award or contract. The contracting officer then ensures that
these reporting requirements and performance objectives and measures, if any,
are included in the solicitation and/or resulting award or contract. It is the contracting officer=s
responsibility to communicate to the awardee/recipients the expectations and
requirements regarding scientific/technical deliverables and the associated
Departmental submission process.
For
financial assistance instruments the AFederal Assistance Reporting
Checklist@ (DOE F 4600.2) specifies the
required technical reporting deliverables, including the announcement form and
the form of delivery. For non-major
facilitiesnon-major site/facility management
contracts, the statement of work or the AReporting
Requirements Checklist@ (DOE F 1332.1)
specifies the required technical reporting deliverables, including the
announcement form and the form of delivery. the reporting
requirements shall be identified in Section J, List of Attachments, of the
contract as part of the Performance Work Statement/Statement of Work or as a
separate attachment. The form of
delivery shall also be specified.
DOE=s contracting officers are
required to ensure that the reporting deliverables are provided to OSTI as
specified.
Generally,
research and development awards require a final scientific/technical report or
product, which is to be submitted within a certain time after the expiration of
an award. Additionally, awards may call
for identification of products developed under the award and technology transfer
activities, i.e., journal publications;
other public releases of results; Web or Internet sites that reflect project
results; software; databases; inventions; patent applications and/or licensing
agreements, some of which are suitable for announcement and availability as
STI. Another example of an appropriate
scientific/technical submission includes documents that provide an analysis or
summary of what a Program is doing, intended for
public issuance. Documents
issued by DOE must come to OSTI if DOE intends to make them publicly available
through GPO and NTIS.
Scientific/technical
reports and products provide the results of scientific and technical studies,
investigations that relate to research, development, demonstration, and other
specialized areas such as environmental and health protection and waste
management. Technical reports document
the findings of the funded R&D project.
Commercially published books, copyrighted papers, or journal reprints
cannot be disseminated by DOE. If these
products are identified as deliverables, citations should be provided, showing
the publisher availability. Project
status reports or other status reports including project management, financial
or budget, administrative information or those generated by support service
contractors performing non-technical tasks are considered to be
management reports and
should not be sent to OSTI.
The
contracting officer should ensure that the OSTI deliverable code described in
item 5118
of the Individual Procurement Action Report (IPAR) corresponds to the STI
deliverable(s) specified by DOE F 4600.2 or DOE F 1332.1
technical reporting requirements specified in the contract document. This code is used byin
DOE=s
Procurement and Assistance Data System (PADS) to
specifically to identify required
scientific/technical reporting deliverables that are to be submitted to
OSTI. The code should not be used to
identify any other reporting requirements (e.g., they should not be used for
management or financial reporting, such as project status reports).
Values
for the IPAR, Item 5118 for financial
assistance and 32 for contracts, , AOSTI
Deliverable@ code used to specify the
required scientific/technical reporting deliverable for a particular award are
described as follows:
Code Description
AD Final Report
CO Conference Paper
AU Conference Proceedings (scientific and technical
conferences only)
YY Computer Software
YZ Computer Software Plus Final Report
DD Other (e.g., reports at the end of a phase or task,
documents prepared for public release, videos or movies, etc.)
AZ No Technical Information Deliverable Required
2.2 Submitting Deliverables to DOE
The
awardees and financial assistance recipients submit the required scientific/technical
reporting deliverables resulting from R&D funded work as specified by the AFederal
Assistance Reporting Checklist@ (DOE F 4600.2) and the technical
reporting requirements identified in the contractAReporting
Requirements Checklist@ (DOE F
award 1332.1) under ATechnical
Information Reporting.@. Information on the recommended attributes to
be included in STI products is providedincluded
in
Part II, Section 5 of this document.
Attachment 45
provides a report cover and title page example that may be provided to awardees
for guidance.
Each
report or other STI product should be accompanied by a completed electronic
version of the DOE F 241.3 appropriate DOE
F 241,, AAnnouncement
of U.S. Department of Energy Scientific and Technical Information.@ for use by The
recently developed DOE F 241.3 is specific to
the financial assistance recipients and
non-major facilitiesnon-major
site/facility management contractorsbusiness
lines and has been streamlined for easier, more expeditious submittal. The Web-based announcement forms
and instructions are available on the Internet-accessible DOE Energy Link (E-Link)
System (E-Link) available at
http://www.osti.gov/elink-2413//. Financial
assistance recipients and non-major facilities management contractors should be
directed to use the DOE F 241.3 available at http://www.osti.gov/elink-2413/.
Although
uncommon, deliverables
created in Scientific and technical deliverables to be
transmitted electronically by DOE should be submitted by E-Link at
www.osti.gov/elink/. Financial
assistance recipients and non-major facilities management contractors should
transmit electronic scientific and technical deliverables through
www.osti.gov/elink-2413/. Electronic
copy of other computer-generated mediaum
(DVDs, CD-ROMs, diskettes,
videocassettes, etc.) may be transmitted by U.S. Postal Service or other
shipment method; however, an electronic copy of the announcement record (appropriate
DOE F 241) should be submitted by via
E-Link prior to the shipment and a paper copy
of the DOE F 241.3 should accompany the shipment.
The
format for report submission is indicated in the award instrument. Electronic documents should be submitted in
one integrated file that contains all text, tables, diagrams, photographs,
schematic, graphs, and charts.
Information about formats and converting a file to
portable document format (PDF) is available through E-Link in the AAbout
E-Link@ area.
As
stated in the award language, if the deliverable is provided on diskettes or
CD-ROMs, they should include the scientific/technical report or product in an
integrated file and a copy of the accompanying DOE F 241. Diskettes should be labeled as follows:
$ DOE award number
$ Type of report(s)
$ Reporting period
$ Name of submitting organization
$ Name, phone number, and fax number of
preparer
If
an award=s reporting requirements include
DOE F 241.2, ANotice of Energy RD&D
Project,@ the non-major
facilitiesnon-major site/facility management
contractor or financial assistance recipient should submit the form directly to
OSTI with a copy to the contracting officer.
This RD&D form may be submitted electronically to OSTI by the
Web. The Web form is available at
https://secure.osti.gov/rd/owa/rd_doe_contract.input_page
http://rd.osti.gov/241.2.jsp.
An optional PDF form is accessible at http://www.osti.gov/elink/. The PDF form can be printed, completed, and
mailed to OSTI. OSTI will process the ANotice
of Energy RD&D@ form for inclusion in the
Department=s R&D Tracking System,
maintained and operated by OSTI for the Office of the Chief Financial Officer.
Contracting
officers and contracting officer technical representatives are responsible for
ensuring that the receipt of required interim and final scientific/technical
reporting deliverables as identified on DOE F 4600.2 andor
DOE F 1332.1included in the
contract are monitored and provided to OSTI. DOE contracting officers, DOE STI
releasing officials, and other select DOEoperations/field
office staff will be provided access to E-Link upon request to ensure appropriate
review of the DOE F 241.3 data and the accompanying report
file. Prior to releasing the DOE F 241.3
and corresponding deliverable, the respective DOE operations/field
office=s STI releasing official is
responsible for ensuring appropriate review of the announcement data and the
accompanying report file for restrictions on the announcement and availability
of the full-text information. Their
review will include the identification of any restrictions on the announcement
and availability of the full-text information; correction of previously
submitted records, if necessary; and the release of reports to OSTI. Considerations for the review process to
release STI products for announcement are referenced in Part II, Section 3 of
this Guide.
2.3 Contract Award
Closeout
Contracting
officers are to ensure that scientific/technical reporting deliverables are
received by the Department prior to closing the award. To enable DOE operations/field
and program office staff to verify receipt of deliverables at
OSTI, certain data on new awards is being obtained from PADS, including the
awardee name, award number, award date, completion date, and the OSTI
deliverable code referenced in IPAR, Item 5118
for financial assistance and item 32 for contracts. When STI
deliverables are received by OSTI, the PADS data and data from the STI
deliverable indicated on the DOE F 241.3
will be recorded in E-Link. Contracting
officers or other DOE staff may obtain a password to access the system and
query the data for their respective awarding office. The data may be searched by contract/grant
number, title, author, or report number, and OSTI
identification number. The
database may be queried to identify required technical
reporting deliverables required and will also provide a link
to the full text of STI products previously submitted (if submitted
electronically). E-Link access
instructions are available through E-link in the AAbout E-Link@
area.
3. APPROPRIATE REVIEW PROCESS TO RELEASE STI PRODUCTS FOR
ANNOUNCEMENT
DOE
elements or DOE major facilitiessite/facility
management contractors originating
STI determines21
for additional statutes that relate to STI.)
STI products should be reviewed for restrictions on both the
announcement and availability of the full‑text information. Section 4 describes
criteria to consider when determining the submission of STI products to
OSTI. DOE operations offices=
review STI products produced by financial assistance recipients and non-major facilitiessite/facility
management contractors appropriately
according to DOE O 241.1A. Reviews to
determine announcement and availability of STI products, or restrictions
thereto, may include, but are not limited to, the following:
$ classification/declassification,
$ copyrighted
materials or other intellectual property,
$ export controls
or distribution restrictions, andunclassified
controlled information (see definition
in Attachment 2)
$ sensitive
content, such as Unclassified
Controlled Nuclear Information or subject-specific limitation that
limits access. (See descriptions in
Attachment 43).
4. STI PRODUCTS APPROPRIATE FOR ANNOUNCEMENT
DOE
and its major site/facilityies
management contractors determine which STI
products are announced to OSTI based on the criteria outlined in Section 4.1
and provide announcement and full-text availability
instructions to OSTI through the metadata elements contained in the
announcement record. Any limitations
dictated by content or contract and collaborative agreement terms restrict the
announcement and availability to the appropriate audience and prescribe what
method the sites will use to report the product to OSTI.
4.1 STI Products
Any STI product is appropriate for
announcement to OSTI that (1) is considered useful to others outside the
originating organization, (2) is a contract or financial assistance
deliverable, or (3) includes findings, statistics, or analysis related to
research and development. The originator
of the STI product may be DOE or a DOE‑funded
contractor or grantee. The completeness,
accuracy, and quality of such STI products
are ensured by the originating site prior to announcement to OSTI.
Typical
STI products produced by DOE or its contractors/financial assistance recipients
that are sent or announced to OSTI include the following (see Attachment 32
for definitions):
|
$ scientific/technical reporting deliverables for
financial assistance recipients/non-major facilities contractors
$ commercially published books (an
announcement record only may be submitted if copyright restrictions are
imposed on product)
$ conference papers/presentations
$ conference proceedings (for commercially
published conference proceedings, an announcement record only may be
submitted if copyright restrictions are imposed on product)
$ environmental
impact statements (may be provided to OSTI if not being provided to DOE=s Center for Environmental Management Information
(CEMI); if full‑text document is provided to CEMI, an announcement
record submitted to OSTI would show CEMI as the availability)$ cooperative
research and development agreement
(CRADA) deliverables
$ NEPA documents (e.g., environmental impact statements and environmental assessments; at a minimum an
announcement record should be submitted)
$ journal
article full-text (an announcement
record only should be submitted if copyright restrictions apply,
e.g., for reprints)
|
$ cooperative
research and development agreement (CRADA) deliverables
$ laboratory‑directed R&D (LDRD) STI
deliverables
$ journal
article preprints and postprints (an announcement record only may be
submitted if copyright restrictions apply, e.g., for reprints)
$ noncommercially published books
· publicly releasable declassified STI documents (identified for OpenNet)
· patents (only an
announcement record should be
submitted)
$ patent applications
$ programmatic analysis documents
$ software
$ scientific and technical (S&T)
accomplishment reports
· scientific/technical reporting deliverables for financial
assistance recipients/non-major
site/facility contractors
$ technical reports (topical, final, etc.)
$ theses/dissertations
$ translations
$ Work for Others (WFO) deliverables (unless
excluded in WFO agreement)
|
The
following information products are also submitted to OSTI for central
processing and announcement at the direction of Headquarters program
offices. They do not follow the STI
product submission process and do not require an announcement record
(DOE F 241.1 or DOE F 241.3):
$ foreign trip reports,
$ OpenNet documents (non-STI)
$ R&D project summaries.
Products
that may contain some STI but are not submitted to OSTI for announcement or
and availability, regardless of
medium, include the following:
|
$ administrative materials
$ brochures
$ catalogs
$ correspondence
$ databases
$ draft documents
$ empirical data
$ engineering drawings
$ field work proposals
$ financial information
$ future conference announcements
$ notices
$ memoranda
|
$ monthly reports
$ newsletters
$ policies
$ procedures
$ proposals/predecisional information
$ public communications (except S&T accomplishments)
$ report sections (when full report is STI)
$ weekly reports
$ WWW pages (except those applicable as a URL for an STI
product)
$ non-R&Dscientific or
technical or non-programmatic publications (e.g., strategic,
institutional, or facility plans)
|
An
STI product can be created in one
or more media, includingC
|
$ audiocassettes
$ compact
disks
$ diskettes
$ film
$ magnetic
cartridges
$ magnetic
tapes
|
$ microform
$ paper
$ videocassettes
$ videodiscs
$ Web‑based
files
|
4.2 Announcement/Availability Categories
for STI Products
STI
products are announced and made available based on contractor or DOE
review. (See Part II, Section
3.) When the announcement record for the
STI product is submitted to OSTI, it identifies the appropriate announcement
category. The definitions of the controlled
STI products specific notices and restrictive legends and
any special procedures are listed in Attachment 34. The fivesix
announcement and applicable availability categories are
shown in Table 1.
5. THE CONTENT OF STI PRODUCTS
5.1 Introduction
This
section contains information on the recommended attributes of STI
products. Additional details are
available in Scientific and Technical Reports Elements, Organization, and
Design [American National Standards Institute/National Information
Standards Organization (ANSI/NISO) Z39.18‑1995].
Table 1. Announcement/Availability Categories for STI
Products
|
Category
|
Where
OSTI Announces or Makes
Product
Available
|
|
Unclassified
Unlimited Information (worldwide publicly
releasable)
|
DOE Information Bridge, (DOE and Public versions), Energy
Citations Database, Science Research Connection, EnergyFiles,
NTIS, GPO, ETDE, and other U.S. and international outlets
|
|
Declassified
Publicly Releasable Documents
|
OpenNet
|
|
Unclassified Controlled Information (UCI)Sensitive Unclassified (also referred to as
Sensitive or Limited in this document) or
Other Protectable Information:
$ Official Use Only (OUO) information
-
ECI
-
Protected Data
-
Patent Pending
-
Limited Rights Data
-
Applied
Technology
-
Program-Determined
OUO
-
$ Program‑Directed Special Handling (e.g., applied technology)
$ Protected Data (e.g., CRADA)
$ Small
Business Innovation Research (SBIR)
$ Small Business Technology Transfer Research
(STTR)
$ Copyrighted Material
$ Limited Rights DataNaval Nuclear Propulsion Information (NNPI)
|
Controlled Access FileScience Research Connection, Special
Program‑Sponsored
Databases with
Access Limitations
|
|
Export Controlled Information
|
Controlled Access File, Special Program-Sponsored
Databases with Access Limitations
|
|
Unclassified Controlled Nuclear Information (UCNI)
|
Classified Information
Management SystemEnergy Online
(CIMSLEO)
|
|
Classified Information
|
Classified Information
Management System Energy Online (CIMSLEO)
|
Information
on classifying and declassifying documents and materials is located in DOE M
475.1‑1A, Identifying Classified
Information. This Manual also
specifies an organizational requirement to submit bibliographic information and
availability information to OSTI for every document that is declassified and
determined to be publicly releasable.
5.2 Recommended
Attributes of STI Products
Recommended
attributes of STI products, and their traditional location in paper‑based,
stand‑alone technical reports, are shown in Table 2. Attachment 45
shows a typical published technical report cover and title page.
Table
2. Recommended Attributes of STI
Products
|
Table 2.
Recommended Attributes of STI Products
|
|
Attribute
|
Typical
Placement on STI Product
|
Explanatory
Comment
|
|
FRONT MATTER
|
|
Acknowledgements
|
Follows Title
Page
|
Credits
substantial contributors to the work who are not authors.
|
|
Author
|
Cover and
Title Page
|
Includes
primary author and all contributing authors
|
|
Abstract *
|
Title Page
|
Briefly
informs of purpose, scope, and findings
|
|
Award/Contract/Financial
Number
|
Cover, inside
front cover, and title page
|
DOE funding
agreement
|
|
Caveats
|
Cover
|
Special
markings that will further identify information sensitivity and applicable
laws or regulations
|
|
Classification
Level
|
Refer to DOE M
471.2-1C, Classified Matter Protection and Control Manual
|
Classification
level and category of information
|
|
Control
Markings
|
Refer to DOE M
471.2-1C, Classified Matter Protection and Control Manual
|
Markings that
identify the classification level and category of information
|
|
Date
|
Cover or title
page
|
Month and Year
of release
|
|
Disclaimer
|
Inside front
or back cover
|
|
|
Distribution
Statement
|
Cover or title
page
|
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