DOE O 1430.1D, Scientific and Technical Information Management
Functional areas: Administrative Support and Services
Cancels DOE O 1430.1C, DOE O 1430.2B, DOE O 1430.3A, DOE O 1360.4B.
Supersedes:
DOE O 1360.4B, Scientific and Technical Computer Software on Jun 30, 1994
Superseded By:
DOE O 241.1, Scientific and Technical Information Management on Aug 17, 1998
Version history and related documents
Superseded by
A newer version replaces this document.
- DOE O 241.1Scientific and Technical Information Management (Aug 17, 1998)
Supersedes
Earlier documents this one replaced.
Document text
Text extracted from the attached file. Refer to the original document for the authoritative version.
Section 1
DOE 1430.1D
6-30-94
SUBJECT: SCIENTIFIC AND TECHNICAL INFORMATION MANAGEMENT
1. PURPOSE. To establish Department of Energy (DOE) policy and
requirements to ensure the integration of scientific and technical
information management into applicable Departmental programs and
activities.
2. CANCELLATIONS. DOE 1430.1C, MANAGEMENT OF SCIENTIFIC AND TECHNICAL
INFORMATION, of 2-27-92; DOE 1430.2B, SCIENTIFIC AND TECHNICAL
INFORMATION MANAGEMENT PROGRAM, of 2-25-93; DOE 1430.3A, POLICY FOR THE
DISSEMINATION OF AND ACCESS TO DEPARTMENTAL UNCLASSIFIED SCIENTIFIC AND
TECHNICAL INFORMATION, of 2-27-92; and DOE 1360.4B, SCIENTIFIC AND
TECHNICAL COMPUTER SOFTWARE, of 12-31-91.
3. APPLICABILITY.
a. DOE Elements. This Directive is applicable to all DOE elements.
b. Contractors. Attachment II sets forth requirements that are to be
applied by the cognizant DOE element to the universe of contractors
awarded DOE procurement contracts, financial assistance, and
subawards thereunder which involve the generation of scientific and
technical information. This includes Work for Others unless
specifically excluded in the agreement under which the work is
performed.
4. AUTHORITY/BACKGROUND. The Atomic Energy Act of 1954, as amended,
requires DOE to disseminate its scientific and technical information to
promote scientific progress and public understanding. Public Law 95-91
of 1977, Department of Energy Organization Act, requires dissemination
of information resulting from DOE's research and development programs.
Other laws including the Energy Policy Act of 1992 and the Stevenson-
Wydler Technology Innovation Act of 1980, and intra-governmental,
domestic, and international information exchange agreements, also
require the Department to make its information available. The laws
listed above including the Freedom of Information Act of 1974, the
National Competitiveness Technology Transfer Act of 1989, and others
also place some limits on the dissemination of scientific and technical
information for which the unauthorized release would be detrimental to
national interests. This directive provides the overall DOE policy and
requirements within which these mandates will be met.
DOE 1430.1D 2
6-30-94
5. POLICY AND OBJECTIVES.
a. Policy. In order to achieve DOE missions, scientific and technical
information generated and acquired by the Department will be made
broadly available to all appropriate customers, within applicable
law and Departmental requirements, using the most cost-effective
and easily accessible mechanisms.
b. Objectives.
(1) To facilitate the creation and use of scientific and
technical information products and services that further the
Department's program objectives while promoting a more
productive and competitive economy, improved environmental
quality, a secure national defense, and enhanced education
and scientific research.
(2) To optimize the availability of the Department's scientific
and technical information to all appropriate customers
including U.S. industry and the general public.
(3) To optimize the use and benefit of new and existing
scientific and technical information resources through
integration with Departmental program activities.
(4) To maximize the sharing of scientific and technical
information among DOE elements and contractors to help ensure
maximum program advancement and optimal use of resources.
6. REQUIREMENTS. The following are requirements imposed by this directive:
Section 2
a. Departmental programs funding the creation of scientific and
technical information must follow life-cycle information management
practices to ensure that the information is planned for, budgeted,
produced, processed, disseminated, and stored in cost-effective
ways to ensure its maximum utilization by all customer segments
including U.S. industry and the general public.
b. Scientific and technical information must be made broadly available
within and outside the Department consistent with technology
transfer, national security, statutory, and other Departmental
requirements. Under these authorities, information access review
and control mechanisms shall be provided for scientific and
technical information requiring a delayed or restricted
availability.
c. Each major DOE element covered under this directive shall have a
formal scientific and technical information point of contact, e.g.,
3 DOE 1430.1D
6-30-94
a Technical Information Officer, to participate in the development
and implementation of DOE's scientific and technical information
program.
d. The Headquarters' Scientific and Technical Information Coordinating
Group (STICG) shall serve as an advisory body concerning cross-
cutting scientific and technical information issues. Unless
otherwise indicated, Headquarters programs' STICG representatives
will also serve as their scientific and technical information
points of contact.
e. Formal scientific and technical information performance assessments
shall be conducted as appropriate as part of Program Reviews
sponsored by DOE Programs.
f. A central Departmental scientific and technical information
coordinating function shall be maintained with program
implementation becoming more decentralized as technologies,
standards, and procedures permit. The Discretionary Implementation
Guide reflects the increased focus on managing information at the
point of origin and utilizing cost-effective mechanisms for
dissemination.
g. All DOE elements shall report the results of completed scientific
and technical endeavors/projects to DOE's central point of
coordination in useful forms including recommended announcement and
availability instructions.
h. Established national and international information management
standards and Federal Information Processing Standards (FIPS) shall
be used to process DOE's scientific and technical information to
facilitate its cost-effective management and availability.
i. An international scientific and technical information exchange
activity shall be managed by the central coordinating function to
ensure U.S. access to international scientific and technical
advances and market information.
j. Scientific and technical computer software shall be managed to
optimize cost-effective Departmental, intra-governmental, and
public availability including mechanisms for the review of
sensitive foreign country requests for the software.
k. Scientific and technical information sharing among Departmental
Elements shall be optimized to ensure minimal costly duplication
and maximum program advancement.
l. Scientific and technical information shall be produced or used in a
"best business practices" manner that optimizes availability of
useful information, encourages sharing of information resources
within the Department, minimizes unnecessary duplication of
scientific and technical information available elsewhere, and is
consistent with the value and useful life of the information.
Section 3
7. RESPONSIBILITIES.
a. Director, Office of Science Education and Technical Information,
through the Office of Scientific and Technical Information (OSTI),
is responsible for coordinating with stakeholders and establishing
scientific and technical information policy which ensures optimum
DOE 1430.1D 4
6-30-94
availability of Departmental scientific and technical information
to the varied customer segments within applicable law and
Departmental requirements.
b. Heads of Departmental Elements are responsible for ensuring that
the policy, objectives, and requirements of this directive are
incorporated into their program planning, management, contract
administration, and performance evaluation activities.
c. Heads of Field Elements are responsible for ensuring the policy and
objectives of this directive will be included in strategic plans,
institutional plans, and program guidance, and performance measures
are identified for contracts, grants, cooperative agreements, and
Cooperative Research and Development Agreements under their
purview. Additionally, field elements are responsible for cross-
program institutional management to ensure scientific and technical
information products and services funded through their office are
optimally available based on an assessment of the needs of their
various customer audiences.
d. Initiators of Procurement Requests are responsible for identifying
in procurement requests if the requirements in the contractor
requirements document for this directive are to be applied to the
award or subawards resulting from the procurement request.
8. IMPLEMENTATION GUIDANCE. This directive contains a minimum number of
requirements with guidelines being contained in a Discretionary
Implementation Guide. Because the Department has an existing technical
information program in place, the directive will be effective
immediately upon formal issuance.
9. ASSISTANCE. Questions concerning this directive may be referred to the
Office of Scientific and Technical Information in Oak Ridge, Tennessee,
on (615) 576-1194.
10. DEFINITIONS AND REFERENCES. See Attachment 1.
BY ORDER OF THE SECRETARY OF ENERGY:
ARCHER L. DURHAM
Assistant Secretary for
Human Resources and Administration
DEFINITIONS
1. Scientific and Technical Information - 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.
2. Office of Scientific and Technical Information (OSTI) - The DOE Office
of Scientific and Technical Information provides the central point of
coordination for the Department's scientific and technical information
program. While scientific and technical information is primarily
generated and managed at DOE field and contractor sites, the OSTI
facility has traditionally served as the central point of customer
access to DOE's scientific and technical information resource.
DOE 1430.1D Attachment 1
6-30-94 Page 2
Section 4
3. Departmental Elements - First tier organizations at Headquarters and in
the field. Field elements include operations offices, field support
offices, energy technology centers, and power marketing administrations.
4. Life-Cycle Information Management - Life-cycle information management
indicates that information resources need to be managed as long as they
are useful. The activities involved include planning, coordinating,
budgeting, organizing, protecting, delivering, storing, and disposition.
REFERENCES
1. Department of Energy Organization Act of 1977 (P.L. 95-91) - Title I,
Section 102, requires DOE to disseminate the information resulting from
its research and development programs.
2. Atomic Energy Act of 1954, as amended, 42 United States Code (U.S.C.)
2161 - Establishes the overall requirement that DOE disseminate its
scientific and technical information to promote scientific and
industrial progress and public understanding.
3. Energy Policy Act of 1992 (P.L. 102-486) - Requires the accelerated
transition of technologies and protection of information resulting from
research, development, demonstration, and commercial application
activities.
Attachment 1 DOE 1430.1D
Page 3 6-30-94
4. Stevenson-Wydler Technology Innovation Act of 1980 (P.L. 96-480) -
Establishes technology transfer as a mission of the Federal Government
and requires dissemination of information to state and local Governments
and industry.
5. Scientific and Technical Information Discretionary Implementation Guide
- An Implementation Guide, Guide to the Management of Scientific and
Technical Information, provides guidelines for implementing the
requirements of this directive. Included in the Guide are the
procedures related to submitting and ordering scientific and technical
computer software and the procedures for managing scientific and
technical information contained in other medium. The Guide is developed
and revised in coordination with DOE and contractor stakeholders and
partners. The Guide is available by writing the Office of Scientific
and Technical Information, P.O. Box 62, Oak Ridge, Tennessee 37831, or
by calling (615) 576-1301; fax number (615) 576-2865.
6. OMB Circular A-130, Management of Federal Information Resources of June
1993 - Requires agencies to plan in an integrated manner for managing
information throughout its life cycle. The Circular recognizes that the
open and efficient exchange of scientific and technical Government
information fosters excellence in scientific research and effective use
of Federal research and development funds, and that the free flow of
information between the Government and the public is essential to a
democratic society.
7. Freedom of Information Act of 1974 (P.L. 93-502) Title V United States
Code (U.S.C.), as amended - Establishes guidelines and regulations for
exempting from public disclosure certain categories of information.
8. National Competitiveness Technology Transfer Act of 1989 (P.L. 101-189)
Title 15 United States Code (U.S.C.) 3701 - Promotes technology transfer
between Government-owned, contractor-operated laboratories and the
private sector, and establishes the authority for cooperative research
and development agreements.
Attachment 2 DOE 1430.1D
Page 1 6-30-94
CONTRACTOR REQUIREMENTS DOCUMENT
DOE 1430.1D, SCIENTIFIC AND TECHNICAL INFORMATION MANAGEMENT, of
6-30-94, requires that the following requirements be applied to the
universe of contractors awarded DOE procurement contracts, financial
assistance, and subawards thereunder which involve the generation of
scientific and technical information. This includes Work for Others as
defined in the directive.
Section 5
1. Scientific and technical information is both an input to and output
from DOE-funded work. Because the information is often the only
product of the DOE and taxpayer investment, efforts related to the
management and broad availability to all customer segments shall be
viewed as a direct and integral part of the work.
2. Accordingly, all contractors expending DOE resources to create
scientific and technical information have an obligation to ensure
that the information is managed in a manner consistent with the
Department's policy and objectives as defined in this directive.
3. Management and operating contractors shall manage the scientific
and technical information they produce or use in a "best business
practices" manner that optimizes availability of useful
information, encourages sharing of information resources within the
Department, minimizes unnecessary duplication of scientific and
technical information available elsewhere, and is consistent with
the value and useful life of the information. Additionally, the
management of scientific and technical information shall be
consistent with technology transfer, national security, statutory,
and other Departmental requirements, and under these authorities,
shall include information access review and control mechanisms for
information requiring a delayed or restricted availability.
4. Non-management and operating contractors creating scientific and
technical information with DOE funds shall deliver the information
to the Department's central point of coordination so it may be used
to promote scientific advancement and public well-being. No
contract shall be considered complete or closed until the Head of
the cognizant Departmental Element has ensured that the scientific
and technical information deliverables have been received and
managed in accordance with the policy and requirements of this
directive.
DOE 1430.1D Attachment 2
6-30-94 Page 2
5. Management and operating contractor requirements imposed by this
directive include the appointment of a scientific and technical
information point of contact, and reporting to DOE's central point
of coordination the results of completed scientific and technical
endeavors in useful forms including recommended announcement and
availability instructions. This includes Work for Others unless
specifically excluded in the agreement under which the work is
performed.
6. Scientific and technical computer software shall be managed to
optimize Departmental, intra-governmental, and public availability
including mechanisms for the review of sensitive foreign country
requests for the software.
7. National and international information management standards and
Federal Information Processing Standards (FIPS) shall be used to
process DOE's scientific and technical information to facilitate
its cost-effective management and availability.
8. A Discretionary Implementation Guide provides guidelines for
implementing the requirements of this directive. The guidelines
are developed and revised in coordination with DOE and contractor
stakeholders and partners.
Part I, Management Principles, Roles, and "Best-In-Class" Practices
Section 6
Table of Contents
1 Introduction
2 STI Management Policy and Objectives
2.1 Policy
2.2 Objectives
3 Procedure for Modifying Guide (Rev. 1, 04/30/95)
4 Recommended Management Practices
4.1 STI Management Single Point of Contact
4.2 Program and Project Information Management
4.3 Field Support to Program Accomplishment
4.4 Balancing Access with Control
4.5 Project/Program Closeouts or Transfers
5 Performance Measures
6 Management Tools
6.1 Integrated Technical Information System (ITIS)
6.1.1 Energy Science and Technology Database (EDB)
6.1.2 Report Holdings File (RHF)
6.1.3 Technical Information Monitoring System (TIMS)
6.1.4 CRADA Information Management System (CIMS)
6.1.5 Research in Progress (RIP) Database
6.2 Classified Energy Online (CLEO)
6.2.1 Classified Database (CDB)
7 Central Announcement and Dissemination/Access Services
7.1 Announcement Services
7.2 Dissemination/Access Services
7.2.1 Standard Distribution
7.2.2 Profile Distribution
7.2.3 Special Distribution
7.2.4 Information Request Services
7.2.5 Long-Term Availability of Information
Attachment I-A, Scientific and Technical Information Management Guide Review Board (Rev. 1,
04/30/96)
Part II, Processing Scientific and Technical Information Products for Centralized
Announcement/Dissemination
Table of Contents
1 Introduction
2 What Is Appropriate for Transfer?
2.1 Unclassified Unlimited Scientific and Technical Information Products
2.1.1 Technical Reports
2.1.2 Open Literature
2.1.3 Technical Conference Reporting
2.1.4 Engineering Materials
2.1.5 Patent Applications
2.2 Unclassified Sensitive Scientific and Technical Information Products
2.2.1 Patent Sensitivity
2.2.2 Protected CRADA Information
2.2.3 Unclassified Controlled Nuclear Information
2.2.4 Export Controlled Information
2.2.5 Small Business Innovation Research (SBIR)
2.2.6 Naval Nuclear Propulsion Information
2.2.7 Proprietary Data
2.2.8 Official Use Only Information
2.2.9 Applied Technology Information
2.2.10 Protected Battery Information
2.3 Classified Scientific and Technical Information Products
2.4 Declassified Scientific and Technical Information Products
2.5 Software
2.6 Research in Progress
3 Transmitting Research In Progress
3.1 Management and Operating (M&O) Contracts
3.2 Non-Management and Operating Contracts
3.2.1 New Awards
3.2.2 Contract Closeout or Termination
4 Transferring Scientific and Technical Information Products
4.1 Describing the Products
4.1.1 Award/Contract/Financial Number
4.1.2 Title
4.1.3 Author(s)
4.1.4 Abstract
4.1.5 Subject Terms
4.1.6 Type of Product
4.1.7 Dates Covered
4.1.8 Patent Information
4.1.9 Legal Disclaimers
4.1.10 Product/Report Number
4.1.10.1 Technical Reports
4.1.10.2 Special Report Series
4.1.10.3 Multiple Report Numbers
4.1.11 Funding Office(s)
4.1.12 Performing Organization Name and Address
4.1.13 Handling and Release of Information Products (Rev. 1, 09/30/97)
4.1.13.1 Unclassified Unlimited Products
4.1.13.2 Unclassified Products Containing Sensitive Information
4.1.13.3 Classified Information Products
4.1.13.4 Declassified Information Products
4.1.14 Distribution of Information Products
4.1.14.1 Distribution Categories
4.1.14.2 Types of Distribution
4.1.15 Releasing Information
4.2 Physical Form of the Information Product
4.2.1 Technical Reports
4.3 Miscellaneous Information
4.3.1 Use of the Department of Energy Seal
4.3.2 Company Names and Logos
Section 7
4.3.3 Measurement System
4.4 Reproduction
4.5 Reference Publications
5 Production and Exchange of Electronic Documents Using Standard Generalized Markup Language
5.1 Introduction
5.2 Assumptions
5.3 Standards-Based Implementation
5.4 Transition to Electronic Exchange
5.4.1 Current Exchange Environment
5.4.2 Managing Transition
5.4.3 Interim Document Formats
5.4.3.1 Standard Generalized Markup Languague
5.4.3.2 Hypertext Markup Language
5.4.3.3 PostScript
5.4.3.4 TIFF Group 4
5.4.3.5 Portable Document Format (PDF)
5.4.3.6 Other Formats
5.4.4 Future Exchange Technologies
5.5 References
6 Records Management--Program, Project, Task, or Study Record File
6.1 Defining a Program, Project, Task, or Study Record File
6.2 Contents of a Program, Project, Task, or Study Record File
6.3 Retention Guides
Attachment II-A, DOE F 1332.15, Recommendations for the Announcement and
Distribution of Department of Energy (DOE) Scientific and Technical Information (STI)
Attachment II-B, DOE F 1430.14, Information To Be Announced in Energy Conferences and
Symposia
Attachment II-C, DOE F 1332.1, Reporting Requirements Checklist
Attachment II-D, DOE F 4600.2, Federal Assistance Reporting Checklist
Attachment II-E, DOE F 1430.22, Notice of Energy RD&D Project
Attachment II-F, SF 298, Report Documentation Page
Attachment II-G, Distribution Limitation Statements for Use of Scientific and Technical
Information Documents (Rev. 1, 09/30/97)
Attachment II-H, Submitting Your Documents, Computer Products, and Audiovisuals to NTIS
Attachment II-I, Electronic Exchange Standards
Part III, Processing Software for Announcement/Dissemination Through the Energy
Science and Technology Software Center
Table of Contents
1 Introduction
1.1 Departmental Policy
1.2 Content
1.3 Foreign Dissemination
1.4 Data Rights
2 Responsibilities
2.1 ESTSC
2.2 NRC and NRC Contractors
2.3 DOE and DOE Contractors
2.3.1 Submission of Software Developed and/or Modified During Work Supported by DOE
2.3.2 Classification of Software
2.3.3 Distribution of Software
3 Software Submission Procedures
3.1 Procedures
3.1.1 Eligible Software Submissions
3.1.2 Software Package Submission Components
3.1.3 Explanation of Submission Requirements
3.2 Services Provided by ESTSC
3.2.1 Review
3.2.2 Announcement
3.2.3 Dissemination
3.2.4 Records Management of Software at ESTSC
3.3 Disclaimers for Software
3.3.1 DOE-Sponsored Software
3.3.2 NRC-Sponsored Software
3.4 License Agreements
3.4.1 ESTSC Software License (ESTSC F 17)
3.4.2 ESTSC NRC Computer Software Transmittal Release (ESTSC F 11)
Attachment III-A, ESTSC F 1, Software Submittal Form
Attachment III-B, ESTSC F 2, Computer Media Profile
Attachment III-C, Abstract Format Description
Attachment III-D, Sample Abstract Submittal
Attachment III-E, ESTSC F 17, ESTSC Software License
Attachment III-F, ESTSC F 11, NRC Computer Software Transmittal Release
1 Introduction
Numerous issues and activities impact the value of the scientific and technical information
developed with Departmental funding. Consideration of these issues is vital in meeting
many of the strategic and operational goals and objectives of the Department, including
the Contract Reform Initiative, which stresses performance measurement based on results
and "best-in-class" modeling. If the availability, use, and reuse of this information are to
be optimized, an integrated Department-wide approach is necessary.
Section 8
This Guide provides a summary of the policy and objectives contained in DOE Order
1430.1D, a procedure for the timely updating of Guides, recommended management
practices, and a summary of various applicable management tools and services. If we at
the Office of Scientific and Technical Information (ET-20) can assist you in implementing
Departmental policy, in meeting DOE Order 1430.1Dobjectives/requirements, or with
other information management needs, you are invited to contact us at (423) 576-8401 or
by electronic mail on the Internet at programs@adonis.osti.gov.
2 STI Management Policy and Objectives
2.1 Policy
In order to achieve Departmental missions, scientific and technical information generated
and acquired by the Department will be made broadly available to all customers, within
applicable laws and limitations, using the most cost-effective and easily accessible
mechanisms.
2.2 Objectives
1. To facilitate the creation and use of scientific and technical information products
and services that further the Department's program objectives while promoting a
more productive and competitive economy, improved environmental quality, a
secure national defense, and enhanced education and scientific research.
2. To optimize the availability of the Department's scientific and technical information
to all appropriate customers, including U.S. industry and the general public.
3. To optimize the use and benefit of new and existing scientific and technical
information resources through integration with Departmental program activities.
4. To maximize the sharing of scientific and technical information among DOE
Elements and contractors to help ensure maximum program advancement and
optimal use of resources.
3 Procedure for Modifying Guide (Rev. 1, 4/30/95)
A Guide Review Board with no more than eight members has been established to
represent stakeholders and to facilitate the timely updating of the Guide. The first board
was appointed by ET-20 and was selected from among those stakeholders participating in
the Order revision. Terms for each representative will vary from one to three years to
ensure continuity. The initial board members are listed in Attachment I-A along with the
terms to be served and a description of the stakeholder group each represents. Board
replacements will be selected during the Fall Technical Information Meeting and will
assume responsibility at the Spring Technical Information Meeting. This board will review
and comment on modification to the Guide. Changes approved by ET-20 will be
announced on the Internet immediately and scientific and technical information contacts
will be notified of the change. Changes will also be distributed through normal directives
channels annually.
4 Recommended Management Practices
Information in any format or medium that is derived from scientific and technical studies,
work, or investigations that relate to research, development, demonstration, and
nontraditional areas (such as environment and health protection and waste management),
including unclassified, classified, declassified, and sensitive information, is considered
scientific and technical information.
The following recommendations provide a starting point for developing, coordinating,
integrating, designing, managing, and evaluating a best-in-class program. Partnerships are
necessary among Headquarters Offices and Field Elements to plan, budget, and deliver
required information and to ensure that program goals are met in a best practices manner.
Section 9
4.1 STI Management Single Point of Contact
Managing technical information is a crosscutting activity involving nearly every function in
an organization at one time or another. In order to have a single integrated program, a
central coordinating role is appropriate. This position is responsible for internal
coordination, for coordination with peer organizations, for direction to DOE and
contractor organizations (for DOE), reporting to DOE (for contractors), and for
participation in Departmental policy and other related issues.
For each organization, one person needs to be identified as the point of contact for
scientific and technical information management. At a minimum, ET-20 should be
provided with the name of the point of contact and of an alternate. In addition, as a
courtesy, each organization needs to notify other points of contact of its appointee. Each
responsible DOE and contractor organization needs to document the point of contact's
duties in the position description and level of individual performance standards which
parallel the objectives identified as part of the Department's scientific and technical
information management objectives. The person appointed needs to be knowledgeable
about his/her organization and its goals, objectives, and reporting systems and should be in
the management communication chain. This knowledge and access will enable the person
to be involved during the project planning stage to ensure that information access/delivery
is planned, that sufficient resources are available to ensure effective management, that new
systems/projects are integrated with those throughout the Department, and that program
success measures are in place and used for evaluation. The appointee should be
sufficiently knowledgeable, up-to-date, and empowered to speak and act for his/her
organization on a wide range of topics at any organizational level. To have an integrated
approach to the management of and access to the Department's technical information, the
Program Office's single points of contact need to work together to ensure that DOE's
resources are optimized and integrated.
Program Offices that are landlords for Operations Offices will need to work with their
counterpart(s) at their Operations or Field Offices to integrate their programs. In turn, the
point of contact at an Operations Office will need to work with his/her counterparts at the
sponsoring Program Offices. Both Program and Operations Offices' single points of
contact also serve as members of an intra-Departmental Scientific and Technical
Information Coordinating Group (STICG), which serves as the framework for policy
development and advises ET on policy, information management, and dissemination
issues.
In addition to the roles described above, the Operations Office contact needs to take a
leadership, integrator role with contractor organizations. Contractor organizations will
also need a single point of contact to coordinate all aspects involved in ensuring that
technical information generated by or collected by each organization is managed (planned,
budgeted, monitored, and evaluated) and to represent the point of contact's company with
the Department and with contractors on STI management policy, procedures, issues, and
performance measurement.
Section 10
Program Office contacts will be expected to provide training for their staff and to provide
training/mentoring for Operations Office contacts reporting to them. Operations Office
contacts need to provide training for their staff and need to provide both training and
mentoring for contractor points of contact. The contractor points of contact need to train
contractor staff and, as performing organizations, will also need to become involved in
reporting progress/results. ET-20 provides training, mentoring, assistance, and facilitation
to all STI Management contacts, as needed.
4.2 Program and Project Information Management
Scientific and technical information products are often the only demonstrable results of
DOE-funded work. The value of these products is not only in the quality of the work but
also in their timely availability to the various interested audiences (such as scientific and
technical peer groups, U.S. industry, international information exchange partners, state
regulators, and environmental public interest groups). Technology is rapidly improving
the ability to provide targeted information products to diverse audiences at low cost.
However, unless availability is identified as a management goal and planned during the
generation, transfer, and storage phases, the potential provided by technological
innovation will not be realized.
Program/project officials should specify information outputs that can be measured. In
addition, the scope of work should require that information deliverables be developed
according to best practices which include planning for the generation, transfer, access,
packaging and repackaging, and storage for retrieval of technical information (life cycle).
Performance evaluations for life-cycle information management have both program and
institutional elements and thus should include coordinated Program Office and Operations
Office input.
The principal topics that need to be considered in optimizing the value of the Department's
scientific and technical information are as follows:
1. Development of a planning process that addresses the model for
information products, including, as appropriate, identification of
delivery mechanisms, information management costs and budgets at
the program/project level, outputs, and dissemination goals as part of
program/project strategic plans.
2. Development of deliverables in a form that optimizes availability,
avoids duplication, and minimizes the costs of information transfer
(regardless of media, including a method for public access).
Considerations include
a. What information must be generated?
b. Who will be the audience(s)?
c. What is the best configuration/format/media?
d. What is the best delivery mechanism to meet customer needs?
e. What dissemination systems are available?
f. Should it be announced and available on DOE's central system?
g. Will handling be minimized and system duplication avoided?
h. Have industry standards for data organization and administration been used to optimize
availability?
i. Is the material sensitive?
j. Are there laws, executive orders, or Departmental policies that restrict dissemination?
3. Development of budgets for creation of, access to, and storage for retrieval of
information products, including requirements to leverage and share existing
information resources.
a. Tracking direct costing for information generation, transfer, access, and retention.
b. Providing cost-effective support systems and services.
Section 11
4. Establishment of criteria for records retention with content-based
retrievability to ensure full historical access to program and project results,
with attention to
a. Early development and coordination of records retention schedules.
b. Provision of adequate resources to capture and manage valuable information during
program/project transfers or closeouts.
4.3 Field Support to Program Accomplishment
Operations Offices can perform crosscutting contract administration, institutional
planning, information integration, performance evaluation, and information stewardship
functions that support both programmatic and Departmental goals for information
integration and accessibility. These management activities contribute directly to the value
of scientific and technical information and need to be important factors in contractor
performance criteria. The principal areas where Operations Offices can enhance the value
of Departmental information resources follow. Activities in these areas should be
evaluated and implemented as appropriate.
1. Establishment of a contract administration function that identifies
specific anticipated information deliverables, monitors progress, and
bases evaluations upon demonstrated performance, working in
collaboration with program/project managers and the scientific and
technical information single point of contact. Consider
a. Deliverables that are easily accessible to both contract and program staff.
b. A system that identifies missing deliverables on a timely basis.
c. A system that ensures deliverables are received and acceptable prior to payment or
contract closeout.
2. Establishment of crosscutting strategic and institutional plan elements that support
the necessary technology infrastructure capabilities and organizational relationships
to manage technical information as integrated Departmental output.
3. Establishment of an information program that results, as a minimum, in access to
departmental technical information products through the central availability
system, manages duplication or overlap among contractor organizations, and
identifies gaps or needs.
4. Development of an information ombudsman/stewardship capability that serves as a
resource to all Operations Office staff to
a. Proactively support life-cycle information management through a program of awareness
and training.
b. Provide a single point of contact for policy development and program planning activities.
c. Inform local decision makers about the availability of technical information.
d. Evaluate success of meeting Departmental and public customer expectations for access to
information.
e. Form and lead a Technical Information Council or other formal mechanism that
routinely shares information about related management issues.
5. Evaluation of the STI management program plans developed by contractors as this
Order is adopted into contract provisions.
The contractor bases conformance with STI management requirements on a "best
practice" model, including specific plans and practices that optimize multiple uses
of the information and availability to the customers, minimize duplication and
restricted access, leverage/share information resources internally and with other
Departmental organizations, and store information for easy retrieval.
4.4 Balancing Access with Control
Section 12
There is an inherent tension in the activities of the Government between the right to know
of the public whose taxes pay for the activities and the need of the Government to protect
the privacy of the public, to protect the legal rights of industry, and to safeguard the
national security. The Department is involved in the defense of our country through the
nuclear weapon stockpile stewardship activities. We are also focused on increasing
posture of the United States in the arena of economic competitiveness. It is the policy of
the Department, as reflected by its authorizing legislation, "to make available, freely,
openly, and to the extent possible, unclassified scientific and technical information
generated by, or under arrangement with, DOE." In particular cases, however, even in this
post-Cold War era, it is necessary to place controls on the availability of certain scientific
and technical information. Such controls, and the responsibility for ensuring the
implementation of such controls, reside both with the contractor and the sponsoring
organization and must be in conformance with applicable statutes, laws, regulations,
Executive Orders, international agreements, directives, and Departmental policy. These
controls include the classification of certain information, which commonly includes
weapon data design, production of special nuclear materials, naval nuclear propulsion
information, foreign intelligence information, and other information of a military or
national security significance.
They also include the protection of certain unclassified types of information, which may
fall under the provisions of the Freedom of Information Act or other statutes and
Departmental policies. These include Unclassified Controlled Nuclear Information,
Export Controlled Information, Small Business Innovation Research, Naval Nuclear
Propulsion Information, Patent Sensitivity, Proprietary Data, Protected CRADA
Information, and Applied Technology.
4.5 Project/Program Closeouts or Transfers
The Departmental Program Office Manager and respective Records Officer are
responsible for preparing a plan for major records closeout/close down or transfer. Many
project/program staffs are matrixed and may involve more than one contractor or location.
Should the record file be collected and maintained at the lead location or should each
location maintain and schedule the portion it generated? If each place schedules and stores
its portion, reference to other storage location(s) is made and the records retention
schedule coordinated. (An example of frequently referenced information on a closed-out
reactor project is unpublished experimental data on brittleness and/or strength of various
metals for use in reactors. This information could be applicable for other ongoing reactor
projects.)
Once a records retention schedule is established, if the records are in electronic media,
maintain the software/hardware used or convert them to a flat ASCII file and document
process so that the records can be read by most hardware systems. If the electronic files
are to be transferred, determination of compatible software/hardware should be made
before converting the information to a flat ASCII file. The National Archives will only
accept permanent records in electronic form in an ASCII or an EBCDIC file.
Section 13
Often during the closeout or transfer activity, it is discovered that certain scientific and
technical information products were not submitted to ET-20. The following guidance is
provided to correct the oversight. Because each location has different yet similar
records-keeping policies and practices, specific guidance will need to be provided on a
case-by-case basis. This is not to say that if a project file record schedule has been
prepared and approved, and if the normal project file life has been reached, that normal
retirement of records cannot be followed. A number of issues need to be considered.
1. Has the sponsoring Program Office provided the organization with a closeout
plan? If so, get a copy to use as guidance.
2. Does the organization maintain a comprehensive project/case/program file? Or, is
the file location of different record series decentralized?
Examples: The organization may provide for central file record copy collection of
all STI products it has disseminated through ET-20 or possibly all STI generated.
The organization may allow the generating office to maintain the record copy. The
same is true for official correspondence, purchase orders, interagency agreements,
contracts, subcontracts, memorandums of understanding, etc. Each of the
centralized separate record series will have varying retention schedules. However,
all records in a project /case/program file will have the same retention.
3. Does the closeout team include the Operations Office's/contractor's records and
technical information representative and the project/program manager and
designated staff?
4. Will the file be comprehensive/all inclusive, or will it exclude, but refer to,
centralized records collections (i.e., reports collections, laboratory notebooks,
purchase orders, procurement data, gauge and machinery data, specifications,
design data, etc.)? The makeup of the project file should be determined regardless
of record copy media.
5. Is nonrecord material contained in the file?
6. Has a comprehensive index of all scientific and technical reports/products that have
been disseminated or are appropriate for sharing been prepared? Include record
series stored in central collections regardless of whether they are included as part
of the project file or excluded and a reference list substituted in the file for the
documents/items with their location. One method for identifying information
products not transferred to ET-20 is to verify the comprehensive index/listing by
comparing it with a comprehensive listing from ET-20.
7. Will scientific and technical information products, both classified and unclassified,
that have been identified as being appropriate for sharing and that have not already
been received by ET-20 be submitted through normal procedures [forward with a
completed DOE F 1332.15, "Recommendations for the Announcement and
Distribution of Department of Energy (DOE) Scientific and Technical
Information (STI),"discussed in Part II of this Guide]?
8. Has the project file been scheduled? The retention can vary from 15 years after
close of project to permanent (dependent on the subject matter and retention
justification). Permanent retention may be approved for project files necessary for
reinitiation of manufacture.
9. After the record schedule is approved, has a determination been made to maintain
it locally in a record storage facility, transfer it to another organization (in the case
of a project being transferred), or transfer it to a Federal record center? If it is
anticipated that the file may be referred to frequently, it may be stored locally.
Otherwise it should be transferred to the regional Federal record center.
Section 14
5 Performance Measures
Program Offices need to develop a methodology for identifying and sharing best practices
in STI management and establish criteria that identify thresholds where best practice data
administration processes are required in program performance.
Information management issues crosscut contractor organizations internally and
externally. Successful performance contributes directly to the Departmental mission of
optimizing the transfer of and access to developed knowledge. Best practices for
life-cycle information management should be based on a model(s) developed through
participation with other Departmental stakeholders. This model(s) should contain
management processes that result in the following outputs:
1. Technical information is developed and transferred within the
Department and to the public in usable forms that require a minimum
of extra handling:
a. The contractor has developed user needs analyses and feedback mechanisms to ensure
that information products are developed in a manner that optimizes access and use by
customer groups.
b. The information is available through the Department's central information availability
system.
2. Iternal information management processes result in cost-effective, integrated
access to each organization's technical knowledge base.
a. External audiences are aware of the information resources resulting from performance of
organizational mission.
b. Information resources are developed or procured through "make/buy/share" analysis
that optimizes leveraging and sharing with other Departmental organizations.
c. Technical information resources are adequately identified and recorded in each
organization's records management program.
d. The organization benchmarks organizational performance for technical information
management on comparisons with other organizations performing similar functions.
6 Management Tools
6.1 Integrated Technical Information System (ITIS)
The Department has an online system that provides access to a number of unclassified
databases and systems that monitor, announce, or track various technical information
products centrally managed by ET-20. The system is called the Integrated Technical
Information System. Information regarding access to this system is available through the
online hotline at (423) 576-1222 or by sending electronic mail on the Internet to
usertalk@adonis.osti.gov.
6.1.1 Energy Science and Technology Database (EDB)
The Energy Science and Technology Database contains all unlimited, unclassified scientific
and technical information processed by ET-20. The information is acquired from, but is
not limited to, DOE and its contractors, interagency agreements with the National
Technical Information Service, the Department of Commerce, the NASA Scientific and
Technical Information Division, the National Library of Medicine, the National Institutes
of Health, the Patent and Trademark Office, and the Defense Technical Information
Center. International information sources are the International Energy Agency's Energy
Technology Data Exchange program, the International Atomic Energy Agency's
International Nuclear Information System, and nation-to-nation agreements.
Section 15
The Energy Science and Technology Database contains a complete bibliographic record,
including abstract and subject descriptors, of all documents that contain significant
fulfillment of contract requirements. The database can be used by contractors to monitor
reports prepared by their organizations. The database is indexed by subject area as well as
by report number. The database includes journals, books, patents and patent applications,
audiovisuals, computer media, engineering drawings, and generic serials. For additional
information, call (615) 576-1222 or send electronic mail on the Internet to
usertalk@adonis.osti.gov.
6.1.2 Report Holdings File (RHF)
The Report Holdings File contains partial bibliographic records on all items received and
held by ET-20. Other than title and author, the records consist mostly of alphanumeric
information to identify documents, including report number, contract number, order
number, DOE sponsoring office, Program Office distribution category, and date the record
was published or entered into the database. The abbreviated record format allows the
retrieval of such information as what reports were issued under a particular contract
number, which DOE office sponsored which research, which organization performed
which research, whether a report can be reproduced legibly, and where a copy of a report
can be obtained. For additional information, call (423) 576-1222 or send electronic mail
on the Internet to usertalk@adonis.osti.gov.
6.1.3 Technical Information Monitoring System (TIMS)
The Technical Information Monitoring System is a computer-based tracking system
developed in conjunction with DOE's Office for Procurement and Assistance Management
(HR). This system assists contracting officials, program managers, and technical
information managers in monitoring the delivery of required technical information by
non-Management and Operating contracts (including grants, financial assistance, etc.).
The system is available to authorized Departmental representatives. Missing or late
technical information deliverables are identified by comparing the information in the
Procurement and Assistance Data System (PADS) managed by HR with ET-20's Report
Holdings File (which contains a list of what has been received). Information available
from the Technical Information Monitoring System is as follows:
1. Technical deliverables outstanding.
2. Awards that reach completion date within 60 days.
3. Awards for which no DOE F 1332.1, "Reporting Requirements Checklist," or
DOE F 4600.2, "Federal Assistance Reporting Checklist," has been received
by OSTI.
4. Awards for which no DOE F 1430.22, "Notice of Energy RD&D Project," has
been received by OSTI.
5. Awards that were retired before OSTI received all report deliverables.
6. Awards that have passed completion date but OSTI has not received all report
deliverables.
TIMS training is available. If you have questions regarding TIMS, call (423)
576-1222 or send electronic mail on the Internet to contracts@adonis.osti.gov.
6.1.4 CRADA Information Management System (CIMS)
The Office of Scientific and Technical Information maintains a centralized Cooperative
Research and Development Agreement (CRADA) database to provide information on the
status of CRADA activity within the Department, to provide management information in
support of congressional reporting requirements established in P.L. 101-189, and to
ensure a central base of information on Departmental CRADAs to respond to
Departmental and external requests for information.
Section 16
The database includes factual data and abstracts on Department of Energy CRADAs as
authorized by P.L. 95-502 and P.L. 101-189. The file includes customized reporting
capabilities and is available to authorized Departmental representatives.
Information specified on the Notice of JWS/CRADA Action Checklist and an abstract
suitable for public release are reported to ET-20 by the Operations Offices, Energy
Technology Centers, or Area Offices for each approved CRADA and Joint Work
Statement (JWS). Cognizant Departmental Elements ensure that CRADAs sponsored by
the respective Program Offices are appropriately represented in the system. For additional
information, call (615) 576-1222 or send electronic mail on the Internet to
techtransfer@adonis.osti.gov.
6.1.5 Research in Progress (RIP) Database
The Research in Progress Database contains records summarizing current research
sponsored by the Department. In addition, summaries of non-Departmental domestic and
foreign energy-related research efforts are available through information exchange
arrangements.
A user of this database can identify ongoing DOE activities by subject area, discipline,
technology, funding office, performing organization(s), or location. The database serves
as a source for:
1. Improving Departmental planning processes by identifying research gaps and
overlaps.
2. Generating research summaries and mailing addresses by computer.
3. Accessing a number of Department-wide database authorities.
4. Identifying technology transfer and partnership opportunities.
Information about research in progress is available to Departmental components through
the Department's Integrated Technical Information System and is publicly available
through the FEDRIP file of the commercial vendor DIALOG. For additional information,
call (615) 576-1222 or send electronic mail on the Internet to
techtransfer@adonis.osti.gov.
6.2 Classified Energy Online (CLEO)
The Department of Energy has established a secure online network to announce and make
available to qualified users references to the Department's classified scientific and technical
information. CLEO is accessible via dial-in procedures to individuals having certified need
to know, appropriate encryption and security capabilities, and programmatic approval.
CLEO is authorized to transmit data up to the SECRET/RESTRICTED DATA, Sigma 1
level. For more information on access or contents, call (423) 576-1222 or send electronic
mail on the Internet to cleo@adonis.osti.gov.
6.2.1 Classified Database (CDB)
The Classified Database contains references to all classified scientific and technical
information received by ET-20. It also contains references to classified scientific and
technical information produced by the Department of Defense and maintained by the
Defense Technical Information Center. The Defense references are available as the result
of an interagency information exchange agreement between the Departments of Energy
and Defense.
The Classified Database references include complete bibliographic citations, with the
addition of appropriate classification and weapon data information. Access to the
database and to the information represented by the database is strictly controlled on a
need-to-know basis and must be approved in writing by the cognizant Program Office or
sponsoring organization and by the Office of Security Affairs (NN-50).
Section 17
Much of the information represented on this database is generated by the Department's
"weapons complex." This information, in general, pertains to the design, manufacture, or
utilization of nuclear weapons or related weapons effects and engineering issues . Other
classified information deals with fissionable materials production, defense-related
propulsion and power reactor technology, fusion energy, safeguards and security, arms
control, etc. For additional information, call (423) 576-1222 or send electronic mail on
the Internet to cleo@adonis.osti.gov.
7 Central Announcement and Dissemination/Access Services
7.1 Announcement Services
Unclassified and unrestricted information received by ET-20 is cited in the Energy Science
and Technology Database and includes international information acquired through
exchange agreements administered by ET-20. Reports are announced in the monthly DOE
publication, "Energy Research Abstracts" (ERA), which is available to DOE and DOE
contractors through ET-20 and to the public through the Government Printing Office.
Reports are also announced to the public by the Department of Commerce's National
Technical Information Service (NTIS) through the NTIS Database and the publication,
"Government Research Abstracts and Indexes" (GRA&I). In addition, many libraries
receive microfiche copies of DOE reports through the Government Printing Office's
Depository Library Program. The Energy Science and Technology Database and the
Nuclear Science Abstracts Database are available through numerous online commercial
vendors. In addition, recently received unclassified and unrestricted information is
announced through the Department's Integrated Technical Information System (ITIS),
which is managed by ET-20 and available to both the Department and its contractors.
Classified and sensitive information received by ET-20 is cited in the Classified Database
and Controlled Access File (CAF), respectively. Classified reports are announced in the
quarterly DOE publication, "Defense Information: Weapon Data Reports" (WDR). The
Controlled Access File is available to DOE and DOE contractors through ITIS; the
Classified Database is available to qualified organizations with a demonstrated need to
know and the appropriate programmatic and security qualifications.
7.2 Dissemination/Access Services
Department of Energy Program Offices, in conjunction with ET-20, establish distribution
categories, category numbers, and scope notes for scientific and technical information to
be submitted for central announcement/dissemination. Distribution category numbers are
assigned by the producer along with other recommendations for announcement and
dissemination when completing the information product transmittal form DOE F 1332.15,
"Recommendations for the Announcement and Distribution of Department of
Energy (DOE) Scientific and Technical Information (STI),"as discussed in Part II of
this Guide. DOE/OSTI--4500, "Program Distribution for Unclassified Scientific and
Technical Reports," and DOE/OSTI--3679 (Formerly M-3679), "Standard Distribution
for Classified Scientific and Technical Reports," are available from ET-20 and contain the
distribution categories, scope notes, and a list of the number of copies required to make
specific types of distributions for unclassified and classified information, respectively. All
the types of distribution services listed in the following three sections require
programmatic funding.
7.2.1 Standard Distribution
Section 18
Both the recipients and the number of additional copies are defined by DOE/OSTI--4500
or DOE/OSTI--3679 (Formerly M-3679) and the mailing process is computer based.
7.2.2 Profile Distribution
Recipients are targeted by special interest categories that parallel subject categories within
the Energy Science and Technology Database. These computer-based mailings can often
reduce the number of copies required and thus cost less than standard distribution.
7.2.3 Special Distribution
ET-20 has the capability to handle any special one-time or recurring dissemination needs.
Departmental elements and contractors may find that these services provide a
cost-effective method for meeting their programmatic and organizational goals and
objectives.
7.2.4 Information Request Services
On occasion, DOE and its contractors may need copies of information available through
ET-20 or may need to provide access to specific information products for certain
customers. These services are available from ET-20 on a cost-recovery basis.
7.2.5 Long-Term Availability of Information
Often, the collection maintained by ET-20 is the only place historic or crosscut technical
information can be accessed. Because the collection is managed for long-term retrieval,
the flexibility for organizing and packaging information can assist in meeting one-time
initiatives, responding to customer interests, or other needs. A wide variety of capabilities
and services are available on a cost-recovery basis to assist Program Offices and other
Departmental Elements (including contractors) in meeting Departmental priorities and
ongoing missions.
The National Archives and Records Administration (NARA) has approved the collection
maintained by ET-20 for permanent retention (unclassified, unlimited and limited access,
and classified). Classified and unclassified collections are stored in separate vaults that
meet dual storage requirements of Title 36 Code of Federal Regulations (CFR) 1228.200,
Subpart K, "Agency Record Centers," and ANSI/ASME NQA-1, "Requirements for
Quality Assurance Records." A record silver master microfiche copy of each document
filmed is stored in a microfilm vault that meets all single-storage requirements.
Attachment 1-A (Rev. 1, 04/30/96)
DOE G 1430.1D-1
Scientific and Technical Information Management
Guide (DOE G 1430.1D-1) Review Board
The members of the board will serve staggered terms which will ensure continuous
knowledgeable partner/stakeholder representation. The members are listed below with a
description of the stakeholder group each represents and the term each will serve.
Member /Affiliation Partner/Stakeholder Group Represented Term
Sharon Root Headquarters Crosscutting Programs 1 year
Environment, Safety (Environment, Safety and Health;
and Health Economic Impact and Diversity; Human
Resources and Administration; etc.)
Nancy Dowicki Headquarters Program Offices 1 year
Nonproliferation and (Nonproliferation and National Security;
National Security Defense Programs; Energy Programs;
Environmental Restoration and Waste
Management; etc.)
Carol Duncan Multiple Program Laboratories 1 year
Lawrence Livermore
National Laboratory
Jeanne Sellers Single Program Laboratories 1 year
Westinghouse
Savannah River
Company
Section 19
Stephanie Janicek M&I Laboratories 2 years
Lockheed Martin
Services, Inc.
Gwen Schreiner Operations Office 1 year
Albuquerque Operations
Office
Dennis Gound Operations Office 1 year
Oak Ridge Operations
Office
Kathy Waldrop, Office of Primary Interest Indefinite
Coordinator,
Office of Scientific
and Technical
Information
Part II, Processing Scientific and Technical Information Products
for Centralized Announcement/Dissemination
Table of Contents
1 Introduction
2 What Is Appropriate for Transfer?
2.1 Unclassified Unlimited Scientific and Technical Information Products
2.1.1 Technical Reports
2.1.2 Open Literature
2.1.3 Technical Conference Reporting
2.1.4 Engineering Materials
2.1.5 Patent Applications
2.2 Unclassified Sensitive Scientific and Technical Information Products
2.2.1 Patent Sensitivity
2.2.2 Protected CRADA Information
2.2.3 Unclassified Controlled Nuclear Information
2.2.4 Export Controlled Information
2.2.5 Small Business Innovation Research (SBIR)
2.2.6 Naval Nuclear Propulsion Information
2.2.7 Proprietary Data
2.2.8 Official Use Only Information
2.2.9 Applied Technology Information
2.2.10 Protected Battery Information
2.3 Classified Scientific and Technical Information Products
2.4 Declassified Scientific and Technical Information Products
2.5 Software
2.6 Research in Progress
3 Transmitting Research In Progress
3.1 Management and Operating (M&O) Contracts
3.2 Non-Management and Operating Contracts
3.2.1 New Awards
3.2.2 Contract Closeout or Termination
4 Transferring Scientific and Technical Information Products
4.1 Describing the Products
4.1.1 Award/Contract/Financial Number
4.1.2 Title
4.1.3 Author(s)
4.1.4 Abstract
4.1.5 Subject Terms
4.1.6 Type of Product
4.1.7 Dates Covered
4.1.8 Patent Information
4.1.9 Legal Disclaimers
4.1.10 Product/Report Number
4.1.10.1 Technical Reports
4.1.10.2 Special Report Series
4.1.10.3 Multiple Report Numbers
4.1.11 Funding Office(s)
4.1.12 Performing Organization Name and Address
4.1.13 Handling and Release of Information Products (Rev. 1, 09/30/97)
4.1.13.1 Unclassified Unlimited Products
4.1.13.2 Unclassified Products Containing Sensitive Information
4.1.13.3 Classified Information Products
4.1.13.4 Declassified Information Products
4.1.14 Distribution of Information Products
4.1.14.1 Distribution Categories
4.1.14.2 Types of Distribution
4.1.15 Releasing Information
4.2 Physical Form of the Information Product
4.2.1 Technical Reports
4.3 Miscellaneous Information
4.3.1 Use of the Department of Energy Seal
4.3.2 Company Names and Logos
4.3.3 Measurement System
4.4 Reproduction
4.5 Reference Publications
5 Production and Exchange of Electronic Documents Using Standard Generalized Markup
Language (Rev. 1, 09/19/95)
5.1 Introduction
5.2 Assumptions
5.3 Standards-Based Implementation
5.4 Transition to Electronic Exchange
5.4.1 Current Exchange Environment
5.4.2 Managing Transition
5.4.3 Interim Document Formats
5.4.3.1 Standard Generalized Markup Languague
5.4.3.2 Hypertext Markup Language
5.4.3.3 PostScript
5.4.3.4 TIFF Group 4
5.4.3.5 Portable Document Format (PDF)
5.4.3.6 Other Formats
5.4.4 Future Exchange Technologies
5.5 References
6 Records Management--Program, Project, Task, or Study Record File
6.1 Defining a Program, Project, Task, or Study Record File
6.2 Contents of a Program, Project, Task, or Study Record File
6.3 Retention Guides
Attachment II-A, DOE F 1332.15, Recommendations for the Announcement and
Distribution of Department of Energy (DOE) Scientific and Technical Information (STI)
Section 20
Attachment II-B, DOE F 1430.14, Information To Be Announced in Energy Conferences
and Symposia
Attachment II-C, DOE F 1332.1, Reporting Requirements Checklist
Attachment II-D, DOE F 4600.2, Federal Assistance Reporting Checklist
Attachment II-E, DOE F 1430.22, Notice of Energy RD&D Project
Attachment II-F, SF 298, Report Documentation Page
Attachment II-G, Distribution Limitation Statements for Use of Scientific and Technical
Information Documents (Rev. 1, 09/30/97)
Attachment II-H, Submitting Your Documents, Computer Products, and Audiovisuals to
NTIS
Attachment II-I, Electronic Exchange Standards
1 Introduction
To encourage scientific and technical progress throughout the Nation and to meet its goals,
initiatives, and obligations, the Department of Energy has established a central collection of
certain scientific and technical information. This collection is managed on behalf of the
Department by the Office of Scientific and Technical Information (ET-20), an organization within
the Office of Science Education and Technical Information (ET-1). ET-20 is responsible for
making this information available within the Department; for meeting certain Departmental
obligations for public access through such channels as the National Technical Information Service
(NTIS) of the Department of Commerce, the Government Printing Office through the
Superintendent of Documents and the Depository Libraries, and commercial online services; and
for meeting Departmental requirements for information exchange with other Federal agencies and
the international community. In accordance with the American Technology Preeminence Act,
Public Law 102-245, February 14, 1992:
"The head of each Federal executive department or agency shall transfer in a timely manner to the
National Technical Information Service unclassified scientific, technical, and engineering
information which results from federally funded research and development activities for
dissemination to the private sector, academia, State and local governments, and Federal agencies."
To achieve the results discussed above and to most efficiently and effectively manage the process,
the following guidelines identify what is appropriate for transfer and how to transfer scientific and
technical information products to ET-20. This part of the Guide describes the "what" and "how
to" of preparing scientific and technical information products and processing them for centralized
announcement and dissemination. Several standards, orders, and publications are referenced with
only the relevant information mentioned. This part of the Guide consists of several sections. The
first major section is a description of what is appropriate for centralized announcement and
dissemination with discussion of categories of scientific and technical information products. The
next section describes research in progress, how it is used, and what descriptive information is
needed to announce it. The next section discusses the information needed to announce,
disseminate, and protect scientific and technical information, and how to submit the information
products. This section parallels the information collected with DOE F 1332.15,
"Recommendations for the Announcement and Distribution of Department of Energy
(DOE) Scientific and Technical Information (STI)" (Attachment II-A). Next are
descriptions of electronic documents and records management issues. If you have problems
acquiring anything that is referenced in this Guide, contact ET-20's Request Services at (423)
576-8401 or send electronic mail on the Internet to programs@adonis.osti.gov.
Section 21
2 What Is Appropriate for Transfer?
2.1 Unclassified Unlimited Scientific and Technical Information Products
Scientific and technical information products which you consider to be useful to
others outside the originating organization or are identified as contract-required
deliverables are appropriate to be transferred to ET-20. To assist you in
determining what should be sent, ask yourself:
1. Is this material a "contract-required deliverable"?
2. Is there a benefit in sharing this information with others outside your
organization?
3. Is the information complete, accurate, and of acceptable quality?
If your answer is yes to any of the above three, the material may be eligible to send
to ET-20.
4. Is the material primarily preliminary, financial, administrative, company private,
or proprietary? If so, it normally would not be sent to ET-20.
Scientific and technical information may be reported in a variety of forms,
including technical reports, journal articles, books, computer media,
scientific/technical audiovisual or multimedia, and presentations at professional or
scientific/technical conferences. Publication of articles in professional or technical
society journals is encouraged. It is requested that all products comply with
established standards referred to throughout these guidelines. In general, to
facilitate processing by ET-20, two copies of the products are requested. Below
are examples of the types of products appropriate for transfer.
2.1.1 Technical Reports
For specific guidelines on how to organize and design technical reports, refer to
"ANSI Scientific and Technical Reports--Organization, Preparation, and
Production," ANSI Z39.18-1987. By following the guidelines, technical literature
will be presented uniformly. To order, contact the American National Standards
Institute (ANSI), at 11 West 42nd St., New York, New York 10036. Cost for
ANSI reports is $25.00 plus $5.00 handling charge. If you have any problems
with this, contact ET-20 at (423) 576-8401.
There are three types of technical reports.
1. Progress reports (or interim reports) are reports that summarize ongoing work
performed during a specific reporting period. A progress report is required on
most projects at least once during the fiscal year and may be required more
frequently.
2. Topical reports are comprehensive statements of the technical results of work
performed on a specific task or phase of a contract. They can also be detailed
descriptions of scientific or technological advances.
3. Final reports are required for all completed research and development contracts,
agreements, or financial assistance awards. These reports are technical accountings
of the total work performed under the contract. They are comprehensive
descriptions of the results achieved, which can include tabulations of data, figures,
photographs, and bibliographic citations in support of the investigations
undertaken. Where applicable, they summarize all previous topical and progress
reports. In some instances (e.g., university research), a summary of work covering
the entire contract or grant period with open literature publications resulting from
it identified as products may be accepted as a final report.
2.1.2 Open Literature
It is requested that any scientific and technical information rejected for publication
be treated as a technical report and be assigned a DOE report number or a number
assigned by the issuing installation and sent to ET-20. See section 4 for detailed
instructions on transferring technical reports.
Section 22
Bibliographic citations from other DOE-sponsored published literature will be
acquired by ET-20 by other means.
2.1.3 Technical Conference Reporting
Published proceedings, papers, or any other publications resulting from
DOE-sponsored scientific or technical conferences, domestic or foreign, should be
submitted for inclusion in the Department's databases at the earliest possible date.
Preprints are requested to be submitted whenever possible. All submissions should
be accompanied by DOE F 1332.15, "Recommendations for the
Announcement and Distribution of Department of Energy (DOE) Scientific
and Technical Information (STI)."
Recognizing the importance of conferences to scientific research, ET-20 publishes
DOE/OSTI--4645, "Energy Conferences and Symposia," a monthly listing of
upcoming conferences of interest to the DOE community. Those DOE personnel,
contractors, and financial assistance recipients who are aware of or involved in
organizing conferences or any such technical meeting are requested to complete
and submit DOE F 1430.14, "Information To Be Announced in Energy
Conferences and Symposia" (Attachment II-B),which will be included in the
publication.
2.1.4 Engineering Materials
Engineering materials that have a utility beyond a specific site or that have been or
will be disseminated beyond a specific site are requested to be submitted to ET-20.
2.1.5 Patent Applications
Patent applications are received from the DOE Office of General Counsel (GC-42)
for processing at ET-20.
2.2 Unclassified Sensitive Scientific and Technical Information Products
When scientific and technical information is transferred to ET-20, it should be
accompanied by an indication of the appropriate category of sensitivity. Details of
how to indicate the category of sensitivity can be found in section 4.1.13. Types of
sensitive information products and their procedures are described below.
2.2.1 Patent Sensitivity
For all scientific and technical information products provided to ET-20 with a
patent caution, it is requested that ET-20 be notified as soon as a patent has been
granted or denied.It is requested that a new transmittal document be submitted if
the patent caution may be removed and the information reannounced as
appropriate.
2.2.2 Protected CRADA Information
It is requested that scientific and technical information products containing
protected Cooperative Research and Development Agreement (CRADA)
information be submitted to ET-20 for centralized Departmental management.
This Office will maintain the information for authorized Departmental use in
coordination with all appropriate parties. At the end of the withholding period, the
information will be announced for availability as authorized by Public Law
101-189. Proprietary data or protected CRADA data should not be included in
the abstract. The abstract should be suitable for publication.
2.2.3 Unclassified Controlled Nuclear Information
Scientific and technical information that contains Unclassified Controlled Nuclear
Information (UCNI) should be transferred to ET-20. This category of information
is defined in DOE Order 5650.3A, "Identification of Unclassified Controlled
Nuclear Information," as "certain unclassified Government information whose
unauthorized dissemination is prohibited under section 148 of the Atomic Energy
Act of 1954, as amended." In addition, access to UCNI is controlled as directed in
DOE Order 5635.4, "Protection of Unclassified Controlled Nuclear Information,"
and Title 10 of the Code of Federal Regulations (CFR) Part 1017, "Identification
and Protection of Unclassified Controlled Nuclear Information."
Section 23
2.2.4 Export Controlled Information
Export Controlled Information is information containing "technical data," as
defined in and controlled by U.S. export control statutes. Appropriate laws and
regulations include the following:
1. The Nuclear Nonproliferation Act.
2. The Atomic Energy Act of 1954, as amended, and its implementation by
Chapter 10, sections 110 and 810 of the Code of Federal Regulations.
3. The Export Administration Act and its implementation by the Export
Administration Regulations (15 CFR 730-799).
4. The Arms Export Control Act and its implementation by the International
Traffic in Arms Regulations.
2.2.5 Small Business Innovation Research (SBIR)
The Small Business Innovation Development Act provides for contractor retention
of rights in data generated in performance of a contract under the SBIR authority.
In accordance with implementing regulations, the technical data generated under
SBIR funding agreements may be protected for a period of two years from the
completion of the project, unless written permission to disclose such data earlier is
obtained from the contractor or grantee.
2.2.6 Naval Nuclear Propulsion Information
Naval Nuclear Propulsion Information is described in Public Law 98-525 (42
U.S.C. 7158).
2.2.7 Proprietary Data
Proprietary data are defined as technical data which embodies trade secrets
developed at private expense.
2.2.8 Official Use Only Information
Contact policy and planning group at (423) 576-1222 or send electronic mail on
the Internet to programs@adonis.osti.gov.
2.2.9 Applied Technology Information
Information products containing data related to engineering, development, design,
construction, operation, or other activities pertaining to technology advances, in
particular projects or facilities on which major funding emphasis has been placed
by the Office of Nuclear Energy may be designated as "Applied Technology."
2.2.10 Protected Battery Information
Per Public Law 102-381, Protected Battery Information is information that results
from activities conducted by the United States Advanced Battery Consortium or
its contractors or by participants in the hybrid vehicle propulsion development
program and their contractors. This is a specific CRADA with longer protection
times than other CRADAs. Protected Battery Information would be a trade secret
or commercial information that is privileged or confidential if the information had
been obtained from and first produced by a non-Federal party participating in the
United States Advanced Battery Consortium or in the hybrid vehicle propulsion
development program.
2.3 Classified Scientific and Technical Information Products
The Atomic Energy Act of 1954, as amended, and Executive Order 12356 serve as
the basis for identifying classified information generated by the Department.
Classified scientific and technical information products should be transmitted to
ET-20 with the appropriate announcement and/or distribution instructions.
Procedures for the proper identification of classified information and subsequent
marking of classified information products can be found in DOE Order 5650.2B,
"Identification of Classified Information."
2.4 Declassified Scientific and Technical Information Products
Section 24
To allow access to the widest audience possible, ET-20 would like to receive a
classification change notice and a copy of the declassified document whenever a
formerly classified document held by ET-20 is declassified by the originating site
or higher authority. It is requested that notices of declassification be accompanied
by instructions/authority to publicly release or to further control access to the
document, including the basis for further control. If ET-20 never received the
original classified document, they would still like to receive the declassified
document and its classification change notice.
2.5 Software
See Part III, "Processing Software for Announcement/Dissemination
Through the Energy Science and Technology Software Center," of this Guide.
2.6 Research in Progress
ET-20 would like to receive information of research work in progress and of
ongoing development projects. This will serve as a means to keep DOE
researchers and program managers informed of ongoing research, to avoid
duplication of effort, to ensure effectiveness of DOE's research and development
investment, to assist program activities, to meet Departmental objectives for
technology transfer, and to meet Departmental obligations on the transfer of
research in progress information. The Federal Register, Vol. 59, No. 1, from
Monday, January 3, 1994, Rules and Regulations, Part 1180--Transfer by Federal
Agencies of Scientific, Technical and Engineering Information to the National
Technical Information Service says ". . . each Federal agency shall, within the time
period specified in this regulation, transfer to NTIS . . . a summary of the agency's
new and ongoing research that is likely to result in a final STEI (scientific,
technical and engineering information) product if such final product or summary is
unclassified and is intended by the agency for public dissemination."
3 Transmitting Research In Progress
3.1 Management and Operating (M&O) Contracts
The following information is requested for research in progress.
1. Organization Control Number/Project Number--The identifying number
assigned to a project by the performing organization.
2. Date Information Prepared--The date that information about the
research project was prepared or last updated.
3. Project Title--The distinguishing or identifying name of the project.
4. Sponsoring Office Acronym/Code or Name--The identification of the
organization (e.g., ER-14, EM, etc.) which funded the project.
5. DOE Contract Number(s)--The contract number(s) under which the
project is being performed.
6. Corporate Source/Laboratory Name--The organization name(s)
performing the project, including the division name.
7. Abstract/Project Summary--A descriptive text summary of the project;
may include the objectives and progress or other technical information
about the project.
8. B&R Code(s)--Budget and Reporting numbers relating to project
funding.
9. Total Award Amount--Total funding for the course of the project.
10. Current Funding--Amount of current fiscal year funding allocated to
project.
11. Technical Monitor--Name of DOE contact responsible for project.
12. FTE Level--Number of full-time equivalents conducting project work.
13. Project Start Date--The starting date for the project.
14. Project Completion Date--The scheduled completion date for the
project.
15. Principal Investigator Name and Address--The person primarily
responsible for conducting the project.
Section 25
16. Other Source(s)/Joint Participants--The organization name(s) which
have served as collaborators or partners in performing the project.
Most of these fields can be found on DOE F 5120.1, "Field Work Proposal," and
are discussed in DOE Order 5700.7C, "Work Authorization System."
3.2 Non-Management and Operating Contracts
3.2.1 New Awards
When funding offices and contracting officials require scientific or technical
information products that could be of use to the Department, its contractors, or the
public, such useful products should be included as deliverables. If the award is a
contract , use DOE F 1332.1, "Reporting Requirements Checklist"
(Attachment II-C). If the award is a financial assistance instrument, use DOE F
4600.2, "Federal Assistance Reporting Checklist" (Attachment II-D). This
requirement is addressed in DOE Order 1332.1A, "Uniform Reporting System,"
and DOE Order 1332.2, "Uniform Reporting System for Federal Assistance
(Grants and Cooperative Agreements)." If the award includes research and
development, submission of DOE F 1430.22, "Notice of Energy RD&D
Project" (Attachment II-E) is requested.This will enable the deliverables to be
tracked and the scientific and technical information to be shared as described in the
next section.
3.2.2 Contract Closeout or Termination
1. Before a procurement action with specified scientific and technical information
deliverables can be closed out, ET-20 or Departmental Elements authorized by
ET-20 certify that all reporting requirements, as established by the cognizant
Departmental Element, have been satisfactorily met. When required deliverables
have not been received, ET-20 will request the awarding office to secure the
deliverable(s) or to document with a copy to ET-20 why it is not in the best
interest of the Government to secure the deliverable(s). If there are any deviations
in the reporting requirements, the Departmental Element is requested to notify
ET-20.
2. Awarding offices should obtain ET-20 certification using the automated
certification procedures developed by ET-20 in conjunction with HR-523.2. To
receive the certification, offices should query the Procurement Assistance Data
System (PADS) database for a particular record. If ET-20 certification date is
present, request the PADS Standard Report No. R0420634 for that award.The
report provides documentation of ET-20 certification and should be made a
permanent part of the procurement action file.
4 Transferring Scientific and Technical Information Products
4.1 Describing the Products
Many attributes are used to accurately describe scientific and technical information
funded by the Department of Energy or performed in its facilities. These attributes
are used to locate, announce, and disseminate the information to the widest
audience possible. When scientific and technical information products are
transferred, descriptions of these attributes for those products are also requested.
These descriptions can be transferred electronically or on DOE F 1332.15,
"Recommendations for the Announcement and Distribution of Department
of Energy (DOE) Scientific and Technical Information (STI)" (Attachment
II-A), or on SF 298, "Report Documentation Page" (Attachment II-F).The
following are the fields requested and descriptions about them. The characteristics
in sections 4.1.9 through 4.1.15 would not be expected from Financial Assistance
Recipients, only from DOE and DOE Contractors.
4.1.1 Award/Contract/Financial Number
Section 26
This includes the DOE award or contract number(s), B&R (Budget and Reporting)
number, and/or the Technical Plan number under which the work was funded.
4.1.2 Title
A brief title that clearly describes the subject matter covered is recommended. A
subtitle can be used if necessary to further clarify the title. Guidelines for titles can
be found in ANSI Z39.18-1987.
In addition to the guidelines in the standard, the following guidelines also apply to
the title and subtitle:
1. When a report has more than one volume, repeat the primary title on
each volume and use the subtitle to identify the specific subject of each
volume.
2. Show the type of report, if other than a topical report (e.g., annual
report, progress report, final report, thesis), and the period covered, if
appropriate, as part of the title or subtitle.
3. For Unclassified Controlled Nuclear Information (UCNI) use a
non-UCNI title and subtitle when possible. Indicate whether the title does
or does not contain UCNI.
4. Use an unclassified title and subtitle for a classified report if the subject
matter can be indicated clearly. The classification level and category,
including "unclassified," must be indicated on all titles for classified
documents.
4.1.3 Author(s)
Authors, editors, compilers, and any other contributors help uniquely identify an
information product. In addition, if the organizational affiliations of the
contributors are with organizations other than the performing organization, that
information is also requested. Editors and compilers may be identified as such
preceding their names. In order that all contributors to a composite product
receive credit, each contractor should be identified by name and contract number.
Further details for this field can be found in ANSI Z39.18-1987.
4.1.4 Abstract
An abstract is a concise statement (200 words or less) of the purpose, scope, and
major findings of the information product. Because abstracts are also published in
databases and by abstract services to assist potential customers in determining
whether they may be interested in the information product, an abstract should be
able to stand alone independently from the product. The abstract is especially
important in nonprint information products. The abstract, along with other
bibliographic information, is used in cataloging and announcing information
products.
4.1.5 Subject Terms
The subject terms include keywords and phrases identifying major subjects in the
information product. This information would serve some of the same purposes as
the abstract in letting potential customers know more about the information
product.
4.1.6 Type of Product
If the product is a report, it can usually be described as a progress report covering
a specified time period (such as quarterly, semiannual, or annual), a final report, a
topical report, or a thesis.
If the product is from a conference, meeting, or presentation, it should include the
conference title, location, dates, and sponsor(s).
4.1.7 Dates Covered
It is suggested that this include the basis for dating along with the date. Reporting
instructions conveyed to performing organizations, either by their contract
administrators or by Headquarters Element, may specify a basis for dating. If no
instructions were given, performing organizations are encouraged to use the
publication date.
Examples are:
May 4, 1992
Date Compiled
October 6, 1992
Date Published
4.1.8 Patent Information
Section 27
If applicable, identify the page numbers in technical reports addressing new
equipment, processes or material; identify the invention disclosure number and to
whom it was submitted; and identify patent-related objections to the release of the
product.
4.1.9 Legal Disclaimers
A disclaimer may or may not be appropriate for Department of Energy-generated
information. It is the responsibility of each Department of Energy organization to
determine the appropriate notice for publications it generates. Such decisions
should be coordinated with the appropriate legal counsel. The following is an
example of a disclaimer that would appear on the inside front cover of each report
prepared under DOE sponsorship.
"DISCLAIMER
This product was prepared as an account of work sponsored by an agency of the
United States Government. Neither the United States Government nor any agency
thereof, nor any of their employees, makes any warranty, express or implied, or
assumes any legal liability or responsibility for the accuracy, completeness, or
usefulness of any information, apparatus, product, or process disclosed, or
represents that its use would not infringe privately owned rights. Reference herein
to any specific commercial product, process, or service by trade name, trademark,
manufacturer, or otherwise does not necessarily constitute or imply its
endorsement, recommendation, or favoring by the United States Government or
any agency thereof. The views and opinions of authors expressed herein do not
necessarily state or reflect those of the United States Government or any agency
thereof."
The use of the standard disclaimer would be inappropriate for environmental
technical reports and documents submitted to State and Federal agencies in
compliance with regulations, consent orders, compliance agreements, permit
applications, etc.
4.1.10 Product/Report Number
Every product should be assigned a standard report number composed of an
approved report series (i.e., report code or report prefix), a group separator, and a
report sequence number (i.e., report suffix).
4.1.10.1 Technical Reports
The Department of Energy uses a standard report numbering system that is
based on American National Standards Institute ANSI/NISO Z39.23-1990,
"Standard Technical Report Number (STRN)--Format and Creation."
1. Department of Energy Program Office Reports
Department of Energy organizations number their information products as
follows:
a. Use "DOE/" at the beginning of the report number.
b. Add the two-letter code used to identify the Assistant Secretary
under whose authority the Program Office operates.
c. Complete the number with a double hyphen (--) or a single en
dash and a report sequence number. Master lists of these report
sequence numbers are maintained by the Printing Operations
Branch, HR-841. Examples are DOE/NE--193 or DOE/FE--71.
2. Department of Energy Field Element Reports
Department of Energy Field Elements number their information products as
follows:
a. Use "DOE/" at the beginning of the report number.
b. Add the two letters that identify the field element responsible for
the report.
c. Complete the number with a double hyphen (--) or a single en
dash and a report sequence number assigned by the Technical
Information Officer (TIO) at the field element. An example is
DOE/OR--756.
3. Major Project Office Reports
Department of Energy major Project Offices number their information
products as follows:
a. Use "DOE/" at the beginning of the report number.
Section 28
b. Add the two- or three-character identifier that is unique to the
project office. These identifiers will be assigned if requested by
ET-20.
c. Complete the number with a double hyphen (--) or a single en
dash and a report sequence number that is maintained at the project
office. An example is DOE/LLW--176.
4. Contractor Reports
Major Department of Energy laboratories and contractors that have been
assigned codes shall use these approved codes. For contractors that do not
have approved codes, contracting officers must provide instructions
ensuring that contractors number information products as follows:
a. Use "DOE/" at the beginning of the report number.
b. Add the final seven characters (two letters and five digits) from
the applicable contract or grant number and separate the letters
from the digits with a virgule (/). The two alphabetic characters and
the succeeding five-digit number must be extracted from the
contract number.
c. Complete the number with a double hyphen (--) or a single en
dash followed by a sequential number for each report generated
under the contract (do not use leading zeros). For new contracts,
begin the sequential number with the single digit "1." For existing
contracts, continue the sequence already established for the life of
the contract. Contract renewals or extensions do not change the
two alphabetic characters or the five-digit number. Example of a
report number generated from the contract number
DE-AC03-92NE01834 would be DOE/NE/01834--1.
d. Contract modification numbers normally shown as .M001,
.M002, and so forth, if any, that follow the basic five-digit number
are not used in the report number.
Additional information that may help you in determining a report number is
that reports which are issued in more than one binding or are reissued as
revisions or later editions are identified by adding the following suffixes to
the basic number: Rev. (revision); Vol. (volume); Pt. (part); Add.
(addendum); Ed. (edition); Ex. Summ. (executive summary); and Suppl.
(supplement). Abbreviations for other terms may be requested from ET-20.
Some examples of the added suffixes are DOE/NE/01834--1-Rev.1,
DOE/NE/0 1834--1-Pt.1, or DOE/NE/01834--1-Suppl.1.
It would be helpful to ET-20 to be notified of any modification in the
report series or to an already established report number.
4.1.10.2 Special Report Series
1. Conference Proceedings
A special report series has been established for conference papers and
proceedings. Department of Energy organizations and contractors,
including those contractors who have their own unique report codes,
should request appropriate numbers from ET-20 if they would like them
contained in the conference database and other publications which utilize
the special number series before issuing conference proceedings.
Information that should be provided when requesting a number from
ET-20 includes the name of the conference; sponsor(s); the beginning and
ending date(s) that the conference was or is to be held; and location,
including city, state, and country.
2. Translations
Many organizations have an approved report series to identify translations.
3. Multimedia
The following characters should be used at the end of the report numbers
for the multimedia to indicate the type:
VC
videocassette
MC magnetic cartridge
MT magnetic
tape DK diskette
FM 16mm file
VD videodisc
CD CD-ROM
AC audiocassette
Example: DOE/XX/12345--123-VC
4.1.10.3 Multiple Report Numbers
Section 29
The assignment of more than one report number is encouraged if multiple
report numbers would be useful in sequencing reports or showing multiple
performers.
4.1.11 Funding Office(s)
This can be identified by the name, symbol, or B&R code of the DOE office
providing support or funding. For projects funded by more than one office, all
sources of DOE funding are requested.
4.1.12 Performing Organization Name and Address
The name of the organization performing the work generating the information
product is requested.
4.1.13 Handling and Release of Information Products (Rev. 1, 09/30/97)
4.1.13.1 Unclassified Unlimited Products
It is the policy of the Department to the extent possible to make all its
unclassified information freely and openly available. See section 2 for a
description of the types of scientific and technical information products.
4.1.13.2 Unclassified Products Containing Sensitive Information
In particular cases where it is necessary to place controls on the availability
of certain information, such controls are in conformance with applicable
statutes, laws, regulations, Executive Orders, international agreements,
directives, and Departmental policy. Departmental Elements are
responsible for performing classification, patent, and sensitivity reviews in
accordance with funding agency policies; DOE guidelines; and other
applicable statutes, laws, and regulations. Such reviews should be
performed prior to any decision being made as to the form the information
might take, as any dissemination restrictions might influence the allowable
form of the information (e.g., information containing Applied Technology
would not be appropriate for submission to a professional journal).
1. Types of Sensitive Unclassified Information
a. Patent Sensitivity
Federal agencies are authorized to withhold from disclosure
to the public information disclosing any invention in which
the Federal Government may own a right, title, or interest,
for a reasonable length of time in order for a patent
application to be filed.
(1) The following statement should be clearly
provided on the product containing potentially
patentable information:
"PATENT CAUTION
This product may contain patentable subject matter
protected from unauthorized disclosure under U.S.
Patent Law (35 U.S.C. 205). No further
dissemination outside of the Government without
the approval of the Assistant General Counsel for
Intellectual Property, U.S. Department of Energy."
(2) Products containing potentially patentable
information should additionally be clearly and
prominently marked with Distribution Statement B
(Attachment II-G).
b. Protected Cooperative Research and Development
Agreement (CRADA) Information
Protected CRADA Information is information produced in
the performance of a CRADA that is marked as being
Protected CRADA Information by a party to the agreement
and that would have been proprietary information had it
been obtained from a non-Federal entity.
(1) Products containing information that is
protectable under the terms of a CRADA should be
clearly provided with the following statement to
prevent disclosure of such information:
"PROTECTED CRADA INFORMATION
This product contains Protected CRADA
Information which was produced on ________[date]
under CRADA No. _________ and is not to be
further disclosed for a period of ___________ from
the date it was produced except as expressly
provided for in the CRADA."
Section 30
(2) Products containing Protected CRADA
information should additionally be clearly and
prominently marked with Distribution Statement E
(Attachment II-G).
c. Unclassified Controlled Nuclear Information
(1) Unclassified Controlled nuclear Information
(UCNI) is identified and controlled as directed in
DOE Order 471.1, "Identification and Protection of
Unclassified Controlled Nuclear Information", and
Title 10, Code of Federal Regulations (CFR) Part
1017, "Identification and Protection of Unclassified
Controlled Nuclear Information."
(2) Whenever possible, use a non-UCNI title and
subtitle for an UCNI document. Indicate whether the
title does or does not contain UCNI.
(3) Each product so identified should be clearly
marked with Distribution Statement D (Attachment
II-G).
d. Export Controlled Information
(1) Export Controlled Information should be clearly
identified to ensure appropriate handling of such
information by potential recipients.
Such data, when designated as "Export Controlled
Information," are given controlled distribution to
prevent their unauthorized release to foreign
countries, organizations, or individuals.
(2) Such information to be released should be clearly
marked in accordance with the following
procedures:
(a) Markings to be affixed to technical
information determined to be ECI (Export
Controlled Information) may vary depending
on the needs and preferences of site or
program managers. The following
format is preferred:
"EXPORT CONTROLLED
INFORMATION
Contains technical data whose export is
restricted by statute. Violations may result in
administrative, civil, or criminal penalties.
Limit dissemination to U.S. Department of
Energy and major U.S. DOE contractors.
The cognizant program manager must
approve other dissemination. This notice
shall not be separated from the attached
document.
___________________
_________________"
Reviewer Signature Date
(b) Sites that have developed their own ECI
marking formats may retain them as long as
they contain at least the information elements
of the preferred format.
(3) Products containing export controlled
information should be clearly provided with
Distribution Statement D (Attachment II-G).
e. Small Business Innovation Research (SBIR) and Small
Business Technology Transfer (STTR)
The Small Business Innovation Research and Small
Business Technology Transfer products should be clearly
marked as containing SBIR or STTR proprietary
information and carry prominently Distribution Statement B
(Attachment II-G).
f. Naval Nuclear Propulsion Information
Naval Nuclear Propulsion Information is controlled in
accordance with Public Law 98-525 (42 U.S.C.7158).
Naval Nuclear Propulsion Information, unclassified or
classified, may be released publicly or for dissemination to
foreign governments, foreign nationals, or any individual or
activity not engaged in work for the naval reactors program
only with the specific approval of the Director of the
Office of Naval Reactors.
g. Proprietary Data
Proprietary data which arise from Department of Energy
financial assistance agreements are controlled in accordance
with 48 CFR 952.227 and 5 U.S.C.552.Proprietary data
which arise from DOE contracts involving "limited rights
data" or "restricted computer software" are defined and
controlled in accordance with FAR 52.227-14 and 5 U.S.C.
552.
(1) Products containing proprietary data arising
from DOE contracts or financial assistance
agreements should be clearly provided with the
following statement:
Section 31
"PROPRIETARY DATA
This technical data contains proprietary data
furnished under contract no.__________ with the
U.S. Department of Energy. Disclosure outside the
Government is not authorized without prior
approval of the originator, or in accordance with
provisions of 48 CFR 952.227 and 5 U.S.C.552."
(2) Products containing proprietary data should also
be clearly provided with Distribution Statement B
(Attachment II-G).
h. Official Use Only Information
For guidance consult your site or field office technical
information office, Freedom of Information Act office,
classification office or legal counsel. For additional
consultation, contact the OSTI Classification and Control
Officer.
(1) Products identified as containing OUO should be
marked with Distribution Statement C (Attachment
II-G).
i. Applied Technology Information
Applied Technology Information is initially given controlled
distribution in order to limit the information to domestic
recipients, thereby retaining the foreign trade value of the
information. This information is exchanged, on a quid pro
quo basis, with nations having formal exchange agreements
with the United States.
(1) Products containing information designated as
"Applied Technology" should be clearly provided
with the following statement:
"APPLIED TECHNOLOGY
Any further distribution by any holder of this
product or data therein to third parties representing
foreign interests, foreign governments, foreign
companies, and foreign subsidiaries or foreign
divisions of U.S. companies shall be approved by the
________ [insert appropriate NE Program Office
officials], U.S. Department of Energy. Further,
foreign party release may require DOE approval
pursuant to 10 CFR 810, and/or may be subject to
Section 127 of the Atomic Energy Act."
Use the following to fill in the appropriate NE
Program Office officials in the blank in the statement
above.
(a) For information emanating from the
Reactor Systems, Development, and
Technology Program, the label should read
"Associate Deputy Assistant Secretary for
Reactor Systems, Development, and
Technology."
(b) For information emanating from the
Reactor Deployment Program, the label
should read "Associate Deputy Assistant
Secretary for Reactor Deployment."
(c) For information emanating from the
Space and Defense Power Systems Program,
the label should read "Deputy Assistant
Secretary for Space and Defense Power
Systems."
(d) For information emanating from the
Naval Nuclear Propulsion Program, the label
should read "Deputy Assistant Secretary for
Naval Reactors."
(2) Applied Technology products, as defined by the
Director, Office of Nuclear Energy, do not include
base technology information. Base technology
information is defined as information reporting on a
fundamental knowledge of nuclear technology but
without any information related to the engineering,
design, construction, or operation of particular
projects requiring major funding. Base technology is
unlimited information and is not subject to
distribution controls.
(3) Products identified as containing Applied
Technology Information should also be clearly and
prominently marked with Distribution Statement F
(Attachment II-G).
j. Protected Battery Information
(1) Products containing Protected Battery
Information should be clearly marked with the
following statement to prevent disclosure of such
information:
"PROTECTED BATTERY INFORMATION
This product contains Protected Battery Information
which was produced under Contract/CRADA No.
Section 32
________ and is not to be further disclosed for a
period of up to five years after the completion of the
individual project, or not prior to ________ [date]."
(2) Products so identified should also be clearly and
prominently marked with Distribution Statement E.
(Attachment II-G).
4.1.13.3 Classified Information Products
Pursuant to Executive Order 12958 and the Atomic Energy Act of 1954, as
amended, classified information is defined as certain information that the United
States Government has determined requires protection against unauthorized
disclosure for reasons of national security (i.e., RESTRICTED DATA,
FORMERLY RESTRICTED DATA, and NATIONAL SECURITY
INFORMATION). Specific guidelines are contained in the DOE 5600 series of
directives.
1. Distribution Limitation Statements
Classified scientific and technical products generated within the
Department of Energy should be clearly and prominently provided with an
appropriate distribution limitation statement as follows. This is to ensure
that the recipient will subsequently handle and disseminate the products in
accordance with Department of Energy and other security requirements.
a. For SECRET Nuclear Weapon Data (Restricted Data or
Formerly Restricted Data) Sigmas 1, 2, 11, 12, and 13 products,
use Distribution Statement H (Attachment II-G).
b. For SECRET and CONFIDENTIAL Nuclear Weapon Data
(Restricted Data and Formerly Restricted Data) Sigma 3, 4, 5, 9,
and 10 products; for CONFIDENTIAL Nuclear Weapon Data
(Restricted Data and Formerly Restricted Data) Sigma 1, 2,
and 11 products; and for all non-Nuclear Weapon Data Restricted
Data products use Distribution Statement G (Attachment
II-G).
c. For all non-Nuclear Weapon Data Formerly Restricted Data and
all National Security Information products use Distribution
Statement F (Attachment II-G).
2. Use an unclassified title and subtitle if the subject matter can be indicated
clearly. The classification level and category, including “unclassified” must
be indicated on all titles to classified products in accordance with to DOE
Order 471.2 and its implementing guidance.
4.1.13.4 Declassified Information Products
Classification information products that have been properly declassified must also
be reviewed by the originating agency for unclassified but sensitive information as
outlined in DOE Order 5650.2B, “Identification of Classified Information.”
Declassified information products must be marked accordingly and distribution
statements included prior to release and distribution.
4.1.14 Distribution of Information Products
4.1.14.1 Distribution Categories
ET-20 maintains a distribution program in consultation with DOE Program
Offices and publishes updated distribution categories as needed. Program
Offices are responsible for their categories.
1. The distribution category should be on the title page or
self-cover of each printed report, or clearly indicated for other
products. The appropriate distribution category for unclassified
products can be found in the publication, DOE/OSTI--4500,
"Program Distribution for Unclassified Scientific and Technical
Reports." The appropriate distribution for classified products can
be found in the publication, DOE/OSTI--3679 (Formerly M-3679),
"Standard Distribution for Classified Scientific and Technical
Reports."
2. Any distribution of classified products that is made by the
performing organization is to be indicated on a distribution page
printed in the back of the report.
Section 33
4.1.14.2 Types of Distribution
1. Unrestricted
a. Program Offices request reports be distributed according
to appropriate addresses listed in DOE/OSTI--4500 or to
special lists.
b. DOE and contractor organizations subscribe to
microfiche copies of all or selected subsets of the
documents, or purchase single documents.
c. GPO subscribes to microfiche copies of the documents
for Depository Libraries, all or subsets.
d. NTIS receives a copy for sale to the U.S. and foreign
public.
e. Energy Technology Data Exchange member countries
receive a subset within the subject scope of the exchange.
f. International Nuclear Information System receives a
subset within the scope of the agreement for further
distribution to its member countries.
g. Announcement records (bibliographic citation and
abstract) are provided in the Energy Science and
Technology Database, in Energy Research Abstracts, and to
the organizations receiving microfiche.
2. Classified
Classified scientific and technical information products will be
announced by ET-20 in accordance with DOE/OSTI--3679
(Formerly M-3679).
3. Unclassified Controlled/Sensitive
a. Provided or available at the direction of the
program/originator.
b. Announced through bibliographic citation in ET-20's
Controlled Access Database or programmatic databases.
4.1.15 Releasing Information
Indicate if patent clearance has been submitted for DOE patent clearance and/or if
clearance has been granted by whom and when.
4.2 Physical Form of the Information Product
Information products can come in many forms or combinations of forms, including
print or nonprint. Print includes paper and microform. Nonprint media includes
videocassettes, magnetic cartridges, magnetic tapes, diskettes, audiocassettes,
16mm files, video discs, CD-ROMs or any combination thereof. Processing of
multimedia requires that special information as appropriate to each item be
provided.Please provide two copies of the medium, a descriptive abstract, playing
speed, machine compatibility, quantity/type of medium, physical description, color,
playing time, sound, and the name of a contact person for additional information.
These information products should be prepared for transmittal to ET-20 as defined
in "Submitting Your Documents, Computer Products, and Audiovisuals to
NTIS" (Attachment II-H).
4.2.1 Technical Reports
ANSI Z39.18-1987, "Scientific and Technical Reports--Organization, Preparation,
and Production," is the standard to be followed for the production of technical
reports. If the report is intended to be printed by ET-20, the originator of a report
should pro vide an original reproducible master; if the report is to be microfiched,
a facsimile for microfiching should also be provided. This does not include the
multiple copies provided for standard distribution by ET-20. To expedite the
reproduction of these re ports and to ensure good quality printing and
microfiching, these guidelines should be followed if at all possible. Because
technical reports are also produced, stored, and retrieved in electronic formats, the
author(s) or other individuals charged with preparing a report should plan to
deliver both a paper copy and an electronic version available on diskette,
CD-ROM, or through network services. At a minimum, the electronic version of a
report should exist as an ASCII (American Standard Code for Information
Interchange) file. At best the electronic version should exist as SGML (Standard
Generalized Markup Language) coded data. Further guidelines for the standards
and practices for electronic exchange of data and information are presented in
section 5.
Section 34
4.3 Miscellaneous Information
4.3.1 Use of the Department of Energy Seal
Use of the Department of Energy seal, as described in DOE Order 1000.2B,
"Department Seal and Flag," is limited as follows: "Official publications or
graphics issued by and attributed to DOE, or joint statements of DOE with one or
more Federal agencies, State or local governments, or foreign governments."
4.3.2 Company Names and Logos
Company names, logos, or similar material may not be placed on camera-copy
pages of the text and should be removed from photographs as specified in the Joint
Committee on Printing's, "Printing and Binding Regulations," Title III, Paragraph
13, S. Pub. 109-9.
4.3.3 Measurement System
On the basis of direction contained in Executive Order 12770, "Metric Usage in
Federal Government Programs," of 7-25-91; the Metric Conversion Act of 1975
(Public Law 94-168, as amended by Public Law 100-418); and various Title 15,
Code of Federal Regulations parts and subparts, use of the metric system for all
measurement references is generally required.
4.4 Reproduction
When it is practical and efficient for technical reports to be reproduced by the
originating institution, such reproduction should be in accordance with the
Government Printing and Binding Regulations issued by the Joint Committee on
Printing and Department of Energy directives and with any predetermined
distribution requirements. The originating institution may have the report
duplicated or printed and then sent to ET-20 for distribution, or it can send two
copies of a report to ET-20 for processing. In some cases, ET-20 will arrange for
reproduction or printing at a charge to the funding program. Use the addresses
below to send reports, whether printed, reproduced, or reproducible master, to
ET-20.
Mail
U.S. Department of Energy
Office of Scientific and
Technical Information
P.O. Box 62
Oak Ridge, TN 37831
Motor Freight
U.S. Department of Energy
Office of Scientific and
Technical Information
Building 1916-T-1
175 Oak Ridge Turnpike
Oak Ridge, TN 37830
To avoid repetitive
duplicating and
printing efforts,
performing
organizations that
produce copies of a
report for their own
use should provide
sufficient copies to
ET-20 to meet
predetermined
distribution
requirements.
Reproduction of classified reports must be done in accordance with guidelines
already established for classified reports.
4.5 Reference Publications
This guideline is written to take advantage of standards already in use in the
publishing industry and includes support material in:
ANSI Z39.4-199x, "Library and Information Sciences and Related Publishing
Practices--Basic Criteria for Indexes."
ANSI Z39.14-1979(R1986), "Writing Abstracts."
ANSI Z39.18-1987, "Scientific and Technical Reports--Organization, Preparation,
and Production" (under revision).
ANSI Z39.23-1983, "Library and Information Sciences and Related Publishing
Practices--Standard Technical Report Number (STRN)--Format and Creation."
ANSI Z39.29-199x, "Bibliographic References."
ANSI Z39.59-1988, "Electronic Manuscript Preparation and Markup."
ANSI Z39.72-199x, "Format for Submission of Data for Multimedia CD-ROM
Mastering."
ANSI/IEEE 268-1992, "American National Standard for Metric Practice."
ASTM E 380-91, "Standard Practice for the Use of the International System of
Units (SI)," 1991.
"The Chicago Manual of Style," 14th ed., Chicago, IL, University of Chicago
Press, 1993.
Rubens, Philip. "Science and Technical Writing: A Manual of Style." New York,
NY, Henry Holt, 1992.
Section 35
Swanson, Ellen, "Mathematics into Type: Copy Editing and Proofreading of
Mathematics for Editorial Assistants and Authors." Rev. ed. Providence, RI,
American Mathematical Society, 1979.
Weast, Robert c.(ed.) "CRC Handbook of Chemistry and Physics: A
Ready-Reference Book of Chemical and Physical Data," 66th ed. Boca Raton, FL:
CRC Press, 1985.
"United States Government Printing Office Style Manual." Rev. ed.
1984.Washington, DC: U.S. Government Printing Office.
5. Production and Exchange of Electronic Documents Using Standard Generalized
Markup Language
5.1 Introduction
The initiative to develop standards for the electronic exchange of scientific and
technical information began in August 1991 within the Department of Energy
Office of Information Resource Management Policy, Plans, and Oversight with the
announcement of an initiative to adopt ISO-8879, Standard Generalized Markup
Language (SGML), as defined in Federal Information Processing Standard (FIPS)
152, as the standard for the electronic exchange of scientific and technical
information. The Office of Scientific and Technical Information (OSTI), which
coordinates scientific and technical information management policy within the
Department, was given the lead for this initiative.
In February 1993, "The Electronic Exchange of Scientific and Technical-
Information (STI) Strategic Plan" was issued with a goal of making electronic-
exchange of full-text scientific and technical information the norm by the year
2001.
The Department of Energy is continuing to migrate to an open systems
environment. SGML and supporting standards facilitate the government-wide goal
of achieving open systems interoperability in terms of document format and
exchange. These standards are being integrated into the existing information
architecture for the management and processing of DOE STI.
SGML is recognized as the best business practice for document interchange, and
originators and users of information tagged in SGML benefit from increased
accessibility, timeliness, and completeness of information as the information is
increasingly used and reused in a wide range of applications throughout its life
cycle.
5.2 Assumptions
The foundational assumptions upon which this initiative rests are as follows:
Digital technology has matured and we should use it now, based on-
standards.
-
The economic and political climate demands that we cut costs while-
attempting to meet the increasingly sophisticated information demands of
our customers.
-
There is universal agreement that the ability to exchange information-
electronically in a standardized way is the most cost-effective and efficient
means available.
-
A standardized approach to sharing information facilitates economies and-
efficiencies; information is created only once.
-
Standardizing the exchange of information facilitates the use and reuse of-
information.
-
Standardizing our approach to the electronic exchange of information-
promotes the conservation of STI a valuable national resource.-
-
A standardized approach assumes an Open Systems, nonproprietary-
environment in which international standards play the predominant role for
information exchange.
-
Standards and Open Systems yield more cost-effective migration paths to-
new technologies in the future through reduced conversion and data
integrity costs.
-
This approach assumes system and application neutrality; with a neutral-
data format, translation is not required between applications or systems.
Section 36
-
Paper-based systems will be the exception, not the norm, by the year 2001.-
5.3 Standards-Based Implementation
To ensure interoperability at all levels, this implementation is based on standards.
To leverage technological advances and support infrastructure in other areas of the
Federal Government, the collection of Continuous Acquisition Life-Cycle Support
(CALS) standards is the model for the Department of Energy information and
systems integration programs. In addition, other standards are identified that
facilitate the transition to electronic exchange within the Department
(Attachment I, "Electronic Exchange Standards" DOE G 1430.1D-1-Rev 1).-
OSTI will continue to review and evaluate emerging standards as they pertain to
document interchange and ensure that those standards that represent best business
practices and the interests of the Department are considered for adoption.
In order to facilitate the Department's transition to the use of Standard Generalized
Markup Language as an exchange standard, OSTI is working with stakeholders to
establish the following:
A registry and management process for document type definitions (DTDs) for
classes of scientific and technical information products . Classes of documents,
which conform to a set of DTDs, are being identified. The Department's SGML
Technical Working Group has determined that greater than ninety percent of STI
documents fall into a Technical Report class of documents. Other classes of
documents include books, Patent applications, engineering materials, theses, and
bibliographies. DTDs are being established for these classes of documents as
appropriate. The Technical Reports DTD is currently available at
http://www.doe.gov/html/osti/eei/eei.html. These DTDs provide a minimum
standard only.
A registry for SGML elements and attributes that provides the basis for uniform
tagging of scientific and technical information products within the Department.
Electronic Exchange Tool Kits . These provide some of the practical, entry-level
tools necessary for the transition to electronic document interchange within the
Department. A Bibliographic Exchange Tool Kit is now available and may be
obtained by calling 423-576-2119 or sending an e-mail to
earl.smith@ccmail.osti.gov. A Full-Text Exchange Tool Kit will be available in FY
1996. Technical advice and consultation for SGML implementation issues are
available at OSTI. A list of resources within the Department is currently being
developed to assist users in finding training, technical assistance, and consultation.
5.4 Transition to Electronic Exchange
5.4.1 Current Exchange Environment
The current electronic exchange environment is characterized by information-rich,
autonomous organizations where, in the absence of a common standard for
interchange, the exchange of STI is a labor-intensive, time-consuming, difficult,
expensive, and primarily a paper-based effort. The reliance upon proprietary
methodologies presents the greatest obstacle to the electronic exchange within the
Department. Enabling electronic exchange means removing these obstacles to
communication through the adoption and use of the standards identified in this
policy within the Department of Energy.
5.4.2 Managing Transition
Section 37
The process of implementing SGML includes a period of transition from the
current environment to an interim phase to the electronic exchange systems
architecture based on the exchange of SGML-encoded information. Bibliographic
data will be addressed first through a series of field tests, in conjunction with DOE
and contractor participants, that precede full-text implementation. Full text
follows, also, through a series of field tests with DOE and contractor participants.
Whereas it is recommended that DOE and contractor participants begin the
transition process with a bibliographic exchange to gain knowledge and experience
with SGML, this does not preclude beginning with a full-text exchange that
addresses both bibliographic and full-text STI. The transition to the routine
exchange of SGML-encoded full-text STI is planned to culminate in the year
2001. DOE and contractor participants should be prepared to participate by 1998.
The transition is scheduled to meet the following milestones:
DOE, Office of IRM Policy, Plans and Oversight issued -
-
Memorandum adopting SGML as DOE standard for electronic document -
interchange — 1991 -
SGML Technical Working Group formed — 1992-
-
TAG and DTD Registry established — 1994-
-
Guide for Transmitting Standard Generalized Markup Language (SGML) -
encoded Bibliographic Records published — 1994-
-
SGML Bibliographic Tool Kit provided — 1995-
-
SGML Full-Text Tool Kit provided — 1996-
-
Guide published for the Exchange of SGML-Encoded Full-Text Scientific and -
Technical Information — 1995-
-
SGML-Encoded Bibliographic Information Field Tests conducted — 1995/96-
-
SGML-Encoded Full-Text Information Field Tests conducted — 1996/97-
-
Organizational implementation plans developed — 1996-
-
Routine exchange of SGML-encoded bibliographic data implemented — 1996/97-
-
Routine exchange of SGML-encoded full-text implemented — 1996/98-
In the transition period from paper and proprietary electronic formats to
SGML-encoded information, a limited number of document formats are acceptable
for electronic document interchange. These interim formats are (1) Standard
Generalized Markup Language (SGML), (2) Hypertext Markup Language
(HTML), (3) PostScript, (4) TIFF Group 4 as specified in Attachment I,
"Electronic Exchange Standards" DOE G 1430.1D-1-Rev.1, and (5) Portable-
Document Format (PDF). Widely used word-processor and graphics packages
produce documents in at least one of the interim formats.
There is a description of a generic SGML/HTML publishing model and a
PostScript production model in Attachment II, DOE G 1430.1D-1-Rev 1. In
addition, descriptions and explanations of processing options and suggested
application software tools are located on the World-Wide Web at
http://www.doe.gov/html/osti/eei/eei.html. SGML-encoded full-text information
should be parsed and exchanged in accordance with the DOE Technical Reports
Document Type Definition. SGML-encoded bibliographic information should be
submitted in accordance with the Guide for Transmitting Standard Generalized
Markup Language (SGML) Encoded Bibliographic Records
(DOE/OSTI--11685). HTML-encoded documents should be parsed and
exchanged in accordance with the OSTI HTML Document Type Definition
(HTML DTD 3.0). Document Type Definitions and guidance are currently
available via the Electronic Exchange Home Page
(http://www.doe.gov/html/osti/eei/eei.html), may be obtained by calling
423-576-1138, or by sending an e-mail to:
Section 38
charlene.luther@ccmail.osti.gov.
Though discouraged, paper continues to be an acceptable information exchange
medium through the transition period. While it is expected that costs and
inefficiencies should provide sufficient incentives to use electronic modes of
document creation and transmission, there will be a small number of activities that
may continue to use paper-based systems. Through this transition period OSTI will
digitize paper inputs, using scanning technology, in order to output TIFF Group 4
images for storage and conversion. Processing parameters standards for
conversion to TIFF Group 4 images may be found in Attachment I, "Electronic-
Exchange Standards" DOE G 1430.1D-1-Rev 1. -
5.4.3 Interim Document Formats
The purpose of this listing is to provide a brief overview and discussion of the
document formats that are being accepted for electronic document exchange via
file transfer protocol (FTP), magnetic media, or electronic mail.. These interim
formats are accepted to accommodate a range of current needs within the DOE
information environment.
Please note that only unclassified information that is not subject to statutory or
Program Office announcement and/or access limitations can be transmitted on
open systems networks such as the Internet.
5.4.3.1 Standard Generalized Markup Language
Standard Generalized Markup Language (SGML), ISO 8879, is recognized
as the best business practice for document interchange. SGML is a flexible
and neutral data format, independent of proprietary formats, and
universally accessible. SGML facilitates reuse and automation, and it has
few limitations in its ability to express complex scientific and technical
information. In addition, SGML satisfies all foundational assumptions
identified in Paragraph 5.2 and is currently the Department’ s document-
format of choice for the electronic exchange of information.
5.4.3.2 Hypertext Markup Language>
Hypertext Markup Language (HTML) is an application of SGML that has
a specific Document Type Definition (DTD) and fixed tag set. Since
HTML is a neutral data format and universally accessible, it is an
acceptable transition document exchange format. Although HTML does
have limitations in terms of its ability to express complex documents, such
as STI, it is viewed as a viableinterim option.
5.4.3.3 Postscript
PostScript, a page description language that allows documents to be
transmitted electronically with all original formatting and graphics intact, is
an established industry standard. OSTI is currently accepting PostScript as
an exchange format because, in addition to being an industry standard for
document printing, it is a format that is easily converted to other media
(e.g., paper, fax, PDF, image formats, etc.). PostScript files can be saved
from a standard word processing package such as Microsoft Word or
Novell’s WordPerfect. Once created, the Postscript files can be delivered-
electronically to OSTI.
5.4.3.4 TIFF Group 4
An acceptable interim format for electronic exchange of STI is TIFF Group
4. TIFF Group 4 is currently being used by a number of DOE and DOE
contractor activities. To ensure consistency, a standard for submissions to
OSTI is TIFF CCITT Group 4. (See Attachment I, "Electronic Exchange-
Standards" DOE G 1430.1D-1-Rev 1 for specifications.)-
5.4.3.5 Portable Document Format (PDF)
Section 39
Portable Document Format (PDF), a proprietary format owned by Adobe
Systems Incorporated, can best be described as an enhancement of the
PostScript format. The PDF format maintains almost complete fidelity to
the original document and is an efficient solution for providing electronic
access to documents. Through the use of Adobe’ s Acrobat TM PDF Writer-
driver, PDF files can be created by printing to PDF from word processing
and other desktop publishing applications. By using a viewing application
available on the Internet such as Adobe TM AcrobatTM, PDF files can be-
browsed on-screen or they can be printed to local or remote printers. PDF
files can be searched through the viewing application or through
proprietary database engines that provide filters for the format. The most
current version of PDF supports the addition of hyperlinks to multimedia
objects and Internet URLS.
5.4.3.6 Other Formats
The preceding formats have been identified as best business practices by
members of DOE's STI Partnership. All DOE and contractor sites are
urged to use these formats for electronic submission to OSTI, with the
ultimate goal being SGML. In the interim, OSTI is prepared to work with
sites on a case-by-case basis to facilitate a workable transition.
5.4.4 Future Exchange Technologies
OSTI continues to evaluate new technologies for their applicability to electronic
document exchange. If these technologies provide a better, more efficient format
for electronic document exchange, OSTI and its STI Partners are open to adopting
them as a better business model and, if adopted, providing a transition strategy
from the current to the new format.
5.5 References
-
ISO-8879, Information Processing — Text and Office Systems — Standard Generalized-
Markup Language (SGML)
-
Federal Information Processing Standard 152, Standard Generalized Markup Language-
-
OMB Circular A-130, Management of Federal Information Resources, June 1993-
-
Office of IRM Policy, Plans and Oversight, Memorandum, Subject: Electronic Exchange-
of Scientific and Technical Documents, August 28, 1991
-
Electronic Exchange of Scientific and Technical Information (STI) Strategic Plan,-
January 1993
-
Guide for Transmitting Standard Generalized Markup Language (SGML) Encoded-
Bibliographic Records, September 1994
-
Information Architecture, Volume I: The Foundations; March, 1995 (DOE/HR-0141)-
6. Records Management--Program, Project, Task, or Study Record File
A program, project, task, or study record file is developed and maintained to ensure adequate
record copy documentation of a research and development (R&D) or administrative program,
project, task, or study; to provide sufficient information to facilitate efficient and timely follow-up
on the activity if and when it becomes necessary; and to provide an adequate historical record of
the activity conducted.
6.1 Defining a Program, Project, Task, or Study Record File
There are two major types of program, project, task, or study record files: research
and development (R&D) and administrative. An R&D record file is defined by its
approved Field Task Proposal Authorization (FTPA) or any other approved
budget document. The retention of each R&D file is scheduled based on the value
of that file. An administrative program, project, task, or study file is defined by its
charter. The retention of administrative files is also based on the value of each file.
6.2 Contents of a Program, Project, Task, or Study Record File
Section 40
An R&D or administrative file should be a well-organized collection of records
rich in content but small in volume. Centralization of the file will enable others
working on the program/project/task/study to feed pertinent and appropriate items
into the file, enabling the individual researcher/team member to retain his/her
material for reference purposes only. This file should be located in the office of the
Principal Investigator (R&D record files), Task or Study Team Leader
(administrative record files), or an appointed responsible individual. The following
are among the appropriate materials to include in such record files:
1. Copies of all relevant FTPAs or any other approved budget documents.
2. Program, project, task, or study personnel lists.
3. Program, project, task, or study organizational charts.
4. Correspondence written or received by program, project, task, or study
personnel that contains significant information about the program, project, task, or
study or its relationship to another ongoing program, project, task, or study.
5. Minutes/notes of meetings that affect the course of the program, project, task,
or study.
6. Indexes to record information about the location of the following materials
when such materials are a part of a larger centralized record file series. (These
indexes allow you to avoid creating voluminous files.)
a. Program-, project-, task-, or study-related drawings (indexed by
identification number and subject).
b. Program-, project-, task-, or study-related photographs (indexed by
identification number and subject).
c. Program, project, task, or study reports (indexed by report number and
title).
d. Research and technical (laboratory) notebooks (indexed by notebook
number and subject).
7. Copies of material that the project researchers think will add significantly to the
documentation of the project (e.g., special memos to file discussing incidents and
photographs or sketches not indexed in item 6).
6.3 Retention Guides
When applicable, use the records retention schedules given in the following
sources: DOE Order 1324.2A, "Records Disposition," which pertains to records
unique to the Department of Energy (DOE), and National Archives and Records
Administration (NARA), "General Record Schedules," which applies to all Federal
agencies. If schedules found in either document are not applicable, then the
Records Manager at the site will evaluate the record file series and submit a
recommendation for retention of the record file to DOE Headquarters using DOE
F 1324.5, "Request for Records Disposition Authorization." Headquarters'
Records Manager will submit the proposed schedule to NARA for approval.
When approval is received, the submitting organization has disposition authority
for the record files.
Attachment II-G (Rev. 9/16/97)
DOE G 1430.1D-1
Distribution Statements for Use on Scientific and
Technical Information Documents
The distribution statement assigned to a Department of Energy document shall appear on each front cover
and title page and shall be displayed conspicuously so as to be readily recognized by recipients, with the
following exception: Distribution Statement A or its equivalent statement may, at the discretion of the
originating facility, appear elsewhere on the document. See following page for crosswalk between
distribution statements and applicable information types.
A: Approved for public release; further dissemination unlimited.
(Unlimited)
Section 41
B: Further dissemination authorized to U.S. Government agencies only; other requests shall be approved
by the originating facility or higher DOE programmatic authority.
(Patent Caution; Proprietary; SBIR; STTR)
C: Further dissemination authorized to U.S. Government agencies and their contractors; other requests shall
be approved by the originating facility or higher DOE programmatic authority.
(OUO)
D. Further dissemination authorized to the Department of Energy and DOE contractors only; other requests
shall be approved by the originating facility or higher DOE programmatic authority.
(UCNI; ECI)
E. Further dissemination authorized to the Department of Energy only; other requests shall be approved by
the originating facility or higher DOE programmatic authority.
(Protected CRADA; Protected Battery Information)
F. Further dissemination only as authorized by the originating facility or higher DOE programmatic authority;
requester must possess appropriate security clearance, need-to-know, and facility approval for receipt and
storage of classified documents by the DOE Office of Security Affairs.
(Non-weapon data FRD; NSI; Applied Technology)
G. Further dissemination only as authorized by the originating facility or higher DOE programmatic authority;
requester must possess appropriate security clearance, Restricted Data access authorization, need-to-know,
and facility approval for receipt and storage of classified documents by the DOE Office of Security Affairs.
(Confidential, Sigmas 1,2,11; all Sigmas 3,4,5,9,10; all other non-weapon data RD)
H. Further dissemination only as authorized by the Director of Military Application or directed by the DOE
Weapon Data Control Officer (DP-45); requester must possess DOE Q clearance or equivalent, Restricted
Data access authorization, need-to-know, and facility approval for receipt and storage of classified
documents by the DOE Office of Security Affairs.
(SRD, Sigmas 1,2,11,12,13)
Distribution Statement Applicable Information Type
A Unlimited
B Patent Caution; Proprietary Data; SBIR; STTR
C Official Use Only
D Unclassified Controlled Nuclear Information; Export
Controlled Information
E Protected CRADA; Protected Battery Information
F Non-weapon Data FRD; NSI, Applied Technology
G CRD Sigmas 1,2,11; All other non-Sigma RD
H SRD Sigmas 1,2,11,12,13
SF 1010-SSF (2-96)
Energy Science and Technology Software Center
Software Submittal Form
Required Submittal Package Contents
Software Submittal Form (this form)
Abstracts ( see abstract format description for content)
Two copies of each printed document provided
A listing of printed documents provided
Computer Media Provided Form (ESTSC F 2) Directory of Computer Media provided
One complete set of the computer media
Printed data provided as part of the submittal package MUST be of reproducible quality.
1. Type of Submittal: DOE NRC
a. This is new software and no previous version/revision for any machine has been submitted.
b. This is a revised version of a package currently part of ESTSC’s software collection as indicated below.
Different computer version Major revision Minor modifications Replacement
c. This is additional material for a previously submitted software package.
If type b or c is indicated above, please provide ESTSC/NEWSC or other Software Identification Number:
Section 42
2. Applicable Access Controls/(DOE software only) Yes (“X” all that apply.) No
If the NO box is marked above, unlimited distribution may be made.
Copyright Release SBIR Patent Hold
ECI/ITAR/EAR (Complete section 3 below) UCNI (Complete section 3 below) CRADA
Proprietary Other (Explain):
3. Appropriate Audience if UCNI or ECI indicated above (DOE software only
DOE offices only Federal agencies only
DOE offices and DOE contractors Federal agencies and their contractors
DOE offices and DOE major contractors Government agencies only
Government agencies and their contractors
Other (Specify):
4. Sponsoring Organization
Office and Agency name of the organization funding the development of the submitted software package:
DOE Contract Number (if applicable):
NRC Contract Number (if applicable):
5. Technical Contact
Name:
Telephone:
6. Submitted By:
Name: Title:
Organization:
Address:
City: State: Country: Zip Code:
Telephone: Fax: Internet:
Authorization is granted to the Energy Science and Technology Software Center (ESTSC) to reproduce and distribute all
or any part of this software and package material in accordance with existing laws, regulations, DOE orders, DOE/NRC
agreement and/or written program office guidance. This material has been reviewed for sensitivities and access should
be controlled as indicated in sections 2 and 3. ESTSC is authorized to distribute DOE software as is without further
testing.
Submitter’s Signature: Date Submitted:
Software Acronym (as indicated on the Abstract Format Description) :
Administrative use (to be completed by (ESTSC): Software Package Number:
SF 1010-CMP (1-96)
Energy Science and Technology Software Center
Computer Media Provided Form
Software Acronym Date: May 20, 1997
Please indicate the following--
Make and model of computer from which files were extracted:
Operating system from which files were extracted:
Type(s) of file(s) on the media provided:
Source Code Executable Module(s) Object Module(s) Sample Problem Input Data
Text Library Auxiliary Material Control Information Sample Problem Output Data
Object Library Compilation Instructions Program Flow Diagram Programmer Documentation
User guide Linking Instructions Program Flow Data Other ( explain)
If documentation is included on the magnetic media, please indicate in the space provided below which editor or
software package was use to produce the documentation data files (s), as well as any special printing requirements
(I.e., Postscript format or other specific non-standard hardware/software requirements for printing documentation):
Attach a directory of each computer medium, compilation instructions, and linking
instructions.
Diskette(s)
Number of Diskettes: Total Number of Files:
Type: Personal Computer MacIntosh Computer
Size: 5.25” 360KB 5.25” 1.2MB 3.5” 720KB 3.5” 1.44MB 400KB
800KB
8MM Cassette Tape(s)
Number of Cassettes: Total Number of Files:
Type: 300MB 600MB 2.5GB 5GB
Size: ASCII ANSI Unix tar VMS Back-up
QIC 150 (1/4” Cartridge) Tape(s)
Number of Tapes: Total Number of Files:
Length: 140’ 185’ 205’ 405’ 2.5GB 5GB
Format: ASCII ANSI Unix tar VMS Back-up
Section 43
QIC 150 (1/4” Cartridge) Tape(s)
Number of Tapes: Total Number of Files:
Density: 1600bpi 6250bpi
Labels: No label ANSI Std IBM Std
Character Set: EBCDIC ASCII
Software Package Number: (Assigned by ESTSC)
Attachment III-D
DOE G 1430.1D-1
Energy Science and Technology Software Center
Abstract Format Description
Note: Due to the difference in size and complexity of software packages and the corresponding differences in their
respective documentation requirements, a specific form for the required abstract information has not been
provided. Instead, this Abstract Format Description lists the data elements required for the Abstract and a brief
description of each data element. This questionnaire is computerized in MS Word 6.0 and WordPerfect for
Windows and there is a completed sample following after the software code type list. Please note that informa-
tion for all 18 Abstract data elements is required. Use text only; no diagrams or flowcharts. Character limit for
any one data element is 2,000. The character limit for all information: 9,000. Thank you for your prompt reply.
1. Identification. Provide the following four information elements to be used to uniquely identify the software.
(a) Software Acronym: This name, given to the main or major segment of module packaged, usually
becomes the name of the code package. If an appropriate name is not obvious,
invent one related to the contents. (Limit 20 characters.)
(b) Short or KWIC Title: This title should tell something of the nature of the code system; e.g., calculation
method, geometry, distinguishing features of the code package, etc. It should be
telegraphic in style with no extraneous descriptors, but rather a string of keywords
and phases. The words "code" and "program" do not belong in a description of a
code "package." (Limit 80 characters.)
(c) Subject Classification Code(s): Choose 1 through 4 letter(s) representing appropriate software code types
from the following “Subject Classification Codes’ Definitions and Key
Words”.
(d) Keywords: Choose appropriate descriptive words (no more than 12) from the following “Subject Codes’
Definitions and Key Words”.
2. Author Name(s) and Affiliations: List software code author(s) or contributor(s) names followed by the organ-
izational affiliation. If more than one affiliation is represented, pair authors
with their affiliations.
3. Software Completion Date: List approximate date(s) that the version of the executable module(s), which will
be created by the submitted program modules, was first used in an applications
environment.
4. Brief Description: Briefly describe the purpose of the computer program, state the problem being solved, and
summarize the program functions and capabilities. This will be the primary field used for
announcement purposes.
5. Method of Solution: Provide a short summary of the mathematical methods, engineering principles, numerical
algorithms, and procedures incorporated into the software.
6. Computer(s) for which software is written: List the computer(s), i.e., IBM3033, VAX6220, VAX, IBM PC, on
which this software package will run.
7. Operating System: Indicate the operation system used, release number, and any deviations or exceptions; i.e.,
is the operating system "off the shelf" with no modifications, or has it been modified/custo-
mized? If modified, note modification in field 11.
Section 44
8. Programming Language(s) Used:Indicate the operation system used, release number, and any deviations or
exceptions; i.e., is the operating system "off the shelf" with no modifications,
or has it been modified/customized? If modified, note modification in field
11.
Attachment III-D, Page 2
9. Software Limitations: Provide a short paragraph on any restrictions implied by the storage allocation (such
as the maximum number of energy groups and mesh points) as well as those due to the
approximations used (such as implied argument-range limitations). Also to be used to
indicate the maximum numbers of user, etc., or other limitations.
10. Unique Features of the Software: Highlight the advantages, distinguishing features, or special capabilities
which may influence the user to select this package over similar packages.
11. Related and Auxiliary Software: If the software supersedes or is an extension of earlier software, identify the
original. Identify any programs not considered an integral part of this soft-
ware but used in conjunction with it (e.g., for preparing input data, plotting
results, or coupled through use of external data files). Note similar library
software, when known.
12. Other Programming or Operating Information or Restrictions: If the software supersedes or is an extension
of earlier software, identify the original. Identify any programs not consid-
ered an integral part of this software but used in conjunction with it (e.g., for
preparing input data, plotting results, or coupled through use of external
data files). Note similar library software, when known.
13. Hardware Requirements: List hardware and installation environment requirements necessary for full utili-
zation of the software. Include memory and RAM requirements in addition to any
nonstandard features.
14. Time Requirements: Include any timing requirement estimations (wall clock and computer clock) necessary to
execute the package. Give enough detail for the potential user to estimate the execution
time for given program parameters (e.g., 5-10 min.).
15. References: List citations of pertinent publications by author, title, report number, bar code, or order number
if available, and date. References are to be broken down in two groupings: (a) reference docu-
ments provided with the submittal package; and (b) additional background reference materials
generally available.
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-----------------------------------------------------------------------------------------------------------------------
Attachment III-D
DOE G 1430.1D-1
Energy Science and Technology Software Center
Abstract Format Description
Note: Due to the difference in size and complexity of software packages and the corresponding differences in their
respective documentation requirements, a specific form for the required abstract information has not been
provided. Instead, this Abstract Format Description lists the data elements required for the Abstract and a brief
description of each data element. This questionnaire is computerized in MS Word 6.0 and WordPerfect for
Windows and there is a completed sample following after the software code type list. Please note that informa-
tion for all 18 Abstract data elements is required. Use text only; no diagrams or flowcharts. Character limit for
any one data element is 2,000. The character limit for all information: 9,000. Thank you for your prompt reply.
1. Identification.
(a) Software Acronym: PUBS
Section 45
(b) Short Description: Database publishing system; generates bibliographic publications
(c) Subject Classification Code(s): M, P, T, Z
(d) Keywords: bibliographies; batch loading; compilers; database management; data compilation; data
processing; data tagging; documentation; information dissemination; information retrieval;
topography; VAX computers
2. Author Name(s) and Affiliations: Norman E. Smith, David Cobb, Rick Anthony (Science Applications Interna-
tional Corporation, Oak Ridge, TN)
Joe Edgar (XYZ Corporation, Knoxville, TN)
3. Software Completion Date: 9/9/91
4. Brief Description: PUBS is a database publishing system that is used to generate bibliographic publications.
Data is pulled directly from a BASIS database, processed by PUBS, and output to a laser
printer orphoto typesetter. The output is formatted and camera ready. Features include
automatic handling of special characters including Greek characters and math symbols,
automatic generation of abstract numbers, and user specified section headers. The publica-
tions are organized by subject.
5. Method of Solution: PUBS is table driven using object oriented programming techniques A software based
finite state machine controls much of the processing. All run-time options are specified
via an Option File that can be parsed both by DCL and application programs. Functional
design was applied in the design phase. The software is constructed in a modular manner.
6. Computer(s) for which software is written: VAX
7. Operating System: VMS
8. Programming Language(s) Used: STOIC (80%); C (4%); FORTRAN (1%); TeX (10%); DCL (5%)
9. Software Limitations: Disk space is a limiting factor. The largest single usage is temporary sort work files.
10. Unique Features of the Software: PUBS is a batch system with no manual intervention to produce a typeset
publication. It translates human readable special character representations
directly into TeX tags for proper printing. Special characters are Greek and
math symbols, as well as superscripts and subscripts. Nested symbol are
allowed. Customization of the document can done via the option file at run-
time. This includes such things as generating "refer also" entries for
abstracts. Abstract numbers are generated and maintained by the software.
This includes routine publications.
Attachment III-D, Page 2
11. Related and Auxiliary Software: PUBS relies heavily on two related packages, STOIC and TeX. STOIC is a
Forth-like language that is VAX specific and available from DECUS. Most
of the preprocessing software is written in STOIC. TeX is a typesetting
language that is integrated with the preprocessing software to format the
publication.
12. Other Programming or Operating Information or Restrictions: In the STOIC source code "." indicates main
programs; the extension for modules follow the main program, i.e. main
program of ABST would have modules end in ".ABST". File extension of
".RAW" is data extracted and not processed. File extensions of ".SORT" is
sorted data. File extensions of ".TEX" is input to TeX. File extensions
".DVI" is TeX output device independent file. File extension of ".COM" is
DCL command file. STOIC and TeX are proprietary software.
13. Hardware Requirements: DEC VAX running VMS; 60,000-100,000 blocks free disk space depending on the
publication size.
14. Time Requirements:Run time requirements depend highly on computer load and size of the publication. Rule of
thumb is 1 minute per abstract on lightly loaded VAX 11/780. This includes generation of
indexes and running TeX.
Section 46
15. References: Brodie, Leo, "Thinking Forth," Prentice-Hall, 1984. Hauck, Roger, "A Detailed Guide to
VAX/VMS STOIC," Smithsonian Institution Astrophysical Observatory, June 1980.
Knuth, Donald, "The TeXbook," Addison-Wesley, 1987.
Subject Classification Codes’ Definitions and Key Words
(For ESTSC’s Abstract Format Description Questionnaire Items 1c & d)
A Cross Section and Resonance Integral Calculation: Computation of reaction cross sections
from nuclear theory such as the optical or Hauser-Feshbach models, resonance cross
sections by Breit-Wigner or multilevel theory, determination of differential scattering cross
sections, cross-section evaluation and compilation programs.
Key words: Hauser-Feshbach Theory, Breit-Wigner Formula, differential cross sections,
scattering, computer calculations, mathematical models, nuclear physics,
educational tools, computer codes
B Spectrum Calculations, Generation of Group Constants, Lattice and Cell Problems:
Determination of the slowing-down density or thermal spectrum, weighting and averaging
of cross sections and related quantities for the production of group constants, and
evaluation of design parameters by lattice and cell calculation.
Key words: neutron spectra, Lattice Field theory, neutron density, slowing down, computer
calculations, cross sections, group constants, reactor lattices, educational tools,
computer codes
C Static Design Studies: Calculation of the reactivity and flux distribution of the reactor system,
and adjustment of design parameters to prescribed specifications, i.e., criticality and power
distribution search procedures.
Key words: reactors, criticality, computer calculations, power distribution, neutron flux, flux
density, reactor kinetics, reactivity, educational tools, computer codes
D Depletion Fuel Management, Cost Analysis, and Power Plant Economics: Includes burn-up
programs, isotope and fission product buildup and decay computations, and optimization
studies.
Key words: fuel management, fuel cycle, cost estimation, cost, nuclear fuels, burnup, fission
products, educational tools, computer codes
E Space-- Independent Kinetics: Studies of the time-behavior of reactors including delayed-
neutron effects and feedback mechanisms, and transfer-function evaluation.
Key words: reactors, reactor kinetics, delayed neutrons, feedback, transfer functions,
educational tools, computer codes
F Space-- Time Kinetics, Coupled Neutronics, Hydrodynamics, Thermodynamics, and
Excursion Simulations: Programs that consider spatial design characteristics and
accompanying effects in studying the time-behavior of the reactor.
Key words: reactors, reactor kinetics, computerized simulation, neutron flux, reactor physics,
hydrodynamics, thermodynamics, excursions, spatial distributions, time dependence,
reactor operation, neutron transport theory, educational tools, computer codes
G Radiological Safety, Hazard, and Accident Analysis: Calculation of internal and external
dose rates, determination of reactor thermodynamic and hydrodynamic properties following
an accident, e.g., release of radioactive materials, coolant system blowdown, steam
generator rupture.
Key words: fision product release, radiation doses, radiation hazards, radiation protection,
radiology, reactor accidents, educational tools, computer codes
H Heat Transfer and Fluid Flow: Steady state and transient heat transfer computations, fluid-
flow studies and calculations of thermodynamic properties.
Section 47
Key words: fluid flow, heat transfer, hydraulics, steady state conditions, thermodynamics,
transients, educational tools, computer codes
I Deformation and Stress Distribution Computations, Structural Analysis, and Engineering
Design Studies: Includes fuel-element design evaluations, core-configuration studies, and
composite structure analysis.
Key words: composite materials, deformation, fuel elements, mechancial structures, reactor
cores, stress analysis, stresses, educational tools, computer codes
J Gamma Heating and Shield Design: Gamma and photon transport calculations, computation
of heat-generation rates, and penetration analysis and leakage calculations for shielding.
Key words: photon transport, radiation heating, shielding, educational tools, computer codes
K Reactor Systems Analysis: Combinations of programs, designed as systems, for solving
correlated problems from several of the categories A through I.
Key words: fuel elements, reactor components, reactor operation, reactor physics, reactor
safety, educational tools, computer codes
L Data Preparation: Generation of program parameters; checking, editing, and formatting of
problem input information.
Key words: data compulation, data processing, educational tools, computer codes
M Data Management: Construction, maintenance, and retrieval of data files, e.g., cross-section
libraries; management systems such as payroll, personnel, and financial systems, property
and equipment systems, network-oriented project management and indexing and retrieval
systems, etc.
Key words: compiled data, data base management, information, information systems, data
compilation, nuclear data collections, computer networks, educational tools,
computer codes
N Subsidiary Calculations: Plotting, editing, and display routines which process output data
from other programs.
Key words: computer calculations, plotters, computer graphics, computer output devices,
educational tools, computer codes
O Experimental Data Processing: Programs designed to process data directly acquired from an
experimental situation or to assist the experimenter in the design of the experiment.
Key words: experimental data, data processing, data acquisition, educational tools, computer
codes
P General Mathematical and Computing System Routines: Calculation of mathematical
functions, statistical analysis, special-language routines with general data-processing
capabilities, and software systems.
Key words: computer calculations, mathematical models, data processing, statistical models,
statistics, educational tools, computer codes
Q Materials: Measurements and computation of the physical and mechanical properties of
materials, simulation of radiation damage processes, corrosion studies, and determination of
crystallographic functions.
Key words: materials, physical properties, mechanical properties, physical radiation effects,
crystallography, educational tools, computer codes
R Environmental and Earth Sciences: Environmental impact studies, geology, seismology,
geophysics calculations, hydrology and ground water studies, bioenvironmental systems
analyses, meteorological calculations relating to the atmosphere and its phenomena, studies
of airborne particulate matter, climatology, etc.
Key words: air pollution, contamination, emission, ground water, monitoring, pollutants,
pollution control, remedial action, soils, transport, educational tools, computer
codes
Section 48
S Space Sciences: Analysis of orbits and trajectories, astronomy and astrophysics computations,
wave propagation studies and the calculation of re-entry parameters.
Key words: orbits, trajectories, astronomy, astrophysics, wave propagation, reentry, educational
tools, computer codes
T Electronics, Engineering Equipment, and Energy Systems Studies: Automated design of
electronic equipment, computer-aided design (CAD) and manufacturing (CAM), process
control programs, systems analysis and engineering computations for numerically controlled
machine tools and energy consumption analysis in buildings, industry, and transportation.
Key words: electronic equipment, energy systems, computer-aided design, computer-aided
manufacturing, process control, computer calculations, systems analysis,
educational tools, computer codes
U Chemistry: Chemical analysis, mass spectroscopy, radiation chemistry, radiolysis studies, etc.
Key words: chemical analysis, mass spectroscopy, radiation chemistry, radiolysis, gas
chromatography, radiochemistry, radiochemical analysis, separation processes,
chemical reaction kinetics, chemical reactions, educational tools, computer codes
V Particle Accelerators and High-Voltage Machines: Programs relating to the design,
development, and operation of high-voltage machines and particle accelerators such as Van
de Graaff generators, linear accelerators, cyclotrons, synchrotrons, etc.
Key words: accelerators, radiation detectors, educational tools, computer codes
W Physics: Calculations relating to theory of atomic or molecular structure or properties, charged
particle collision studies that involve phenomena such as charge exchange, excitation,
ionization, dissociation, etc., elementary particle theories and models, scattering theory,
quantum field theory and quantum electrodynamics studies, general relativity and gravitation
theory computations.
Key words: charge exchange, excitation, ionization, dissociation, scattering, computer
calculations, mathematical models, collisions, mechanics, electromagnetizm,
magnetizm, field theories, gravitation, thermodynamics, interactions, elementary
particles, nuclei, atoms, molecules, spectroscopy, optics, acoustics, plansma, atomic
physics, high energy physics, nuclear physics, educational tools, computer codes
X Magnetic Fusion Research: Electric discharge phenomena and plasma physics computations,
electrodynamics and magnetic hydrodynamics studies.
Key words: Tokamak devices, plasma simulation, magnetic confinement, plasma instability,
plasma, magnetohydrodynamics, electrodynamics, educational tools, computer
codes
Y Biology and Medicine: Biological, medical, radiological studies of the structure, functions,
chemistry, biophysics, reproduction, and heredity of bacteria, plants, laboratory animals, and
humans.
Key words: biological effects, health hazards, dosimetry, radiation doses, neoplasum, animals,
plants, humans, organs, tissues, radioisotopes, proteins, enzymes, educational tools,
computer codes
Z Data: Data prepared in specific program formats for program testing and evaluation, benchmark
studies, or library use.
Key words: data, data acquisition, data acquisition systems, benchmarks, standardization,
educational tools, computer codes
WLS January 10 & 29, 1996
E S T S C F 1 7
( 4 / 9 4 ) Attachment III_E
DOE G 1430.lD-1
Energy Science and Technology Software Center
Software License
E S T S C F 1 1 Attachment III-E
( 4 / 9 4 ) DOE G 1430.1D-1
E n e r g y S c i e n c e a n d T e c h n o l o g y S o f t w a r e C e n t e r
NRC COMPUTER SOFTWARE TRANSMITTAL RELEASE
Order
Associated Guide