DOE Scientific and Technical Information Program Strategic Plan A Complex-Wide Collaboration to Lead DOE in the Information Age September 1997 Published by U.S. Department of Energy Office of Scientific and Technical Information Table of Contents

• Message from the Director
  
• Executive Summary
  
• I. Introduction
  • Principles
  • Situational Analysis
  • Planning Assumptions
  • Vision
  • Mission
  • Goals and Strategies
    
• II. Goals, Strategies, and Measures
  
• III. Organizational Infrastructure
  
• IV. Next Steps
  
• Appendices
  • A. STIP Participants
  • B. Goal Working Groups
  • C. Planning Relationships
  • D. Definition of Scientific and Technical Information

Message from the Director

"Collaboration Is Imperative!"--This was my personal theme underlying the development of the Scientific and Technical Information Program Strategic Plan. The Information Age is upon us, with technology impacting virtually every aspect of Department's scientific and technical information (STI) life cycle. Although information technology offers many opportunities for improving processes for the creation, identification, organization, dissemination, and preservation of STI, we (i.e., the entire STI community) can make even greater strides through a unified and coordinated approach. Therefore the purpose for developing the STIP plan was for the collective DOE scientific and technical information community to embrace a vision of where the STI Program is headed and then all work collaboratively to reach our destination.

Our challenge is to lead the Department in the Information Age through a complex-wide collaboration of our STI stakeholders and partners (including Technical Information Officers at the DOE Operations and Field Offices, STI Points of Contact at the various contractor sites, and STI representatives from the Program Offices). We hope to work together to demonstrate real value through Information Age systems, and let the results speak for themselves to encourage even greater achievements.

The consensus reached during our planning meeting reassured me that we can and will reach our desired destination together! With the STIP Plan in place, we have the framework for good communication, clear lines of responsibility, and an action plan for change.

My appreciation to all participants!

Dr. Walter L. Warnick
Director, Office of Scientific and Technical Information

Executive Summary

The Scientific and Technical Information Program (STIP) is comprised of the Department's program managers, researchers, and scientific and technical information professionals who work collaboratively to fulfill DOE's obligation for the timely collection and broad dissemination of the Department's scientific and technical information (STI). The STIP fundamentally involves the government's responsibility to be accountable for tax dollars spent on R&D and its role in technology awareness and transfer to the domestic and global user community.

STIP strategic planning complements the Department's existing STI policies and program responsibilities and provides a mechanism for sharing ideas. This sharing of ideas was accomplished in this initial session to the degree that, of the total attendees, 20% were Headquarters Programs, 25% were Field Operations, and 55% were Lab/Contractor.

The reason for developing a Scientific and Technical Information Program Strategic Plan was twofold. First, to come to consensus on STIP Goals, Strategies, and Measures. And secondly, through collaboration, to leverage the expertise and efforts of STI partners in the actual implementation of initiatives conceptualized within the Strategic Plan. The Strategic Planning Session for STIP accomplished these objectives, and the Plan provides a framework for moving the Department fully into the Information Age.

The Office of Scientific and Technical Information (OSTI) coordinated the development of the plan through a consensus approach with the participants. The STIP Strategic Plan represents a Department-wide plan and not an OSTI strategic plan. As such, the successful implementation of the goals and strategies will rely on the continued cooperation and contribution of the Programs, Field Offices, and contractors who are stakeholders in the STIP. Stakeholder working groups have been identified for each goal. Through the collective efforts of these working groups, STIP will provide to the Department and its customers a greater return on the Department's investment in R&D.

I. Introduction

As a major science and technology agency, the Department of Energy conducts R&D in a variety of fields related to science and technology, energy resources, environmental quality, and national security. These efforts contribute to our basic understanding of the world in which we live and provide practical solutions to real-world problems. The majority of the Department's research is conducted at major Federal research facilities such as the national laboratories and energy technology centers, and by universities and other organizations through grants, contracts, and other financial instruments.

In fiscal year 1997, the Department will invest over 6 billion dollars in R&D and other related program endeavors. The value of the Department's R&D effort rests not only in the quality of the work, but also in the timely dissemination of STI to the scientific community and the public. In order for the U.S. taxpayer to realize a return on the R&D investment and to reach a better understanding of the contributions of the Department, the knowledge gained in the R&D process -- primarily in the form of scientific and technical information -- must be gathered, preserved, and disseminated for use not only by the Department but also by customer segments throughout society, including industry, academia, and individuals.

Dr. John Gibbons, Director of the White House Office of Science and Technology Policy, once estimated that Federal agencies expend two to four percent of their R&D budgets on the STI enterprise. Based on this estimate, the Department's investment in STI is between $150 and $300 million, with expenses shared across various DOE Programs. Thus, cooperation among the R&D funding programs and skillful coordination of STI activities are required for yielding the best results. The primary mechanism for coordinating the enterprise and instituting best practices for the Department's STI is the Scientific and Technical Information Program (STIP).

Although coordination of STIP is the responsibility of the Office of Scientific and Technical Information (in the Office of Energy Research), the success of the Program depends on the active participation and involvement of each of the STI representatives from the various R&D programs, field offices, and contractors. STIP is executed through strategic goals and objectives established jointly by the Department's Program Managers and Field Elements and implemented in partnership with the contractors who manage DOE facilities. Through the effective management of DOE-sponsored scientific and technical information, STIP ensures that U.S. citizens are realizing a maximum return on investment, and, more importantly, that the STI is accessible for contributing to the advancement of science and technology.

Principles

The strategic direction for the Department's Scientific and Technical Information Program is based on several principles which are key in the stewardship of STI generated by the Department or its contractors during the conduct of research and development or related endeavors.

The STI community agrees with the following principles:

• Scientific and technical information (STI) is a valuable resource that contributes to the nation's well-being.
• STI content is the focus of the Program, whereby users are equipped with the information needed to do their jobs.
• Headquarters programs that fund R&D or other activities which result in STI must actively support the identification, preservation, and dissemination of the information throughout its life-cycle.
• Having STI identified, collected, and disseminated is in the self-interest of researchers individually, as well as the interests of the Department as a whole.
• Since STIP is a responsibility of the various funding programs, field sites, and laboratories involved in STI, coordination is vital.
• Goals of the Program and its infrastructure support the Administration's principles of a National and Global Information Infrastructure (NII and GII).

These principles are considered as foundational to the STI Program. Strategic goals and strategies are consistent with this foundation.

Situational Analysis

The organizational environment surrounding scientific and technical information was gauged to assess potential impacts, needs, or factors which should be considered in strategic planning. Organizational strengths and weaknesses pertain to influences internal to the Department, such as its business culture. External opportunities and threats are factors from outside the Department. The following items were identified as having potential positive (+), negative (-), or mixed (+/-) impact.

Organizational Strengths and Weaknesses
+ Technically competent workforce
+ Quality-oriented programs
+ Increasingly empowered workforce
+ World class science/technology infrastructure
+ The democratization of publishing challenges us to adopt new paradigms for information management
+ Electronic linkage to user/peer reviews of generated STI provides additional value for information users.
+/- Performance-based contracts
+/- Diverse business cultures (programs and contractors)
+/- DOE is transitioning from the "paper paradigm" to Web-based technologies
+/- A primary dissemination mechanism for DOE STI is the published literature
+/- Organization of STI to maximize its use
+/- Broad dissemination of unclassified/unlimited STI
- DOE report literature is not fully leveraged
- Absence of uniform standards/procedures
- Stove-piped organizations (absence of collaboration)
- DOE's process for life-cycle management of STI is not uniform across the Department
- STI quality assurance management is not uniform across the Department
- DOE resistance to change
- Electronic access to unclassified STI with attendant capability of combining information may result in development of sensitive information
External Opportunities and Threats
+ Recognition of information age
+ Increased worldwide demand for energy
+ Increased worldwide demand for technology
+ Basic and applied research to promote economic competitiveness
+ Easily accessible STI improves policy-making decisions and decision-making process
+/- Congressional support
- Decreasing budget
- Increased competition for federal dollars
- Lack of public trust and understanding
- Information glut

Planning Assumptions

Strategic planning offers a number of benefits for the Scientific and Technical Information Program and its partners and stakeholders. Planning also allows the community to address mutual needs or concerns through a collective, shared process. The following summarizes the areas which will be benefitted by the outcome of this plan (i.e., by goal strategies and related activities conducted subsequent to the plan):

DOE Efficiencies will result (dollars saved):

- Information access & delivery
- The right information
- Common information architecture
- More productive time spent in doing R&D

Customer Base for DOE STI:

- DOE Researchers and Program Managers
- Scientific Community
- Information Intermediaries
- U.S. Businesses and Public

Government/Contractor Collaboration:

Best business practices will be explored and implemented collectively, such as: Metadata standards, electronic exchange formats, STI deliverable tracking

Findings of the recent Inspector General's audit of the Department's STI process:

- An effective mechanism is needed to identify, collect, and disseminate STI for M&Os.
- DOE should ensure that information is managed over its life-cycle.
- A quality assurance process should be established for information deliverables.

Overall assessment:

IG Assessment: A higher priority should be placed on scientific and technical information.
Deputy Secretary Assessment: STI is a key deliverable of the Department's R&D.

Vision

Mission

Goals and Strategies

II. Goals, Strategies, and Measures

The strategic goals identified in the following text complement the existing STI Program policies and foundational principles and provide the framework for moving processes into a new information management paradigm based on technologies of the Information Age.

Note: The strategies and measures associated with each of the goals were identified by the respective goal teams and, as a whole, consensus was reached on these by all the participants. However, a number of the individual milestones and target dates will likely change as more detailed analysis and planning for implementation is accomplished by the working groups and activities are logically sequenced. Therefore, dates are somewhat less important than the fact that the activities are identified in this plan.

Goal 1: Provide DOE customers with convenient, timely and appropriate access to STI in a form they can use to accomplish their mission.

Strategy 1: Move from a paper-based centralized repository to a cost-effective, distributed electronic access system (virtual library) that allows flexible access to publicly available STI libraries

Measurement a: By 3/98, develop the transition plan
Measurement b: By 6/98, multi-site pilot demonstrating integrated electronic access
Measurement c: By 2000, the Department's newly created publicly available STI will be accessible electronically

Strategy 2: Utilize existing site-hosted electronic libraries

Measurement a: By 10/97, inventory of what exists, what's planned, and what's needed
Measurement b: By 3/98, provide home page links
Measurement c: By 6/98, evaluate opportunities and create a plan for enhanced utilization

Strategy 3: Enhance access to legacy STI

Measurement a: By 6/98, department-wide plan for cost-effective access to STI legacy documents will be developed

Strategy 4: Ensure timely availability of STI material

Measurement a: By 3/98, develop guidelines for the timely release of STI

Goal 2: Establish collaborative relationships to support the Department's Scientific and Technical Information Program

Strategy 1: Establish a Scientific and Technical Information Coordinating Group (STICG) to identify, prioritize and suggest ways to resolve complex-wide issues, e.g., management support funding issues, advocacy, journals, authority (STICG will be comprised of Program Office representatives, a rotating Field representation, a rotating Lab representative and chaired by OSTI)

Measurement a: STICG established by 12/31/97

Strategy 2: Identify incentives/disincentives to collaboration and develop or enhance incentives/minimize disincentives

Measurement a: Plan and coordinate analysis 3/31/98
Measurement b: Proposed action plans developed 12/31/98

Strategy 3: Identify and publicize successful collaborations and expand to complex where feasible (e.g., the Collaborative Management Environment (CME))

Measurement a: Develop and publicize a list of successful collaborations by 9/30/97
Measurement b: Increase number of successful collaborations by 20% annually

Strategy 4: Educate users/providers on value added by STI processes.

Measurement a: Develop information package on "what's in STIP for me" by end FY 98.

Strategy 5: Enhance communications

Measurement a: Increase number of means, expand distribution, measure awareness
Measurement b: Communications strategy developed for each STIP initiative

Goal 3: Promote use of best business practices to ensure effective life-cycle management of STI.

Strategy 1: Define best business practices for each of the components (as defined in the Order) of STI life-cycle management.

Measurement a: By mid FY 98, identify best business practices of the DOE community, other federal agencies (e.g., DTIC, NASA, NTIS), industry, and academia, using tools, such as benchmarking and surveys.

Measurement b: By mid FY 98, best business practices are defined to enable prudent diversity and achieve outcomes including:

• Economic outcomes: reduced costs, increased productivity, work taken out, increased cost effectiveness
• Records outcomes: ensuring accessibility to historical information
• Delivery outcomes: use technology, timely access, distributed searching, system agility.

Strategy 2: Identify common barriers to implementing best business practices.

Measurement a: By the end of FY 98, legal, funding, cultural, technology obsolescence, and other barriers to the implementation of best business practices will be identified.

Strategy 3: Select and prioritize best business practices.

Measurement a: By mid FY 99, best business practices will be selected and prioritized considering barriers and the expected criteria.

Strategy 4: Develop marketing plan for best business practices.

Measurement a: By mid FY 99, a marketing plan, including awareness, motivation, understanding, training, sharing of success stories, use of pilots, etc., will be developed.

Strategy 5: Implement marketing plan, focused on DOE community

Measurement a: By the end of FY 99, the marketing plan will be implemented across the DOE complex.

Strategy 6: Measure the degree to which best business practices have been adopted or planned.

Measurement a: By mid FY 98, document a process to ensure that best business practices identified for possible implementation are state of the art practices which allow for prudent diversity and recognize that this process is circular, with process reentry points through any of the goal strategies.
Measurement b: By the end of FY 2000, determine applicability of best business practices identified.
Measurement c: By end of FY 2000, understand why best business practices were successful or not.

Goal 4: Establish customer-driven STIP products and services.

Strategy 1: Support reasonable heterogeneity in STI formats to support customer preference.

Measurement a: By 1998 multiple formats will be acceptable.

Strategy 2: Select user-friendly search tools.

Measurement a: By 1999 the ability to conduct distributed queries of the full spectrum of STI.
Measurement b: By mid-1998 pilot a search tool for distributed searching.

Strategy 3: Enhance usefulness of DOE research.

Measurement a: By 1998 define a standard to categorize reliability of DOE STI.
Measurement b: By 1998 provide a system for linkages to reviews and other commentaries, e.g., STIP chat room, editorials, etc.

Strategy 4: Enhance visibility of DOE research.

Measurement a: By 1998 issue a plan to link DOE STI with major national and international sources.

Strategy 5: Establish STI performance measures.

Measurement a: By 1998 identify barriers to ease of use.
Measurement b: By 1998 determine user expectations and measure performance against those expectations

Strategy 6:  Establish a mechanism for gathering and sharing DOE complex-wide customer feedback.

Measurement a: By mid 1998 have a pilot in place to begin to gather and share this information.

Strategy 7: Identify STI program benefits to the customer.

Measurement a: By beginning of 1998 communicate the STI program plan including benefits and available resources.

III. Organizational Infrastructure

To effectively implement a Strategic Plan, it is essential that an organizational infrastructure which clearly identifies roles and responsibilities exist. The following STIP Roles and Responsibilities Matrix represents STI participant agreement.

*ORGANIZATIONS/ROLES: STICG = Scientific and Technical Information Coordinating Group; TIO = Technical Information Officers; POC = Contractor Points of Contact for STI; OSTI = Office of Scientific and Technical Information, the DOE office with responsibility for coordinating the STIP.

RESPONSIBILITIES: P = Primary, having lead responsibility relative to STIP; S = Supportive, providing assistance or support in fulfilling task or responsibility; I = Informational, communicating and/or coordinating with other program activities or resources that have a relationship to or potential impact on STIP.

IV. Next Steps

The outcome of the Strategic Planning Session included not only consensus on Departmental STI Goals, Strategies and Measures needed to accomplish the Goals, but also agreement to participate in the activities associated with the Goal Strategies.

OSTI committed to kicking off the initial Goal meetings where Strategy leadership and work group areas would be determined.

In priority order, the following activities have been identified as key to the implementation of STIP strategies:

• Formation of the Scientific and Technical Information Coordinating Group.

• Further development of Goal Strategies and work group identification.

• DOE adoption of STIP Strategic Plan.

• Work group planning and integration.

• Incorporation of STIP into DOE Program planning.

• Work group plan execution.

Appendix A

STIP Participants

Departmental Scientific and Technical Information
Program Planning/Stakeholders Meeting
Attendance List

June 24-26, 1997

Participants in the Plan development came from across the Departmental complex to collaborate equally on the goals, strategies, and measures.

ATTENDEES

Appendix B

Goal Working Groups

Attendees of the Strategic Planning session agreed that working groups or teams would be established to collaborate further on activities in support of the agreed-upon goals and strategies, thereby ensuring that the plan would serve its purpose. The following lists the groups and those attendees who indicated participation in the working groups by their sites.

Goal 1 Working Group

Goal 2 Working Group

Goal 3 Working Group

Goal 4 Working Group

Appendix C

Planning Relationships

Appendix D

Definition of Scientific and Technical Information

Scientific and Technical Information as defined in DOE O 1430.1D:

Information in any format or medium which is derived from scientific and technical studies, work, or investigations which relate to research, development, demonstration, and other specialized areas such as environmental and health protection and waste management. Classified, declassified, and sensitive information is included in the scope of the definition. The primary points of origination of DOE-funded scientific and technical information are management and operating contractors, direct DOE-executed prime procurements, and DOE-operated research activities.

Additional guidance regarding formats and types of information/media is provided in DOE G 1430.1D-1, Guide to the Management of Scientific and Technical Information.