A Day on the STI Beat featuring Real World Examples from the STI Files

1. A Day on the STI BeatfeaturingReal World Examples from the STI Files Judy C. GilmoreDave Hamrin Scientific and Technical Information ORNL Classification Officer Program Manager and STI Manager DOE / OSTI Oak Ridge National Laboratory 2012 STIP Annual Working Meeting August 18, 2012

2. A Day on the STI Beat?? Every day brings new STI-related questions and situations for some of us Following is a sampling of issues that have come up at OSTI and ORNL that we can all learn from Who knows what the next email or phone call may bring………..

3. A Day on the STI Beat….. Ladies and gentlemen: the stories you are about to hear are true. The names have been changed to protect the…. well, just to protect.

4. 8:33 a.m. OSTISituation:Same technical report, two different access limitations! The Facts: OSTI receives a call from a frequent user of DOE documents He has identified a report that was formerly marked Applied Technology (AT) that has been re-reviewed and publicly posted on a lab’s web site, but same report is limited in Science Research Connection (www.osti.gov/src) Site did not update E-Link and up-load the re-marked full-text when the access lim changed; he wants SRC updated OSTI does not change distribution limits on site-submitted documents without direct coordination Case Solved: OSTI contacts site, coordinates change in E-link to unlimited, re-marked document uploaded by site Report now available in SRC, AND in Information Bridge and ECD NOTE: Reference DOE M 471.3-1, Manual for Identifying and Protecting Official Use Only Information, which includes guidance on removal of OUO markings

5. 9:02 a.m. OSTISituation: A private citizen has emailed Secretary of Energy about a STI report The Facts: Individual wants to translate a DOE technical report into Spanish and put a new cover sheet on it for his company’s use Request sent to Secretary Chu, entered into SMART system; i.e., clock ticking Initially routed to lead HQ Program Office, declined and routed to another, ultimately assigned to OSTI Report statement indicates it was prepared for a Program Office through a program managed by a DOE Lab. For re-use/authorization requests, it is OSTI’s practice to involve the STI Manager for coordination of site specific guidelines The translation issue was a new angle Case Solved: STI manager coordinates on his end, directly emails requestor granting permission with liability & attribution caveats Notifies OSTI, OSTI notifies HQ, SMART request closed

6. 10:07 a.m. OSTISituation: Older report identified for scanning, includes a SSN following the author’s name The Facts: Report submitted prior to the recognition of Protected PII SSN appears under Author’s name on title page (not uncommon for older, university authored reports) Confirmed only occurrence of Protected PII in document Redaction required to eliminate the SSN and enable public access Case Solved: Based on nature / placement of PPII, OSTI redacts SSN in accordance with accepted standards Submitting site notified of occurrence and OSTI action; for their action relative to copies they may maintain

7. 11:17 a.m. OSTISituation: A lab library has embarked on a new scanning effort of older STI reports The Facts: Astute STI Manager recognizes the need to notify OSTI to avoid duplicate scanning AND the need to include digitized documents in DOE’s STI system Site wants to coordinate for optimal efficiency at lab and OSTI All reports are unlimited, publicly accessible Case Solved: STI Manager receives guidelines from OSTI OSTI Technical Staff works to make as efficient as possible Kudos to the lab!

8. 11:44 a.m. OSTISituation:Inspector General’s Office has contacted OSTI, currently conducting a review of CRADA Report submissions by 4 DOE labs The Facts: IG provides a list of CRADA #s, needs to confirm if final reports received by OSTI Sites submit CRADA reports to OSTI following different practices No efficient way for basic user to hone in on site submitted CRADA reports in SRC or in E-Link to ensure comprehensive search Case Solved: OSTI’s staff conducts query to most efficiently identify CRADA reports based on: CRADA #, and marked as Protected CRADA Data, CRADA in title, in Report # or in other identifying # field; info provided to IG NOTE: Reference DOE O 483.1, DOE Cooperative Research and Development Agreements (being revised)

9. 12:27 p.m. OSTISituation: A long time STI Manager is retiring, they want to notify OSTI of the new STI Point of contact The Facts: Since the issuance of DOE O 241.1B, visibility has been raised Contractors Requirement Document states: 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 Case Solved: OSTI requests email indicating name of site’s STI Manager and associated Releasing Official(s) STIP website & distribution lists updated; additional information and training provided as needed

10. 13:01 p.m. OSTISituation: OSTI contacted by HQ, a major (non-lab) contract coming to an end; preparing for closeout, OSTI contacted by HQ Facts: • STI reports generated through the contract have not been formally submitted to DOE’s central coordinating office for STI, represents a significant investment • Contractor understands requirement but needs assistance related to process • Reference: DOE Acquisition Guide, Chapter 42.4, Confirm Receipt of Technical Reports – For contracts with technical or scientific report requirements, verify that all OSTI-designated reports have been forwarded…. Case Solved: • OSTI works with contractor’s technical and admin staff to arrive at most efficient way to accommodate the backlog and ensure information is received at OSTI for future access and preservation

11. MEANWHILE - OUT AT THE LAB Dave was working the day watch…..

12. 13:15 p.m. ORNLSituation: Software is “stuck in a rut” The Facts: All ORNL-created software must go through a quality assurance process Therefore, it’s simple to locate ORNL-created software If useful beyond ORNL, such software should go to OSTI Case Solved: Arm ORNL software creators with the knowledge and skill to get their software to OSTI

13. 14:03 p.m. ORNLSituation: Requestor needs an Applied Technology report The Facts: • “Applied Technology,” an administrative control used by the Office of Nuclear Energy, is a distribution control that “times out” after 25 years • After 25 years, the reports are no longer considered Applied Technology, but there may be other reasons not to give the reports Unlimited release status (e.g., export control) • Following any removal of a report from Applied Technology status, OSTI needs to be informed of the change in status Case Solved: • Educate library and records staff; use E-link more often

14. 15:13 p.m. ORNLSituation: Type of requestor determines location of scanned report The Facts: • While ORNL researchers are usually “the requestor” who asked to have old reports scanned and be made available, there are other requestors • However, there are other streams of requestors: FOIAs, dose reconstruction efforts from NIOSH, external requestors, etc. • Requestors who deal with the ORNL Library get their reports posted; other requestors do not Case Solved: • Educate library and records staff about leveraging our scanning efforts to avoid duplicating effort

15. 15:22 p.m. ORNLSituation: Classified reports not getting to OSTI The Facts: • After several years of not producing any classified reports, several were produced • Since classified systems don’t connect to unclassified systems, the text of classified reports never leave the classified systems • The mechanism for getting ORNL reports to OSTI resides on the unclassified system Case Solved: • ORNL now has DOE’s enterprise classified system, so classified reports can go full-text to OSTI without needing to be driven over in a briefcase

16. What a Day JOE FRIDAY! A quick review…….

17. A Day on the STI BEAT A.P.B.s[All Points Bulletins] Importance of Access Limitation Updates – OSTI/Site Coordination Ad hoc HQ requests – importance of collaboration Redaction – an important and coordinated effort Scanning efforts – a great partnership CRADA reports – be mindful of best practices STIP POCs – importance of continuity Contract Closeout – preservation of STI critical (and required)

18. A.P.B.s[All Points Bulletins] • Software – an important form of STI • Requests for Limited Access documents – ensure no other Access Lims apply • Scanning – may be more than one site location • Classified reports – new, improved AND secure

19. STIPWorksOUR collaborative resource on the STIP websiteNew section planned to share STI related situations, questions, and solutions; e.g. “ways to solve the case” Judy C. Gilmore Dave Hamrin Scientific and Technical Information ORNL Classification Officer Program Manager and STI Manager DOE / OSTI Oak Ridge National Laboratory gilmorej@osti.govhamrindr@ornl.gov