The Departmental requirement for scientific/technical reporting for this type of award or contract is stated in DOE O 241.1B, 10 CFR 600, and 48 CFR 935.010.
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 DOE F 4600.2 specifies the required technical reporting deliverables, including the announcement form and the form of delivery. For non-major site/facility management contracts, 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. Documents issued by DOE must come to OSTI if DOE intends to make them publicly available through GPO and NTIS. For more detailed information, review STI Defined and What is Not STI?.
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 18 of the Individual Procurement Action Report (IPAR) corresponds to the STI deliverable(s) specified by DOE F 4600.2 or technical reporting requirements specified in the contract document. This code is used by DOE to specifically 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).
The options for the required scientific/technical reporting deliverable for a particular award are described as follows:
|AU||Conference Proceedings (scientific and technical conferences only)|
|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|
The awardees and financial assistance recipients submit the required scientific/technical reporting deliverables resulting from R&D funded work as specified by the Federal Assistance Reporting Checklist (DOE F 4600.2) and the technical reporting requirements identified in the contract award. Review Submittal Basics.
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 or included in the contract are monitored and provided to OSTI. DOE contracting officers, DOE STI releasing officials, and other select DOE office staff will be provided access to E-Link upon request to ensure appropriate review of the DOE Announcement Notice (AN) 241.3 data and the accompanying report file. Prior to releasing the AN 241.3 and corresponding deliverable, the respective DOE 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.
Contracting officers are to ensure that scientific/technical reporting deliverables are received by the Department prior to closing the award. These reporting deliverables are submitted electronically via the E-Link system. Contracting officers or other DOE staff may obtain a password to access the Energy Link (E-Link) system and query the data for their respective awarding office. The data may be searched by contract/grant number, title, author, report number, and OSTI identification number. Apply for E-Link access .