U.S. Department of Energy
Scientific and Technical Information Program

The AN 241.1 is required for providing most of DOE's scientific and technical information (STI) to OSTI. It announces non-classified STI products with the exception of datasets (AN 241.6), DOE CODE, or software (AN 241.4).  The information provided by the AN 241.1 ensures proper handling, announceme...nt, and dissemination in accordance with DOE statutory responsibilities. There are basic requirements for metadata fields; however, other optional/non-mandatory data fields should be included in the AN when possible. AN 241.1 in E-Link (link is external) allows manual entry of metadata to create a single record at a time.  DOE Laboratories also have the option of submitting via API.241.1 Web Services (API) InstructionsRequired Metadata ElementsSite CodeSTI Product TypeTypeJournal NameSTI Product TitleAuthor(s) and Contributor(s)Report/Product Number(s)DOE Contract Number(s)DOE Contract Number(s)Originating Research Organization (link is external)Publication/Issue Date or Publication/Issue YearSponsoring Organization(s) (link is external)Media/Format InformationReleasing OfficialOptional Metadata ElementsDescription/AbstractDigital Object IdentifierOther Identifying Number(s)R&D Project ID(s)Related Document InformationSubject Categories and Keywords (link is external)Work Authorization NumberWork Proposal NumberSubmitter ResponsibilitiesDO NOT encrypt or password-protect STI products.DO inform OSTI when permanently removing STI from your site's publicly accessible server.  DO inform OSTI when your site's publicly accessible server, hosting STI products, changes.DO update E-Link metadata when access limitations change for STI products.DO replace full-text STI via E-Link upload for STI products as appropriate.

Figure 277689: Sample Cover - Unclassified Unlimited Distribution Sample Cover - Unclassified Unlimited Distribution Sample cover image.Describes the following,Unique product number/report number -at top right cornerProduct/report title -centered on pageType of pro...duct/report -centeredReporting period -centeredDate of issuance or publication date -centeredLead author's/principal investigator's name and organization -centered -close to bottom of the page Sample Cover - Unclassified Unlimited Distribution-1.jpg Printer-friendly version Fig.277689. Sample Cover - Unclassified Unlimited DistributionFigure 277690: Sample Cover - Distribution Limited - Patent Caution Sample Cover - Distribution Limited - Patent Caution Sample cover image.Describes the following,Unique product number/report number -at top right cornerProduct/report title -centered on pageType of product/report -centeredReporting period -centeredDate of issuance or publication date -centeredSpecial handling and access restrictions markings -left aligned on page with border around text descriptionLead author's/principal investigator's name and organization -centered -close to bottom of the page Sample Cover - Distribution Limited - Patent Caution_0-1.jpg Printer-friendly version Fig.277690. Sample Cover - Distribution Limited - Patent CautionFigure 277691: Sample Title Page- Unclassified Unlimited Distribution Sample Title Page- Unclassified Unlimited Distribution Sample cover image.Describes the following,Unique product number/report number -at top right cornerProduct/report title -centered on pageType of product/report -centeredReporting period -centeredDate of issuance or publication date -centeredLead author's/principal investigator's name and organization -centeredSponsoring DOE organization - centered -close to bottom of the pageContract/financial number -centered -below sponsoring doe organization text Sample Title Page- Unclassified Unlimited Distribution-1.jpg Printer-friendly version Fig.277691. Sample Title Page- Unclassified Unlimited DistributionFigure 277692: Sample Title Page - Distribution Limited - Patent Caution Sample Title Page - Distribution Limited - Patent Caution Sample cover image.Describes the following,Unique product number/report number -at top right cornerProduct/report title -centered on pageType of product/report -centeredReporting period -centeredDate of issuance or publication date -centeredLead author's/principal investigator's name and organization -centeredSpecial handling and aceess restriction markings -left aligned on the pageSponsoring DOE organization -centered -close to bottom of the pageContract/financial number -centered -below sponsoring doe organization text Sample Title Page - Distribution Limited - Patent Caution-1.jpg Printer-friendly version Fig.277692. Sample Title Page - Distribution Limited - Patent Caution

Controlled Unclassified Information (CUI) metadata and full text submitted to OSTI is only searchable through Science Research Connection (SRC), which is only accessible by approved DOE employees and contractors.  In SRC, a request to view the full text can be submitted for approval and the document... will be made accessible through SRC, to the requester only, when a valid need-to-know is submitted and all access requirements are met.

Full text of STI records submitted to OSTI are kept as permanent records. OSTI then holds responsibility for the record per governmental and NARA laws, regulations, and guidelines. Please note that if a submitter provides only metadata and URLs to full text, the submitter remains the record holder, ...not OSTI.

An author wishing to obtain an ORCID ID can simply visit the ORCID website (link is external) and apply. After answering basic questions, the author/researcher is then assigned a unique ORCID number. The process is free and fast. The ORCID number is 16 digits, such as 0000-0002-2235-1499. Note that ...there are no spaces in the character string.OSTI has modified the E-Link processing system and Announcement Notices (AN) to allow DOE sites to include researchers' ORCIDs in their submitted records. The ORCID number will become part of the author information available to users for search and retrieval in DOE databases such as OSTI.GOV. The number will also travel with the author's name to products managed by OSTI such as Science.gov and World Wide Science.org.If you are a grantee, you may include your ORCID number as you fill out AN 241.3. The author section of the Announcement Notice asks for your last name, your first name, and your middle name or initial. Then, add your email address, your ORCID number, and your affiliation in the remaining author fields. If the ORCID number you enter is not in the correct format (0000-0000-0000-0000), the Announcement Notice will not allow you to use the "Submit" button. You will receive an error message instead so that you can re-enter the number correctly.If you are a DOE employee or contractor at a DOE site or Office, you should ensure that your ORCID number is given to the STI Manager or Technical Information Officer for your organization. He or she will put it into the site database that provides records to OSTI. That will allow your site to include your ORCID number whenever it submits to OSTI any scientific and technical information which you have authored or co-authored.For questions about ORCID numbers and how they are handled at OSTI, contact STIP@osti.gov.

STI Managers (STI Points of Contact at Nat'l Labs & Major Facilities) The role of STI Managers is to stay abreast of the requirements of DOE's STI Program and coordinate the implementation of STIP related requirements. They serve as the main STIP POC for their respective site/facility participating ...in various DOE STIP activities.  Normally, one STI Manager is appointed at each contractor site.  While roles and responsibilities may vary from site to site, depending on the specific language of DOE contracts, the STI activities of STI Managers generally are the same. Technical Information Officers (DOE Offices) Technical Information Officers (TIO) serve as the principal DOE Office POC and assistant to, and liaison with, the DOE OSTI, that serves as the Department's office charged with the Scientific and Technical Information Program (STIP).  The TIOs are to be familiar with the STI Programs within their DOE Office (given they have contracting financial assistance and/or acquisition activities) and for their major site/facility management contractor(s) STI Program to discern compliance with the DOE O 241.1B.  They must maintain an up-to-date knowledge-base of the STI Program activities and provide timely feedback on issues as they emerge.  While roles and responsibilities may differ, each major DOE element shall designate a TIO to perform STI-related activities... STI Releasing Officials Releasing Officials have responsibility for ensuring that STI has undergone appropriate sensitivity reviews and that subsequent recommendation to OSTI is made via established systems regarding release of STI in the public domain (i.e., unlimited announcement) or the application of DOE-approved access limitations, as well as other laws, policies, and schedules. Contract Officers and Contract Specialists (DOE Awarding Offices) A Contracting Officer is the DOE official authorized to execute awards on behalf of DOE and is responsible for the business management and non-program aspects of the financial assistance process.  They are responsible for ensuring that the receipt of required scientific/technical reporting deliverables as identified on DOE F 4600.2, Federal Assistance Reporting Checklist, and in the contract are monitored and provided to DOE/OSTI.

Information products deemed by the originator to be useful beyond the originating site... which contain findings and technological innovations resulting from research and development (R&D) efforts and scientific and technological work of scientists, researchers, and engineers, whether Federal employ...ee, contractor, or financial assistance recipient... Scientific findings are communicated through various media - e.g., textual, multimedia, audiovisual, and digital - and are produced in a range of products... DOE-funded STI originates primarily from research and other activities performed by site/facility management contractors, direct DOE-executed prime procurements, DOE-operated research activities, and financial assistance recipients, in addition to DOE employees.

Provides accountability and historical record for labs' & offices' R&D and technological activities through submission to OSTI.Ensures DOE's statutory mandates for STI management are met.Enhances transparency of DOE research by maintaining robust STI programs.Ensures appropriate announcement and ava...ilability restrictions are applied by the originating organization in accordance with statutory, regulatory, Executive order, and/or other Departmental requirements.Saves research dollars by reducing duplication and enabling reuse of previous research; i.e., building blocks for others.Extends the reach and impact of DOE's research as well as the research from each lab, site, office, and awardee.

Required through a DOE Directive, but is a collaborative partnership.Comprised of designated representatives from Headquarters Programs, DOE Operations & Field Offices, DOE Laboratories and technology centers, sites and facilities.Effectively manages the DOE-sponsored STI, therefore ensuring that U....S. citizens are realizing a maximum return on investment, while ensuring information is appropriately marked and managed in accordance with any statutory access limitations.Provides a framework for routine communication, coordination, and information exchange.

STI Products Produced by U.S. Government EmployeesWorks produced by U.S. Government employees as part of their official duties cannot be copyrighted (17 U.S.C. §105 (link is external)). Contractors, grantees and certain categories of people who work with the government are not considered government ...employees for purposes of copyright.A joint work is work prepared by two or more authors with the intention that their contributions be merged into inseparable or interdependent parts of a unitary whole. When the U.S. Government is joint author with a non-government entity on copyrightable work, the Government has the right to copy, distribute, and use the work. This notice affirming the status of the author(s) as Government employees should accompany the product.Some of the authors in this manuscript are employees of the U.S. Government.  This work was prepared as part of their official duties.  Title U.S.C. §105 provides that "Copyrighted protections under this title is not available for any work of the United States Government."STI Products Produced by Site/Facility Management ContractsIn general, site/facility management contracts provide for Government ownership and unlimited rights for the Government for all technical data first produced in the performance of the contract. One exception to the Government's unlimited rights is data for which the contractor has asserted copyright.For scientific and technical articles submitted to and published in journals, symposia proceedings, or similar works, the contractor can assert copyright without prior permission of DOE, but the Government is granted a non-exclusive, paid-up, irrevocable world-wide license to reproduce, prepare derivative works, distribute copies to the public, and perform publicly and display publicly, by or on behalf of the Government (broad license). The contractor is to mark each scientific or technical article first produced or composed under the contract and submitted for journal publication or similar means of dissemination with a notice, as prescribed in their contract, reflecting the Government's non-exclusive, paid-up, irrevocable world-wide license in the copyright.Notice: This manuscript has been authored by [insert the name of the Contractor] under Contract No. [insert the contract number] with the U.S. Department of Energy.  The United States Government retains and the publisher, by accepting the article for publication, acknowledges that the United States Government retains a non-exclusive, paid-up, irrevocable, world-wide license to publish or reproduce the published form of this manuscript, or allow other to do so, for United States Government purposes.Some sites provide OSTI with metadata for the final published version of the product while others send full-text copies. Even when the Government's rights have been established, it is preferable to send OSTI a copy of the accepted manuscript (i.e., pre-publication version) instead of reprints of the final published version that may have copyright restrictions. Access to published versions with copyright restrictions will be limited to DOE and DOE contractors through Science Research Connection (SRC).For other STI products created in the performance of the contract, such as technical reports, permission from DOE is required to establish and claim copyright.If permission is granted, the applicable copyright notice is affixed on the copyrighted data and acknowledgment of the Government sponsorship, and license rights. In these cases, the announcement notice should be marked with the distribution limitation Copyrighted Material with Restrictions.If permission to establish or claim copyright has not been requested or granted, no copyright marking is warranted and the document will have unlimited distribution. The announcement notice should be marked with the distribution limitation Unlimited Announcement.STI Products Produced by Financial Assistance RecipientsResearch, development, demonstration, and other scientific/technical awards should generally require periodic progress reports, special status reports, and a final scientific/technical report.  Progress and status reports are management reports which provide information on the project status.  These reports should not be sent to OSTI.  However, the final scientific/technical report is sent to OSTI.DOE adds appropriate patent and data provisions in all research, development, or demonstration, and other scientific/technical awards relative to protecting Government-funded data, resulting in either unlimited rights or broad government license in data delivered to DOE. In order to promote more uniformity in financial assistance patent and data rights requirements, DOE/HQ General Counsel and field Patent Counsels developed standard sets of intellectual property provisions for the various types of financial assistance awards.The Government is granted a royalty-free, non-exclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes -- the copyright in any work developed under a grant, subgrant, or contract under a grant or subgrant; and any rights of copyright to which a grantee, subgrantee or a contractor purchases ownership with grant support.Theses/DissertationsFor graduate theses, dissertations, and the original of related unclassified scientific papers for which DOE has sponsored the work, DOE retains the right to use the scientific and technical information for any purpose whatsoever without any claim on the part of the author or the contractor for additional compensation.  The author's copyright notice may be applied to the document.  A copy of the graduate theses, dissertations, and the original of related unclassified scientific papers are sent to OSTI.SoftwareSoftware, for which the originating site HAS asserted copyright, is not publicly disseminated but is available to DOE contractors and other government organizations in accordance with the terms of the developer's contract with DOE.  Requests for copyrighted software from those other than DOE contractors or governmental entities are referred by OSTI to the copyright holder for licensing. Software on which the originating site has NOT asserted copyright is available to the public, subject to the license agreement. Such software may also be available from the originating site according to its procedures.Incorporating Copyrighted Material into STI ProductsMost contractors have standard procedures that their researchers are not to include third-party copyrighted material within their STI products.  If such material (e.g., a chart or illustration) is included, release should be obtained from the copyright holder.  The permission should state the scope of the release or permission to reproduce, distribute, prepare derivative works, display, or perform publicly so that access and availability can be accurately provided in the Announcement Notice (AN 241.1 or AN 241.3).  The STI product originator should maintain all documentation related to getting permission from the copyright owner or authorized representative at the originating site.For products for which permission has been obtained, the announcement notice should be marked with the distribution limitation Unlimited Announcement.If the publisher permits use with restrictions, the announcement notice should be marked with the distribution limitation Copyrighted Material with Restrictions. In addition, the type of restriction should be specified in the "Other Information" announcement data field if submitting on an AN 241.1 form.Authors should acknowledge any copyrighted material and permission in the text (e.g. "Copyrighted (name of owner), used with permission").Derivative WorksDerivative works are those based on one or more already existing works, This includes any work in which the editorial revisions, annotations, elaborations, or other modifications, including translations, represent, as a whole, an original work of authorship.Only the original author or copyright holder has the right to prepare derivative works or to authorize someone else to create a new version of that work. Seek permission from the original author or copyright holder before preparing derivative works, or consult with your local General Counsel's office.Copyright (Other)If the U.S. Government has been granted authority to reproduce, sell, distribute, or otherwise make the STI product available by virtue of contract language or otherwise, the following statement should appear on the cover or title page: The U.S. Government is authorized to reproduce, sell, distribute, or otherwise make available this copyrighted work.  Permission for exercise by the recipient of the exclusive right mentioned in 17 U.S.C. 106 must be obtained from the copyright owner.