Scientific and Technical Information (STI) Submission and Reporting Requirements for Financial Assistance Recipients
Financial Assistance (FA) recipients are required to submit Scientific and Technical Information (STI) according to the terms of their award which includes requirements for reporting and submission of STI to OSTI.
Requirements for FA awards are established by policy and guidance issued by the DOE Senior Procurement Executive (SPE) in the Office of Management, Office of Acquisitions Management (OAM). STI requirements for federal staff initiating and executing FA awards are set by DOE O 241.1C, Scientific and Technical Information Management. These requirements are then incorporated into DOE FA policy and guidance issued by the SPE under their purview. The policy and guidance issued by the SPE is implemented for FA awards by way of the DOE Guide to Financial Assistance (to be referred to as the “FA Guide”).
STI management requirements for FA can be divided into two categories: 1) Requirements for federal staff initiating and executing FA awards and 2) Requirements for recipients of DOE FA funding.
Requirements for federal staff initiating and executing FA awards
Federal staff that initiate FA awards include DOE program offices that fund/sponsor R&D. This includes program and technical project officials and the Grants Officer/Contracts Officer (GO/CO) and their representatives that execute and administer awards. The STI requirements for federal staff in these roles are identified by DOE O 241.1C and then translated to official DOE guidance issued by the DOE SPE through the FA Guide. In general, these requirements include:
- Identification of STI required for the award
- Review and release of STI that is submitted/reported as required by the award
- Monitoring to ensure compliance with the STI submission/reporting requirements outlined by the award during the award and at closeout
Requirements for recipients of DOE FA funding
As noted, STI submission/reporting requirements for recipients of DOE FA funding are set by the DOE SPE based on their official role in management of FA for DOE, and those requirements are outlined by the terms of the award based on guidance provided by the FA Guide.
However, there are standard STI submission requirements identified by DOE O 241.1C which are required for federal staff when initiating and managing the DOE FA awards. Those requirements and links to the appropriate submission information/instructions are referenced in the table below.
STI Product |
Reporting Requirement |
Submission Information |
|---|---|---|
Technical Report (Final and Other) |
At completion of the award or phase, e.g., SBIR Phase I (referred to as Final Technical Reports) and/or if the sponsoring program requires certain research results immediately (referred to as Technical Report - Other). |
|
Journal Article/Accepted Manuscript |
When the recipient has published the R&D of the award in a peer-reviewed journal. |
|
Scientific Data |
When the scientific data is shared publicly as described in an approved Data Management Plan (DMP) or Data Management and Sharing Plan (DMSP). |
|
Conference Paper, Presentation, Poster or Proceeding (Conference Products) |
When the conference product is published in a peer-reviewed journal or is the primary means of reporting the results of the R&D. |
|
Scientific Software |
When the software required for the scope of work that has been awarded meets the definition of STI, is a stable, usable, and documented version of the software, i.e., not under initial development, and has undergone all appropriate reviews for sensitivity and export control. |
|
Books/Monograph |
When a book or monograph is generated as a result of the R&D. |
|
Thesis/Dissertation |
When a thesis/dissertation is generated as a result of the R&D. |
|
Technical Workshop Report |
When the workshop communicates the primary results of the R&D. |