241.1B Implementation

1.

Appoint and officially inform the DOE Office of Scientific and Technical Information (OSTI) of the STI point of contact who will represent their organization in the Department’s STI Program (STIP) and serve as the STI Releasing Official or designate Releasing Official(s) responsible for ensuring that all STI and Announcement Notices (ANs) are appropriately reviewed and marked accordingly prior to announcement and/or submission to OSTI.

OSTI provides assurance that our announcements are compliant with OSTI requirements.

2.

Implement a site program to identify, prioritize, and make available to DOE OSTI those STI products that the originating site deems useful beyond its boundaries (e.g., STI products that are project deliverables and are intended for publication or dissemination), whether the STI is publicly releasable, controlled unclassified information, or classified, after those products have undergone appropriate institutional review in accordance with statutory, regulatory, Executive order, and/or Departmental requirements. Attachment 3 provides a list of STI products for which submission and/or announcement procedures have been defined by OSTI and the STI Program. Specifically:

LBL keeps internal metrics on its open-access journal deposits to OSTI and OSTI provides DOE-wide metrics on Lab compliance.  Targets for OA deposits are set mutually with BASO.

a.

Provide OSTI an electronic AN for each STI product. Attachment 4 provides a list of available ANs for use and the metadata elements required for each AN.

N/A. No assurance is required, this is the only way to submit to OSTI.

b.

Ensure that each STI product is in an electronic format suitable for automated indexing systems. Refer to www.osti.gov/stip for electronic format options.

N/A This is a part of the OSTI submission process.

c.

Ensure that each STI product is either submitted to OSTI or, if publicly releasable and posted at a website, that the AN provides the unique persistent identifier for the corresponding STI item or provides other availability information.

OSTI and internal OA deposit statistics provide assurance on this function.

3.

Review STI generated under the contract to determine appropriate release and handling and apply any necessary statutory or program-driven announcement and/or availability restrictions, including those related to nonproliferation, national security, export control, intellectual property, protected Personally Identifiable Information and privacy. In addition, apply to the STI product any restrictive markings required, include any required legal disclaimers, and, for STI products resulting from DOE-funded work, identify the sponsor as follows: U.S. Department of Energy, [name of DOE program office], [name of DOE subprogram].

Cyber Security reviews all known instances of restricted information which are accidentally published and provides guidance on the management of these incidents.

4.

Inform OSTI when STI previously announced or submitted to OSTI has been modified, such as changes to access limitations or content corrections. Also, when permanently removing STI from a website for which a persistent link was provided to OSTI, inform OSTI in order to ensure continued appropriate availability and preservation by DOE.

N/A. No assurance mechanism needed for this.

5.

In implementing a site STI program, refer to best practices and National Archives and Records Administration (NARA)-approved DOE programmatic records schedules, such as Department of Energy Research and Development Records Schedule, N1-434-96-9, N1-434-07-01, and N1-434-08-02, Revision 2, June 2008. This schedule includes Appendix A, R&D Technical Reports or Other Forms of STI Submitted to the Office of Scientific and Technical Information (OSTI). (http://www.cio.energy.gov/documents/rd_revised.pdf).

Assurance is provided by assurance mechanisms used in the Records Mgt Program.