SUBJECT: SCIENTIFIC AND TECHNICAL INFORMATION MANAGEMENT
1. OBJECTIVE. To establish Department of Energy (DOE) requirements
and responsibilities to ensure that scientific and technical information
(STI) is identified, processed, disseminated, and preserved in a manner
that (a) enables the scientific community and the public to locate and
use the unclassified and unlimited STI resulting from DOE's research and
related endeavors and (b) ensures access to classified and sensitive
unclassified STI is protected according to legal or Departmental
requirements.
2. CANCELLATIONS. DOE O 241.1, Scientific and Technical Information
Management, dated 8-17-98 is canceled. Cancellation of the above Order
does not, by itself, modify or otherwise affect any contractual
obligation to comply with the Order. Canceled Orders that are
incorporated by reference in a contract remain in effect until the
contract is modified to delete the reference to the requirements in the
canceled Orders.
3. APPLICABILITY.
a. DOE Elements. |
This Order applies to all DOE
elements, including those within the National Nuclear Security
Administration (NNSA). |
b. Contractors |
This Order applies to all DOE
elements, including those within the National Nuclear Security
Administration (NNSA). The Contractor Requirements Document (CRD)
(see Attachment 1) sets forth the requirements to be applied to
all major facilities management contracts (i.e., management and
operating contracts, management and integration contracts, or
environmental restoration management contracts) resulting in the
generation of STI. Compliance with the CRD will be required to
the extent set forth in the contract. Regardless of the
performer of the work, contractors are responsible for
compliance with the requirements of this Order to the extent set
forth in the contract. Contractors are responsible for applying
the requirements of this Order to subcontracts at any tier to
the extent necessary to ensure the contractors' compliance with
the requirements. |
c. Exclusions. |
None. |
4. REQUIREMENTS.
a |
DOE will make STI broadly
available, within applicable laws and Departmental requirements,
to accomplish mission objectives and strategic goals, promote
scientific advancement, satisfy statutory protection and public
dissemination requirements, and ensure a fair return on
Departmental and taxpayer investment. |
b |
DOE programs that fund activities
that generate STI must emphasize it as a key outcome and use a
"best business practices" approach to life-cycle
information management to ensure that STI products are planned,
budgeted, produced, processed, disseminated, stored, and
disposed of (if appropriate) in cost-effective ways that enable
full use of such information by all customer segments, including
the research and development community, U.S. industry, and the
general public. |
c |
Each DOE element covered under this
directive must have a formal STI point of contact (e.g., a
technical information officer) to participate in the development
and implementation of DOE's Scientific and Technical Information
Program (STIP). |
d |
The Scientific and Technical
Information Coordinating Group (STICG) will serve as an advisory
body concerning cross-cutting STI issues. The STICG will be
comprised of representatives of Headquarters' elements that
either fund research or set policies and practices affecting STI
and representatives from the field and contractors. |
e |
DOE programs must ensure that STI,
including scientific and technical computer software, is
reviewed as appropriate for sensitivity (including
nonproliferation, national security, export control) and that
appropriate announcement and availability restrictions are
applied in accordance with statutory and/or other Departmental
requirements. |
f |
DOE programs must conduct formal
STI performance reviews as appropriate as part of their program
performance review process. |
g |
DOE will use best business
practices to facilitate cost-effective management and
availability of DOE's STI. |
h |
DOE's central STI coordinating
office will manage an international STI exchange activity to
ensure U.S. access to international scientific and technical
advances and market information. |
i |
All DOE elements must make the
results of scientific and technical endeavors broadly available
in useful and acceptable electronic formats, including
announcing such STI results to the central coordinating office.
j. Departmental elements must share STI within the Department to
optimize resources, minimize costly duplication, and ensure
maximum program advancement. |
j |
Departmental elements must share
STI within the Department to optimize resources, minimize costly
duplication, and ensure maximum program advancement. |
k |
DOE's central STI coordinating
office will support program-specific STI management efforts by
offering certain special support services upon request to DOE
organizations that provide funding to cover incremental costs of
the requested service(s). |
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5. RESPONSIBILITIES.
- a. Director, Office of Science, through the Office of
Scientific and Technical Information (OSTI).
- (1) Coordinates with stakeholders and establishes STI
requirements and responsibilities that ensure optimal
availability of Departmental STI to the varied customer
segments, within applicable laws and Departmental requirements.
- (2) Serves as the central Departmental STI coordinating office
and as the ultimate DOE repository for DOE's STI.
- b. Heads of Departmental Elements, including those within the NNSA.
- (1) Ensure that the objective and requirements of this Order
are incorporated into their program planning, management,
contract administration, and performance- based management
activities.
- (2) Instruct initiators of procurement requests for major
facilities management contracts to specify whether the CRD for
this Order applies in the award resulting from the procurement
request and any special instructions for applying the CRD.
- (3) Instruct initiators of procurement requests for non-major
facilities management contracts to specify the required
scientific and technical deliverables, the form of delivery, and
the requirement for the accompanying "Announcement of DOE
Scientific and Technical Information" record in the
statement of work or the reporting requirements checklist.
- (4) Instruct initiators of procurement requests for financial
assistance instruments to specify the required scientific and
technical deliverables, the form of delivery, and the
requirement for the accompanying "Announcement of DOE
Scientific and Technical Information" record on the Federal
Assistance Reporting Checklist.
- c. The Office of Procurement and Assistance Management.
- (1) Issues guidance on including performance objectives and
measures for STI in performance-based research and development
contracts.
- (2) Issues guidance for financial assistance awards that
addresses the identification and delivery of STI products.
- d. Heads of Contracting Activities.
- (1) Ensure that the CRD for this Order is applied to existing
major facilities management contracts to the extent set forth in
the contract and relevant new major facilities management
contracts.
- (2) Ensure that performance measures for STI management are
included in performance-based research and development
contracts, as appropriate.
- (3) Ensure that non-major facilities management contractors
and financial assistance recipients provide to DOE the
announcement record and the scientific and technical
deliverables specified in the award.
- (4) Ensure that contractors and financial assistance
recipients under their cognizance complete the announcement
record and that the record and the scientific and technical
report or product are provided to OSTI.
- e. Deputy Administrator for Naval Reactors. In accordance with the
responsibilities and authorities assigned by Executive Order 12344
(as in force under 50 U.S.C. 2406) and to ensure consistency
throughout the joint Navy/DOE organization of the Naval Nuclear
Propulsion Program, implement and oversee all requirements and
practices pertaining to this DOE Order for activities under the
Deputy Administrator's cognizance.
6. CONTACT.
Questions or requests for exceptions to the provisions of this Order
may be referred to OSTI in Oak Ridge, Tennessee, at 865-576-1035. DOE G
241.1-1, Guide to the Management of Scientific and Technical
Information, provides nonmandatory guidelines for implementing the
requirements and responsibilities of this Order.
7. REFERENCES.
The following selected statutory references provide authority for the
Department's scientific and technical information management program:
- a. Atomic Energy Act of 1954 (P.L. 83-703) established a program
for the dissemination of unclassified scientific and technical
information (42 U.S.C. Sec. 2013, 2051, and 2161).
- b. Energy Reorganization Act of 1974 (P.L. 93-438) provides
responsibilities for developing, collecting, distributing, and
making scientific and technical information available for
distribution (42 U.S.C. Sec. 5813, 5817).
- c. Department of Energy Organization Act of 1977 (P.L. 95-91)
provides for maintaining a central source of information and
disseminating information (42 U.S.C. Sec. 5916, 7112).
8. DEFINITIONS.
a. Scientific and Technical Information. |
Useful information products, in any
format or medium, that are 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. STI
products may be unclassified unlimited, sensitive unclassified,
export controlled, classified, or declassified. DOE-funded STI
originates primarily from research and other activities
performed by major facilities management contractors, direct
DOE-executed prime procurements, DOE-operated research
activities, and financial assistance recipients, in addition to
DOE employees. |
b. Announcement Record. |
Record containing metadata used to
describe an STI product for announcement and availability. The
record is transmitted to OSTI for general announcement. |
Definitions for other STI management terms used throughout this Order
can be found in Attachment 3 of DOE G 241.1-1, Guide to the Management
of Scientific and Technical Information.
SPENCER ABRAHAM
Secretary of Energy
CONTRACTOR REQUIREMENTS DOCUMENT
DOE O
241.1A, SCIENTIFIC AND TECHNICAL INFORMATION MANAGEMENT
In the
performance of Department of Energy (DOE) contracted obligations, each
contractor is required to manage scientific and technical information (STI)
created or obtained under the contract as a direct and integral part of
the work and ensure its broad availability to all customer segments. STI
is used to satisfy DOE statutory dissemination requirements, promote
scientific advancement, and ensure a fair return on DOE and taxpayer
investment. Major facilities management contractors must accomplish the
following.
- Appoint a single STI point of contact to represent their
organization in implementing DOE's STI Program (STIP).
- Make available
to DOE's Office of Scientific and Technical Information (OSTI) useful
STI products (including scientific and technical computer software)
resulting from scientific and technical endeavors. Each product (whether
sent to OSTI or available at the contractor site) must be in an
acceptable electronic format and include an electronic announcement
record (as described in DOE G 241.1-1, Guide to the Management of
Scientific and Technical Information). Such products include STI funded
by DOE; developed under work for others and cooperative research and
development agreements (unless specifically excluded in the agreement
under which the work is done); and received in the conduct of DOE
business, whether unclassified, sensitive, or classified.
- Use best
business practices in managing DOE's STI. Nonmandatory guidance on best
business practices as identified by the DOE and contractor STI community
is available in DOE G 241.1-1.
- Determine appropriate release by
reviewing STI generated under the contract, as appropriate, and applying
any statutory or program-driven announcement and/or availability
restrictions, including those related to nonproliferation, national
security, and export control.
- Notify OSTI when making substantive
changes to STI previously announced or when permanently removing STI
from Web access, in order to ensure continued availability through OSTI.
- Apply the requirements of this Order to subcontracts at any tier to
the extent necessary to ensure the contractors' compliance with the
requirements.
NOTE: An implementation guide, DOE G 241.1-1, Guide to the
Management of Scientific and Technical Information, is available for
assistance in implementing the requirements of this Contractor
Requirements Document. The guidelines for implementation are based on
best business practices that are developed and revised in coordination
with the DOE and contractor STI community and are illustrated throughout
the DOE G 241.1-1.
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