ELECTRONIC EXCHANGE OF SCIENTIFIC AND TECHNICAL INFORMATION (STI) STRATEGIC PLAN

U.S. Department of Energy
Office of Administration and Management
Office of Information Resources Management
Office of Scientific and Technical Information
January 1993

TABLE OF CONTENTS

FOREWORD
INTRODUCTION
1.0 MISSION STATEMENT
2.0 VISION STATEMENT 2001
3.0 SITUATION ANALYSIS
4.0 STRATEGIC GOALS
5.0 KEY PERFORMANCE INDICATORS
6.0 STRATEGIC ISSUES
7.0 STRATEGIES
Appendix-Electronic Exchange Strategic Planning Team Members

FOREWORD

[TOC] [NEXT] Rapidly increasing requirements for timely, accurate information throughout the Department of Energy (DOE) have compelled the development of an accepted DOE-wide standard/operating guideline for electronic information/document processing and exchange with in the DOE community. This initiative is necessary to support the mission of Information Resources Management (IRM) Vision 21: to ensure secure, efficient, and effective quality life-cycle management of DOE information and information resources.

The strategy adopted will be based on national and international standards for electronic publishing, hardware, software, telecommunications, and data related to the management of scientific and technical information (STI).

This plan follows the Guidelines for Strategic Planning (DOE/PE-0099) set forth by the Office of Policy, Planning and Analysis in July 1991. Consistent with these guidelines, the plan uses a top-down rather than a bottom-up approach. Although objectives and milestones for achievement are stated in broad terms, this document is not intended to be an operating plan. As stated in the Guidelines, while strategic plans spell out where we hope to be in the future, they do not lay out a detailed road map to get there. They offer strategies basic directions or courses of action but not operating plans.

The next steps in the planning process will be to develop a multi-year program plan, followed by specific operating budget plans. This strategic plan is intended to be a living document, and will be updated throughout the planning and implementation process.

Contact:
Janice M. Blanton
Director, Scientific and Technical Information Services Division
Office of Scientific and Technical Information
P.O. Box 62
Oak Ridge, TN 37831
(615) 576-1323

INTRODUCTION

[TOC] [NEXT] [PREV] On August 28, 1991, a memo from R. S. Barrow, Director of the Office of IRM Policy, Plans, and Oversight (AD-24), announced that the Standard Generalized Markup Language (SGML) as defined in Federal Information Processing Standard (FIPS) 152 is adopted as the DOE standard for accomplishing this electronic exchange. The Office of Scientific and Technical Information (OSTI) (AD-21) was given the overall responsibility for managing the adoption and transition to the use of SGML for scientific and technical documents. SGML, along with other standards such as the Government Open Systems Interconnection Profile (GOSIP), will provide a common standard for electronic document processing and exchange.

A pre-planning meeting was held in Albuquerque, New Mexico, on November 5-6, 1991, to discuss issues and identify a DOE-wide Strategic Planning Team on Electronic Exchange. The Team met at OSTI on February 25-27, 1992, to begin developing this Strategic Plan. The Team is composed of information managers and professionals and computer scientists from DOE and contractor sites across the country. (See the appendix for a list of the members of the Team.)

Although the initial objective is to provide for electronic transmission of STI, the ultimate goal is to achieve electronic transfer, retrieval, and exchange of full documents. Electronic transfer can be defined as providing documents on an electronic medium in such a way that they are usable by the recipient in the format in which they are transmitted (e.g., sending floppy disks containing SGML-formatted documents). Electronic exchange then refers to the fully automated transfer of information between one or more electronic systems so that content-based retrieval can be performed with precision. To accomplish this goal, it will be necessary to analyze (and possibly adjust) the services provided by OSTI. As the users of STI make the transition away from paper as the major medium, OSTI and other information providers must be prepared to accept and provide STI on electronic media, such as online networks, magnetic tapes, and floppy disks, to a much greater extent.

This initiative will emphasize and enhance full life-cycle management of STI. Electronic exchange of STI will benefit users, generators, and managers of information. The full realization of the implementation of SGML will facilitate interchange among the members of the scientific and technical community by providing increased versatility of information (new ways to use information), encouraging multiple uses of information, stimulating increased use of STI, and providing more flexible access to many types of information. The potential for global electronic interchange of STI and the focus on content rather than format is expected to revolutionize the use of information.

It is anticipated that the electronic exchange of STI will begin to be commonplace by the year 2001. Shifting the focus from technology to management, development, and use of the information itself will promulgate a broader definition and vision of STI, which will include graphics, supporting data for technical reports, etc. The focus will be on adding value to the information by making more of it accessible and usable than ever before. The implementation of electronic information/document exchange will integrate the DOE community horizontally and vertically. Site leaders in this initiative will work with STI sources (e.g., authors, editors, originators, generators, developers, etc.) to determine needs, capabilities, current related activities, and potential involvement. The DOE information management community will be called upon to help develop the strategy and provide education and training. Planning and implementation will be coordinated with the Office of Administration and Human Resource Management (AD), program offices and field offices, and contractor management to ensure that all budgetary, program, resource, and other needs are met. In addition to establishing internal guidelines and standards, DOE must work with vendors of commercial products to ensure that the hardware and software needed to support DOE STI exchange will be in place.

1.0 MISSION STATEMENT

[TOC] [NEXT] [PREV] To maximize the value of scientific and technical information to the DOE community and others by adopting a coordinated suite of standards and by implementing tools and methodologies that facilitate the electronic exchange and management of STI throughout its life cycle.

2.0 VISION STATEMENT-2001

[TOC] [NEXT] [PREV] In the year 2001, scientific and technical information constitutes a dynamic and interactive resource for the DOE community. The scope of STI emphasizes structure, content, and usability. The Standard Generalized Markup Language serves as the government-wide standard to facilitate the electronic exchange of STI. Originators and users of STI benefit from increased accessibility, timeliness, and completeness of information. STI is effectively and increasingly used and reused in a wide range of applications throughout its life cycle.

3.0 SITUATION ANALYSIS

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3.1 Requirements

The following crucial requirements must be met to fulfill the stated mission and vision:

3.2 Present Situation and Planning Assumptions

3.2.1 Present Situation

The DOE community, which will be the major contributor of resources for implementing electronic exchange of STI, is characterized by diversity. Work is performed and information generated by contractors, subcontractors, universities, and DOE organizations. Users of DOE STI include international energy agencies and foreign countries, industry, academia, the general public, and the DOE community. A variety of funding and cost recovery arrangements are in place for DOE contractors, including fixed fee, cost plus award, and award fee contracts. Within these various categories of users, a wide range of capabilities for using STI exists. Variables include the hardware and software used to retrieve and manipulate information; the knowledge, education, and training of the end user; and organizational budgets for acquiring STI. There are few standards for equipment and few requirements for consistency among sites and offices.

Massive quantities of STI are generated by the Department and its contractors each year. While much of this information is accessible in the form of project deliverables and other reports, a great deal of STI is never captured in an accessible format (e.g., supporting data contained in researchers - notebooks). The problem is not a lack of information, but rather that the existing information is often inconsistent and not in a format that can be easily transferred. In addition, no common mechanism exists for users to access STI, and users have no full understanding of what is available.

Currently, STI deliverables are provided primarily in paper copy. While more use is being made of electronic media for storing and disseminating information, several studies have shown that paper will continue to be an important medium for many years. The National Archives and Record Administration (NARA) currently accepts only paper, microform, or computer tape for permanent copies. Both NARA and DOE are hesitant to accept other media as permanent copies because of the lack of standards. Therefore it may be a long time before electronic documents are fully accepted.

The adoption of a standard for electronic information exchange will be a new initiative for DOE and will involve cultural change throughout the STI community. Management support at all levels will be crucial. Other standards-based programs, such as the Computer-aided Acquisition and Logistics Support (CALS) initiative, which are evolving simultaneously with SGML, will also affect the environment in which electronic exchange will occur.

3.2.2 Planning Assumptions

In developing this Strategic Plan, the following assumptions were made:

3.3 Key Stakeholder Considerations

In any planning effort, there are people or organizations who have or believe they have a vested interest in its success. Because of the large scale of this effort, the support of these stakeholders will be crucial to its ultimate success.

3.3.1 Identified Stakeholders

Three categories of stakeholders in a successful implementation of electronic exchange have been identified: (1) developers of STI, (2) agents who facilitate the use and transmission of STI, and (3) end users of STI. These stakeholders can also be considered as internal (those actually involved with generation of STI) and external (those involved in policy, procedures, management and/or use of STI).

	       Stakeholders
	      Internal and External 
     Developers: Operations staff, scientific/engineering staff, 
     management/administrative staff  
     Agents: Librarians, writers/editors, legal staff,
     Data processing/networking staff, academia,
     compositors, text processors, records managers,
     unions, hardware and software vendors, peer
     graphics professionals, clerical staff, data
     review boards, legal staff
     processing/networking staff, academia,
     information-related unions  

     Users: DOE management, AD management, DOE
     program management, contractor management,
     subcontractor management, Work For Others
     program participants, other federal agencies
     overseeing and performing research, other
     federal agencies using research results, DOE
     security, public, legal community, financial
     organizations  

3.3.2 Considerations

The following considerations or impacts to stakeholders in the implementation of electronic exchange of STI have been identified:

3.4 Key Trends

The following trends will impact the implementation of electronic exchange of STI during the planning period. Trends are identified as opportunities or threats to this initiative.

3.4.1 Opportunities

3.4.2 Threats

4.0 STRATEGIC GOALS

[TOC] [NEXT] [PREV] To ensure a successful transition to an environment of electronic exchange of STI by 2001, DOE must achieve the following strategic goals (see section 7.0 for additional detail):

GOAL I: Develop an institutional architecture with clearly defined roles and responsibilities and consistent program direction that will fully support the electronic exchange of STI.

GOAL II: Develop a standards-based technological architecture that will be flexible over time, cost-effective, and provide the highest possible level of utility for electronically exchanging STI.

GOAL III: Ensure stakeholder buy-in/customer satisfaction at all levels by coordinating with and obtaining feedback from internal and external stakeholders throughout the planning and implementation processes.

GOAL IV: Ensure compliance with the current and future legislative, policy, and regulatory environment and incorporate the electronic exchange of STI into pertinent DOE Orders.

GOAL V: Ensure resource effectiveness by taking advantage of lessons learned from other initiatives and reducing redundancies in the institutional and technological architectures.

5.0 KEY PERFORMANCE INDICATORS

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6.0 STRATEGIC ISSUES

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7.0 STRATEGIES

[TOC] [NEXT] [PREV] GOAL I: Develop an institutional architecture with clearly defined roles and responsibilities and consistent program direction that will fully support the electronic exchange of STI.

Strategies:

GOAL II: Develop a standards-based technological architecture that will be flexible over time, cost-effective, and provide the highest possible level of utility for electronically exchanging STI. To be viable in the long-term, the technological architecture must encompass past, present, and future methods/technologies so that it is portable over time and applications. The architecture must not be limited to proprietary standards.

Strategies:

GOAL III: Ensure stakeholder buy-in/customer satisfaction at all levels by coordinating with and obtaining feedback from internal and external stakeholders throughout the planning and implementation processes.

Strategies:

GOAL IV: Ensure compliance with the current and future legislative, policy, and regulatory environment and incorporate the electronic exchange of STI into pertinent DOE Orders.

Strategies:

GOAL V: Ensure resource effectiveness by taking advantage of lessons learned from other initiatives and reducing redundancies in the institutional and technological architectures.

Strategies:

APPENDIX - ELECTRONIC EXCHANGE STRATEGIC PLANNING TEAM MEMBERS

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Janice M. Blanton 
Director, Scientific and Technical Information 
Services Division 
DOE Office of Scientific and Technical Information  

David C. Bellis 
Group Leader, Database Products Branch 
DOE Office of Scientific and Technical Information  

Ray Cook 
Communications Specialist 
DOE Office of Scientific and Technical Information  

Tom Coyne 
Manager, Graphics Services 
Superconducting Super Collider Laboratory  

Ed Engebretsen 
Manager, Technical Information & Publications 
Superconducting Super Collider Laboratory  

Amy B. Finnerty 
Products & Services Research Specialist 
DOE Office of Scientific and Technical Information  

Jean Freeney 
U.S. Department of Energy
DOE Field Office, Oak Ridge   

T. R. (Terry) Girill 
Documentation Group, NERSC 
Lawrence Livermore National Laboratory  

Mary Hall
Information Control and Accountability
DOE Office of Scientific and Technical Information

Jeff Hammond 
Westinghouse Savannah River Site   

Barry Hudson 
Advanced Technology
Westinghouse Savannah River Site 

F. Sutton Kay 
Group Leader, Electronic Publishing Group 
DOE Office of Scientific and Technical Information 

Nancy Kenny 
Deputy Manager, Business and Information Services
BCS Richland, Inc. 

Phillip L. Kienlen 
Section Head, Advanced Publishing Technology 
Martin Marietta Energy Systems 

Kathryn S. Macal 
Director, Information & Publishing Division 
Argonne National Laboratory 

Michael Margolies 
Graphics & Publishing Supervisor 
REECo Print Plant 

Louise Millard 
Head, Technical Information Department 
Lawrence Berkeley Laboratory 

Diane C. Mirvis 
Manager, Technical Information Division 
Brookhaven National Laboratory 

Pam Novak 
Manager, Applied Technologies Communication Section 
Battelle Pacific Northwest Laboratory  

Sharron Oneal 
Printing Officer 
U.S. Department of Energy 

Adron Pritchard
Systems Manager 
Sandia National Laboratories 

Gwen R. Schreiner 
Technical Information Officer 
DOE Field Office, Albuquerque  

Norm Smith 
Senior System Analyst 
Science Applications International Corporation 

Judy Spraker 
Program Analyst 
DOE Office of Scientific and Technical Information 

Larry Thorn
Program Director, Labat-Anderson Incorporated
DOE Office of Scientific and Technical Information

Tom Wrenn 
Information Services Supervisor 
EG@amp;G/Morgantown Energy Technology Center