DoD Instruction 3200.14

Department of Defense

INSTRUCTION
NUMBER 3200.14
May 13, 1997

Administrative Reissuance Incorporating Through Change 3, June 28, 2001
USD(AT&L)

SUBJECT: Principles and Operational Parameters of the DoD Scientific and Technical
Information Program
References: (a) DoD Directive 3200.12, "DoD Scientific and Technical Information
Program," February 11, 1998
(b) DoD Instruction 5200.21, "Dissemination of DoD Technical
Information," September 27, 1979 (hereby canceled)
(c) DoD 3200.12-R-1, "Research and Technology Work Unit Information
System," August 1983 (hereby canceled)
(d) DoD 3200.12-R-2, "Centers for Analysis of Scientific and Technical
Information Regulation," January 1985 (hereby canceled)
(e) through (z), see enclosure 1
1. PURPOSE
This Instruction:
1.1. Implements policy, assigns responsibilities, and prescribes procedures under
reference (a) to carry out the DoD Scientific and Technical Information Program (STIP).
1.2. Replaces references (b) through (d).
1.3. Delineates in enclosures 3 through 7, the major elements of the DoD STIP
including the specific implementation of policy, responsibilities, principles, and
operational parameters for each segment of that program as applicable.
1.4. Authorizes, consistent with reference (e), the issuance of the DoD Scientific
and Technical Information Program Procedures Manual for the inclusion of those

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procedures, practices, standards, and training guides necessary to implement a
comprehensive, efficient, and effective DoD STIP.
2. APPLICABILITY
This Instruction applies to the Office of the Secretary of Defense, the Military
Departments, the Chairman of the Joint Chiefs of Staff, the Combatant Commands, the
Office of the Inspector General of the Department of Defense, the Defense Agencies,
the DoD Field Activities, and all other organizational entities within the Department of
Defense (hereafter referred to collectively as "the DoD Components").
3. DEFINITIONS
Terms used in this Instruction are defined in enclosure 2.
4. POLICY
It is DoD policy under DoD Directive 3200.12 (reference (a)) to establish and maintain
a coordinated and comprehensive program to document the results and outcome of
DoD-sponsored and/or performed research and engineering (R&E) and studies efforts
and provide access to those efforts in an effective manner consistent with the DoD
mission. Additionally, the conduct of DoD research and engineering (R&E) and studies
efforts shall be supported by the STIP through the acquisition, analysis, storage,
retrieval, and dissemination of scientific and technical information (STI) and related
program management information.
5. RESPONSIBILITIES
5.1. The Director, Defense Research and Engineering, as the Principal Staff
Assistant to the Under Secretary of Defense for Acquisition, Technology and Logistics,
shall conduct management and oversight of the STIP, as described in reference (a), and
as further defined in this Instruction.

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DODI 3200.14, May 13, 1997

5.2. The Deputy Under Secretary of Defense for Science and Technology shall:
5.2.1. Ensure the issuance of the DoD Scientific and Technical Information
Program Procedures Manual under DoD 5025.1-M (reference (e)). Approve the
general contents and assign responsibilities for preparation and issuance of specific
Volumes of the DoD Scientific and Technical Information Program Procedures Manual
under reference (e).
5.2.2. Ensure that Defense Technical Information Center (DTIC) shall assist
in implementing STIP policy and administration. The DTIC shall perform technical
information support services for the OSD Principal Staff Assistants, and operate
DoD-wide STI systems. The DTIC shall act as a central coordinating point for DoD STI
databases and systems, and investigate and demonstrate new supporting technology for
those applications.
5.3. OSD Principal Staff Assistants shall have oversight and guidance responsibility
for their respective areas consistent with the policy established in DoD Directive
3200.12 (reference (a)), and consistent with the implementation of policy,
responsibilities, principles, and operational parameters as described in this Instruction.
5.4. The Heads of the DoD Components shall:
5.4.1. Designate a single headquarters point of contact for all matters
involving the STIP and identify the responsible individual to the Office of the Deputy
Under Secretary of Defense for Science and Technology/Plans and Programs
(DUSD(S&T)PP).
5.4.2. Conduct management and oversight of the STIP in their respective
organizations including definition of subordinate organization responsibilities consistent
with the functional responsibilities defined in reference (a).
5.4.3. Ensure the exercise of functional responsibilities delineated in
enclosures 3 through 6 that are necessary to implement the policies and principles of
the STIP.
5.4.4. Ensure the effective implementation of this Instruction including the
issuance of applicable DoD Component implementing documents when essential to
define explicit internal organizational responsibilities or to further define internal
principles, concepts of operation, and practices where applicable.

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5.4.5. Prepare, coordinate, and issue specified Volumes of the DoD Scientific
and Technical Information Program Procedures Manual in accordance with DoD
5025.1-M (reference (e)) as assigned by the DUSD(S&T) in accordance with paragraph
5.2.2., above.
5.4.6. Maintain a current review and inventory of STI functions and activities
under their administrative control.
5.4.7. Encourage the use and sponsorship of technical symposia and meetings
and of participation in the symposia and meetings by DoD scientists, engineers, and
managers as an effective mechanism for STI transfer and exchange. DoD participation
shall be consistent with implementation of policies in DoD Instruction 5230.27 and the
security policies in DoD 5200.1-R (references (f) and (g)).
5.4.8. Support the DoD Domestic Technology Transfer Program requirements
as defined in DoD Directive 5535.3 and DoD Instruction 5535.8 (references (h) and (i)).
5.4.9. Ensure that all significant scientific or technological observations,
findings, recommendations, and results derived from DoD endeavors, including those
generated under contracts, grants, and other instruments that are pertinent to the DoD
mission or contribute to the DoD and/or the national scientific or technological base
are recorded as "technical documents." Internal and contractual procedures shall ensure
that copies of such documents are made available to the DoD R&E community,
including supporting technical libraries, the DTIC, and applicable DoD Information
Analysis Centers (IACs), and, under established security and other limitation controls,
and consistent with DoD Directive 5230.9 (reference (j)), to the civilian scientific and
technical community. Such documentation shall be prepared and distributed quickly and
according to established standards for document format, distribution, security marking,
and reproducibility consistent with DoD policy and STIP procedural guidance.
5.4.10. Operate and support activities for the input of data to centralized DoD
databases including full text, bibliographic, summary, and other forms of R&E
program-related information, and be responsible for the accuracy and currency of
database content and reporting, in accordance with data element standards, authorities,
and input procedures established by the DoD Component responsible for operation of
the database.
5.4.11. Consistent with the distribution constraints marked on DoD technical
information, in accordance with DoD Directive 5230.24 and the security limitations as
prescribed in DoD 5200.1-R (references (k) and (g)), promote programs to ensure

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maximum exchange of STI in the defense community. Pursue a policy to ensure that
STI, created by activities under DoD control, is provided for public use through
appropriate Federal Agencies, according to approved DoD clearance procedures
prescribed by DoD Directive 5230.9 (reference (j)). To promote this exchange, each
DoD Component shall provide technical documents and other information relevant to
R&E programs in an unclassified manner to the maximum extent possible.
5.5. The Assistant Secretary of Defense for Command, Control, Communications,
and Intelligence shall ensure that the Director, Defense Information Systems Agency,
shall exercise operational control and oversight of DTIC consistent with the mission and
functions described in enclosure 7.
6. PROCEDURES
6.1. The STIP is operated as a coordinated structure of generally decentralized
activities with overall policy direction and oversight vested in the OUSD(AT&L) in
coordination with or participation of the OSD Principal Staff Assistants, or designees.
6.2. The DoD STIP consists of many elements that facilitate and contribute to the
acquisition, production, reproduction, and dissemination of intellectual property that
result from or are of interest to the Defense R&E community. Additionally, selected
STIP functions are also capable of and shall provide support on an as needed basis to
the management of selected Defense acquisition programs and the DoD studies
program. Enclosures 3 through 7 of this Instruction describe the implementation of
policies, principles, practices, and operational parameters of one or several similar
functional concepts and further delineate the STIP as described in DoD Directive
3200.12 (reference (a)). Statements of purpose, scope, and functional responsibility
that are most relevant to a specified element of the STIP are included in enclosures 3
through 7 of this Instruction.
6.3. The DTIC shall provide centralized operation of specific STIP functions, such
as technical document access and dissemination and database and reference services;
serve as a focus for actions required to provide and enhance DoD-wide STI services; and
provide direct information system and database support to the OSD Principal Staff
Assistants in coordinating the overall STIP.

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6.4. Maximum use shall be made of existing organizations engaged in collecting,
processing, and disseminating STI such as DoD IACs, the DTIC, or other specialized STI
centers designated by the OSD. STIP functions performed by those activities shall be
coordinated to produce a coherent program providing maximum data and resource
sharing and effective service to all valid users of DoD STI services.
6.5. A principal objective of the STIP is to improve both the scope and
effectiveness of collecting, processing, disseminating, and applying STI. The STIP shall
apply the latest available technologies and provide for maximum participation and
compatibility among the information programs of disparate DoD Components, other
Federal Agencies, and the private sector. In the collection of STI, standard data
elements should be used in accordance with DoD 8320.1-M-1 (reference (l)).
6.6. Effective coordination and liaison are necessary among the STIP and those
information programs involving technical intelligence, information security
management, foreign disclosure activities, intellectual property counsel, technical data
management, manpower, logistics, and acquisition systems to ensure maximum
compatibility, interchange of information, and avoid unnecessary duplication of effort.
6.7. The overriding priority of the STIP is to ensure timely and effective exchange
among DoD R&E and studies performers and managers of all STI generated by or
needed in the conduct of DoD R&E programs. Because of the characteristics of
defense programs, the publication and reporting of such information frequently requires
security safeguards or specific limitations on access or distribution. Requests for
records under the "Freedom of Information Act," 5 U.S.C. 552 (reference (m)), shall be
processed in accordance with DoD Directive 5400.7 (reference (n)). For example,
transfer of classified or proprietary information (with the consent of the source) would
not be effective without safeguards to inhibit improper disclosure. Such protection is
an acceptable cost for being able to transfer or share the information freely among
certified Federal and civilian R&E communities. Additionally, STIP processes shall
support and incorporate DoD policy to prevent the unrestricted export of militarily
critical technology.

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6.8. The Department of Defense makes a significant investment in its technology
base. Activities such as DTIC, the IACs, DoD databases, and technical libraries function
as repositories, custodians, and secondary distribution activities in order to maximize
the return on investment in R&E and studies through their retention of STI. As such,
applicable plans and resources shall be made available by the affected DoD activities to
preserve essential STI when such actions as organizational realignments, consolidations,
program cancellations; etc., have the impact of eliminating in whole or in part the STI
holdings of such activities.
6.9. Every effort shall be made, under the limits of national security requirements,
to prepare technical documents and other types of defense STI in an unclassified form
and, in accordance with established clearance procedures, to provide such information
for public use through appropriate Federal Agencies. Such use of unclassified STI or of
unclassified versions of defense STI shall expedite information transfer both in the
Department of Defense and to the national scientific and technical community.
6.10. All policies and procedures governing the dissemination to the public of
information in the STIP shall be subject to the approval of the Assistant Secretary of
Defense for Public Affairs under authority of DoD Directives 5230.9 and 5122.5
(references (j) and (o)).
6.11. One or more STI functions are needed by and shall be used by the DoD
Components to implement the policies and procedures of the DoD STIP. Those STIP
functions involve recording and transferring STI from its generator or source to the
ultimate user or beneficiary of new knowledge. Those STI functions embrace a broad
spectrum of activity from generation, publication, distribution, and storage, to access,
assimilation, and use of STI and documents. STI functions include, but are not limited
to the following:
6.11.1. The preparation, reproduction, and distribution of STI and documents.
6.11.2. The provision of document services, including acquisition, archival
functions, repositories, announcements, and various means of document dissemination,
access, or transmission.
6.11.3. The operation of technical information centers, data centers, IACs,
technical libraries, and other similar information activities that collect, store, process,
and provide associated document, data, or information services in direct support to
information seekers or that act as intermediaries between the user and other STI
functions.

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6.11.4. The implementation and operation of database services, including
numeric, bibliographic, full-text, and management information databases, database
processes and products, and the application of electronic and telecommunications
techniques for data entry, storage, access, search, and retrieval.
6.11.5. The provision of information and decision-support systems and
services for use in management of R&E programs.
6.11.6. The operation of directory or reference services to identify and locate
available STI and R&E capabilities and resources.
6.11.7. The conduct and support of technical meetings and symposia.
6.11.8. The provision of information exchange programs to facilitate transfer
of chnological innovation and know-how from DoD R&E programs to civilian purposes.
6.11.9. The operation of programs to effect exchange of DoD technical
planning, requirements, and acquisition information with industrial or other
organizations capable of engaging in DoD programs.
6.11.10. The study of and experimentation with new methods and techniques in
handling STI and promoting the communication of new ideas or knowledge among
scientists and engineers.
6.11.11. Security aspects of information management to include systematic
review, maintenance and notification, and changing distribution statements, classification
markings; etc., up to and including public release.
6.11.12. The development and implementation of mechanisms and techniques
to foster the awareness and use of STI resources, products, and services.

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7. EFFECTIVE DATE
This Instruction is effective immediately.

Enclosures - 7
E1. References, continued
E2. Definitions
E3. Identifying and Promoting Awareness of DoD R&E and Studies Efforts
E4. Documentation and Distribution of DoD R&E and Studies Efforts
E5. DoD IACs
E6. Access to and Dissemination of DoD Technical Information
E7. DTIC

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E1. ENCLOSURE 1
REFERENCES, continued
(e) DoD 5025.1-M, "DoD Directives System Procedures," August 1994
(f) DoD Instruction 5230.27, "Presentation of DoD-Related Scientific and Technical
Papers at Meetings," October 6, 1987
(g) DoD 5200.1-R, "Department of Defense Information Security Program Regulation,"
January 1997
(h) DoD Directive 5535.3, "DoD Domestic Technology Transfer (T2) Program," May
21, 1999
(i) DoD Instruction 5535.8, "DoD Technology Transfer (T2) Program," May 14, 1999
(j) DoD Directive 5230.9, "Clearance of DoD Information for Public Release," April 9,
1996
(k) DoD Directive 5230.24, "Distribution Statements on Technical Documents," March
18, 1987
(l) DoD 8320.1-M-1, "Data Standardization Procedures," April 1998
(m) Section 552 of title 5, United States Code
(n) DoD Directive 5400.7, "DoD Freedom of Information Act (FOIA) Program,"
September 29, 1997
(o) DoD Directive 5122.5, "Assistant Secretary of Defense for Public Affairs
(ASD(PA))," September 27, 2000
(p) DoD Directive 5230.25, "Withholding Unclassified Technical Data from Public
Disclosure," November 6, 1984
(q) DoD Directive 4205.2, "Acquiring and Managing Contracted Advisory and
Assistance Services (CAAS)," February 10, 1992
(r) DoD 5200.28-M, "ADP Security Manual," January 1973
(s) CSS-STD-003-85, "Computer Security Requirements-Guidance for Applying the
Department of Defense Trusted Computer System Evaluation Criteria in Specific
Environments," June 25, 1985 1
(t) American National Standards Institute (ANSI) Standard Z39.18-1995, "American
National Standards for Information Sciences-Scientific and Technical
Reports-Elements, Organization, and Design," March 21, 1995 2
(u) DoD 5220.22-R, "Industrial Security Regulation," December 1985
(v) DoD Directive 2002.3, "Clearance of Research and Studies with Foreign Affairs
Implications," August 15, 1985
(w) DoD Directive 5230.11, "Disclosure of Classified Military Information to Foreign
Governments and International Organizations," June 16, 1992

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DODI 3200.14, May 13, 1997

(x) DoD Directive 3204.1, "Independent Research and Development (IR&D) and Bid
and Proposal (B&P) Program," May 10, 1999
(y) DoD Directive 8910.1, "Management and Control of Information Requirements,"
June 11, 1993
(z) OMB Bulletin No. 95-01, "Establishment of Government Information Locator
Service," December 7, 1994
___________
1

Available from Superintendent of Documents, U.S. Government Printing Office, P.O. Box 371954, Pittsburgh, PA
15250-7954
2 Available from American National Standards Institute, ATTN: Customer Service, 11 West 42nd Street, New
York, NY 10036

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E2. ENCLOSURE 2
DEFINITIONS
E2.1.1. Analysis. A qualitative or quantitative information evaluation requiring
technical knowledge and judgment.
E2.1.2. Contractor. An individual or organization outside the U.S. Government,
including both prime contractors and subcontractors, who has accepted any type of
agreement or order to provide research, supplies, or services to a U.S. Government
Agency.
E2.1.3. Controlling DoD Office. The DoD activity that sponsored the work that
generated the technical document for the Department of Defense and has the
responsibility for determining the distribution of a document with such technical
information. For joint sponsorship, the controlling office is determined by advance
agreement and may be either a party, group, or committee representing the interested
activities or the DoD Components. (See DoD Directive 5230.24 (reference (k)).)
E2.1.4. Defense Community. As the Department of Defense conducts its mission
of U.S. national security it needs to share information, coordinate, and engage in a
dialogue with others outside the Department of Defense. This includes people in other
Federal Agencies, contractors, educational organizations, technical societies, State and
local governments, and foreign governments. As used in this Instruction, these
collective bodies of people including DoD personnel constitute the Defense
community.
E2.1.5. Database. A set of records collected and organized in a meaningful manner
to serve a particular purpose.
E2.1.6. Defense Industry Information. Technical planning, requirements, and
acquisition information provided to industry through various programs to enable industry
to meet defense weapons and support systems needs. Those programs include DoD
Information Analysis Centers (IACs), DTIC, potential contractor programs of the DoD
Components, DoD Component Information for Industry Offices, advance planning
briefings for industry, technical meetings on special topics, and similar activities
initiated by the DoD Components.
E2.1.7. Defense Information. Information about the mission of the Department of
Defense and DoD Component organizations.

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DODI 3200.14, May 13, 1997

E2.1.8. Distribution Statement. A statement assigned by the controlling DoD
office and used in marking a technical document to denote the extent of its availability
for distribution, release, and disclosure without additional approvals or authorizations
from the controlling DoD office. A distribution statement marking, as described in
DoD Directive 5230.24 is distinct from and additional to a security classification
marking assigned, in accordance with DoD 5200.1-R, and an export warning notice
assigned, in accordance with DoD Directive 5230.25 (references (k), (g), and (p)).
E2.1.9. Legitimate Business Relationship. For this Instruction, a legitimate
business relationship exists when the Department of Defense has determined that a need
exists to acquire, share, exchange, or disseminate DoD technical information to anyone
other than a DoD Government employee for supporting the DoD mission. That
relationship may be established by any agreeable means such as a memorandum of
understanding, agreement, contract, grant, etc. The Department of Defense has the sole
responsibility for determining that a legitimate business relationship exists since the
only purpose is to provide access to information created by or under the control of the
Department of Defense. Such a relationship may be established with an individual or
organization in another Federal Department or Agency; contractors, grantees, potential
DoD contractors; etc., other branches of the Federal Government; State and local
governments; and foreign countries.
E2.1.10. OSD Principal Staff Assistants (PSAs). The Under Secretaries of
Defense, the Director of Defense Research and Engineering, the Assistant Secretaries
of Defense, the Director of Operational Test and Evaluation, the General Counsel of the
Department of Defense, the Inspector General of the Department of Defense, the
Assistants to the Secretary of Defense, and the OSD Directors or equivalents who
report to the Secretary or Deputy Secretary of Defense.
E2.1.11. Potential DoD Contractor. An individual or organization outside the
Department of Defense approved and certified by a sponsoring DoD activity as "eligible
for DoD technical information services under a DoD Component potential contractor
program." The sponsoring DoD activity should be reasonably ensured that this
individual or organization may benefit by their access to Defense technical information
in their understanding of and for responding to a DoD acquisition.
E2.1.12. Primary Distribution. The initial targeted distribution of or access to
technical documents authorized by the controlling DoD office.
E2.1.13. Qualified U.S. Contractor. In accordance with DoD Directive 5230.25
(reference (p)), a private individual or enterprise located in the United States whose

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DODI 3200.14, May 13, 1997

eligibility to obtain unclassified export controlled technical data has been established
through certification procedures on the DD Form 2345.
E2.1.14. Scientific and Technical Documents. Documented result of
DoD-sponsored or defense-related R&E efforts. The work may have been performed
either in-house or externally by contractors, subcontractors, and grantees or by other
similar business relationships. Scientific and technical documents include, but are not
limited to, final and interim technical reports, technical notes, technical memoranda,
technical papers, special reports, conference proceedings, journal articles, test reports,
project officer reports, and other formats regardless of media.
E2.1.15. Scientific and Technical Information (STI). Communicable knowledge or
information resulting from or about the conduct and management of scientific and
engineering efforts. STI is used by administrators, managers, scientists, and engineers
engaged in scientific and technological efforts and is the basic intellectual resource for
and result of such efforts. STI may be represented in many forms and media. That
includes paper, electronic data, audio, photographs, video, drawings, numeric data,
textual documents; etc.
E2.1.16. Secondary Distribution. Distribution of or access to a document, usually
based on a request to a document repository or information center, provided subsequent
to an initial distribution performed or controlled by the authoring or sponsoring DoD
Component.
E2.1.17. Technical Data. Recorded information related to experimental,
developmental, or engineering works that can be used to define an engineering or
manufacturing process or to design, procure, produce, support, maintain, operate, repair,
or overhaul material. The data may be graphic or pictorial delineations in media, such
as drawings or photographs, text in specifications or related performance or design type
documents, or computer printouts. Examples of technical data include research and
engineering data, engineering drawings, and associated lists, specifications, standards,
process sheets, manuals, technical reports, catalog-item identifications, and related
information and computer software documentation.
E2.1.18. Technical Document. Any recorded information that conveys STI or
technical data regardless of media. For the STIP, that includes such information
documents as working papers, memoranda, and preliminary reports when such
documents have utility beyond the immediate mission requirement, or shall become part
of the historical record of technical achievements.

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DODI 3200.14, May 13, 1997

E2.1.19. Technical Information Dissemination Activity. Any activity, such as
DTIC, which operates to assist individuals and organizations in the Department of
Defense to effect adequate and timely dissemination of technical information describing
planned or ongoing R&E, studies, and analysis efforts and documented results of such
efforts and to provide systems and services to assist eligible users to identify, access,
acquire, and use DoD technical information.
E2.1.20. Technical Library. An activity that acquires, organizes, houses, retrieves,
and disseminates information and information materials; and performs reference and
research in direct support of a host activity's R&E mission. It also may provide all or
any one of such services as analysis, current awareness, literature searching,
translations, and referral. A technical library may also be called a "technical information
center."
E2.1.21. Technical Report. Any preliminary, interim, or final technical document
prepared to record, document, or share results obtained from, or recommendations
made on, or relating to, DoD-sponsored or cosponsored scientific, technical, studies, or
analytical work.
E2.1.22. Technical Symposia and Meetings. Formally scheduled assemblies for
the presentation and discussion of topics about R&E programs.
E2.1.23. U.S. DoD Contractor. Those U.S. contractors currently holding grants or
contracts with Department of Defense, or those contractors declared eligible for DoD
information services by a sponsoring DoD activity on the basis of participation in a DoD
Potential Contractor Program.

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DODI 3200.14, May 13, 1997

E3. ENCLOSURE 3
IDENTIFYING AND PROMOTING AWARENESS OF DoD R&E AND STUDIES
EFFORTS
E3.1. PURPOSE
E3.1.1. The DoD plans for and invests significant resources (manpower,
facilities, and dollars; etc.) in research, development, test, and evaluation (RDT&E),
and other similar types of scientific and engineering efforts. Significant resources
are also invested in the DoD Studies and Analysis Program. The Department of
Defense shall establish systematic and coordinated efforts to identify and promote
awareness of such R&E and studies activities through a variety of information
support capabilities.
E3.1.2. The DoD RDT&E programs accomplish the above purpose through a
series of planning, programming, and budgeting processes under the oversight of
the DDR&E and in coordination with the senior science and technology (S&T)
executives of the DoD Components. These processes include the Joint Warfighter
S&T Plan, the Defense Technology Objectives, the Defense Technology Area Plans,
and the Research and Development Descriptive Summaries. Through the
development, coordination and use of these documents, the Defense Reliance
process of program reviews, coordination of investment decisions, and assessment of
program results promotes an environment of timely and cost-effective RDT&E
management and facilitates the elimination of unnecessary duplication of effort.
E3.1.3. The DoD Studies and Analysis communities accomplish the above
purpose by briefly describing the purpose, objective, approach, scope, and duration
of planned and ongoing study and analysis efforts in project summary form. This
includes Contracted Advisory and Assistance Services summaries as required by
DoD Directive 4205.2 (reference q)). The project data is then shared and
coordinated within DoD communities of interest (e.g., personnel studies,
organizational studies, program cost studies, etc).
E3.1.4. The contents of the documents/databases identified in paragraph
E3.1.2. replace the DoD Technical Effort and Management System (TEAMS)
authorized by enclosure 3 issuance of this Instruction. To maintain an awareness
of previous DoD efforts, DTIC shall retain previous TEAMS or predecessor Work
Unit Information System (WUIS) records for at least 10 years.

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DODI 3200.14, May 13, 1997

E3.2. SCOPE
E3.2.1. The documents, databases, and program information activities identified
in paragraphs E3.1.2. and E3.1.3., above, are included in the scope of this
Instruction primarily for the purpose of providing a common information support
environment to collect, organize, and make accessible to the Defense community
appropriate information necessary to meet DoD program needs. The scope as to
data content and access are specified by the DoD Components that direct the
establishment and use of various documents, databases, and program information
described paragraphs E3.1.2 and E3.1.3., above, or other similar information
activities as prescribed by DoD Components.
E3.2.2. Consistent with the mission and functions of the DTIC as stated in
Enclosure 7, DTIC shall provide information management, operation, and support
as appropriate and as directed to the types of program activities described in the
Enclosure.
E3.2.3. DoD Components Database Enhancement. Individual DoD Components
may, in coordination with DTIC and subject to ODDR&E(S&T)/PP approval, provide
Component-unique data to DTIC in order to enhance the management or exchange
of information about their programs. Access to Component-unique data shall be
specified by the contributing DoD Components or the DoD Component
Headquarters.
E3.2.4. The DTIC shall make reasonable efforts to provide timely support to
such requirements to minimize the development of similarly redundant systems.
E3.3. RESPONSIBILITIES
E3.3.1. The Office of the Deputy Under Secretary for Science and
Technology/Plans and Programs DUSD(S&T)PP shall:
E3.3.1.1. Approve the development and use of data efforts at DTIC in these
types of STI support activities beyond those specified in paragraphs E3.1.2. and
E3.2.3., above.
E3.3.1.2. Approve the addition of DoD Component-unique data to
DTIC-supported STI systems/databases/documents identified in paragraphs E3.1.2.
and E3.1.3., above.

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E3.3.2. The Heads of the DoD Components shall:
E3.3.2.1. Establish input and use requirements as an integral part of their R&E
and studies functions.
E3.3.2.2. Designate focal points to coordinate with DTIC on the
establishment for appropriate input, search, and output requirements/databases
identified and as required in paragraphs E3.1.2. and E3.1.3., above.
E3.3.3. The Administrator, DTIC, shall:
E3.3.3.1. Develop, maintain, and operate appropriate databases, in
accordance with the concepts stated in this enclosure in support of the coordinated and
approved requirements of the DoD Components.
E3.3.3.1.1. Prepare, coordinate with the DoD Components, and issue as a
Volume of DoD Scientific and Technical Information Program Procedures Manual,
consistent with DoD 5025.1-M (reference (e)), uniform procedures, codes, data
elements, and formats for submitting records to, searching, and obtaining records from
the databases DTCI establishes, operates and/or maintains to support DoD
Components' needs.
E3.3.3.1.2. Provide output and retrieval services to eligible users.
E3.3.3.1.3. Provide and operate an interactive, online system for database
input, access, and retrieval.
E3.3.3.2. Ensure that all applicable security requirements are addressed, in
accordance with DoD 5200.28-M, and that provisions for input, access, and retrieval are
in accordance with the computer security requirements of CSC-STD-003-85
(references (r) and (s)).
E3.4. MARKING, ACCESS, AND RELEASE
E3.4.1. A DoD Distribution Statement in accordance with DoD Directive
5230.24 (reference (k)).
E3.4.2. A security classification marking, when required, in accordance with
DoD 5200.1-R (reference (g)).

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E3.4.3. An export warning notice, when required for export control, in
accordance with DoD Directive 5230.25 (reference (p)).
E3.5. RELEASE OF DATA
E3.5.1. Subject to security restrictions and specific release limitations, as
identified by the originator and/or the DoD Component that controls the documents
identified in paragraph E3.1.2. or E3.1.3., above, data in these documents or
databases are releasable to the DoD Components, DoD contractors, other U.S.
Government Agencies, and their contractors. In all cases, the requester must
currently be registered with Department of Defense, in accordance with enclosure 6,
below.
E3.5.2. (An important objective of the DoD STIP is to improve the efficiency and
effectiveness of the overall DoD R&E Program by sharing information about prior and
on-going DoD-supported work among the DoD in-house R&E community and the DoD
contractor community. Therefore, records shall normally be prepared to allow access
and use by DoD contractors and grantees. When specific records or data elements
reveal planned expenditures or levels of planned obligations, those records or data
elements shall be withheld from contractor or grantee users. Budgetary planning data
used to program funds for potential procurement actions that are competition price
sensitive are not releasable to contractor and/or grantee users until contract award by
the appropriate Government activity. Once the work effort is on-going, or the funds
for the effort are obligated, the access limitations based on competition sensitivity shall
be withdrawn. With the majority of DoD work efforts being performed by contractors
and grantees it is essential and in the best interest of the DoD to maximize their access
to that type of data.)

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E4. ENCLOSURE 4
DOCUMENTATION AND DISSEMINATION OF DoD R&E AND STUDIES EFFORTS
E4.1. PURPOSE
E4.1.1. An inherent characteristic of the DoD R&E and studies programs is the
documentation and dissemination of the results and outcomes of efforts conducted by
or for the Department of Defense. Such documentation and dissemination are
considered to be an integral part of such efforts, and those efforts are not considered
complete until documentation and dissemination are completed.
E4.1.2. R&E and studies efforts shall be documented and disseminated
expeditiously. That is intended to contribute to performance of similar efforts by
others in the DoD community.
E4.2. SCOPE
E4.2.1. R&E and studies efforts shall be documented whether or not the conduct
of the efforts result in a successful outcome. Description of all efforts provides
others in the Department of Defense with a technology base that promotes a logical
basis for the investment in and conduct of future efforts.
E4.2.2. The requirements of this enclosure apply to all of the DoD Components.
E4.3. RESPONSIBILITIES
The DoD Components shall ensure that all R&E and studies efforts are documented and
disseminated when performed by or sponsored in whole or in part by activities under
their control.
E4.4. IMPLEMENTATION OF POLICY, PRINCIPLES, AND CONCEPTS
E4.4.1. DoD R&E and studies efforts performed by or sponsored in whole or in
part by DoD activities shall be documented sufficiently to permit others to comprehend
the purpose, scope, approach, results or outcomes, and conclusions or recommendations
from the conduct of such activities.

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E4.4.2. Wide and timely dissemination of all documented efforts promote a
greater awareness of the technology base and serves in part to promote the awareness
of the expertise and capabilities of performing personnel and the organizations.
E4.4.3. Such efforts may be documented in any media or form including paper or
electronic copy, and shall include text, graphics, and audio, but shall be prepared in a
logical form and in sufficient detail to promote maximum understanding of the efforts
by those intended to receive primary distribution of the documented efforts.
E4.4.4. Documented efforts regardless of media or form shall be prepared, to the
maximum extent practical, in accordance with ANSI Standard Z39.18-1995 (reference
(t)), which is adopted for DoD use. Additionally, a SF 298, "Report Documentation
Page," is established for that purpose and shall be prepared for each documented effort.
E4.4.5. It is recognized that many R&E and studies efforts have the potential, when
documented, to include unclassified but sensitive, or classified information. DoD
activities have the responsibility to ensure that all documents are marked, in accordance
with DoD Directive 5230.24 and DoD 5200.1-R (references (k) and (g)). Documents
that are not restricted should be cleared for public release, in accordance with DoD
Directive 5230.9 (reference (j)), and marked with "Distribution Statement A"as required
by reference (k). While DoD contractors prepare and disseminate a significant amount
of DoD R&E and studies efforts, the DoD activity that sponsored the work shall ensure
all documented efforts regardless of media or form are marked in accordance with DoD
Directives 5230.9 and 5230.24, and DoD 5200.1-R (references (j), (k), and (g)).
E4.4.6. In order to protect DoD interests in the inventions that result from DoD
R&E efforts, DoD activities are encouraged to pursue the patenting and licensing of
those inventions. Additionally, DoD activities shall pursue a coordinated effort to
acquire Government rights to intellectual property developed in whole or in part at
Government expense so that such intellectual property may be utilized in current and
future DoD programs.
E4.4.7. To the maximum extent possible, documented efforts shall be prepared in
unclassified and otherwise unrestricted form in accordance with DoD Directive 3200.12
(reference (a)). When not possible, then DoD activities shall attempt to prepare
restricted versions of such efforts and/or unclassified, unrestricted bibliographic
citations and abstracts of such efforts. That is intended to promote a broad awareness
of the existence of such documents in the Department of Defense and

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the national scientific and technical community. Subsequent requests for such
documents shall be processed, in accordance with established clearance procedures.
E4.4.8. The preparation and dissemination of technical documents often involve a
number of different disciplines. Personnel responsible for printing, editing, public
affairs, data management, security, intellectual property counsel, contracting; etc., often
have a role in the preparation and dissemination of documents. The local STIP manager
shall help coordination of necessary practices and procedures with the personnel, above,
so that the people responsible for the preparation and dissemination of documents may
do so expeditiously.
E4.4.9. Primary distribution of all documents, regardless of form, shall be the
responsibility of the DoD activity that performed or sponsored the work in whole or in
part. Primary distribution shall be to the technical community having a direct and
immediate interest in the outcome of the R&E or studies efforts. The DTIC, applicable
DoD IACs, and the local DoD technical library or repository that supports the activity
responsible for sponsoring and creating the documents shall be recipients of the
primary distribution at the same time. The preparation and dissemination of R&E and
studies efforts in the form of journal articles, poster papers at a symposia, and other
means external to DoD shall not be in lieu of providing those same documents to the
DTIC, appropriate DoD IACs, and the local technical library.
E4.4.10. The posting of documented efforts on an electronic bulletin board,
homepage, the Internet or some other internal or external network does not constitute
in and of itself primary distribution of documented R&E and studies efforts. The
methods of electronic dissemination are by their very nature transient and relatively
short lived.
Primary distribution must be explicitly directed to the intended recipients. The activity
responsible for primary distribution of documents by electronic means must take
positive steps to ensure that receiving activities are capable of receiving the data by that
means and in an intelligible form. This includes individuals that are the intended
recipients of the document and secondary dissemination activities including technical
libraries, DTIC, and appropriate DoD IACs. Providing electronic documents that are
configured by computer hardware or software that are not readily available to the
recipients precludes the use of such technical information. If the recipients cannot
readily read, interpret, or convert the electronic document, then the activity shall
provide the document in some other media.
E4.4.11. DoD activities shall exercise reasonable diligence in the preparation of
technical documents in final form. Retention of technical documents as working drafts,

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coordination copies; etc., shall not be utilized as a method to avoid preparation and
distribution of documents in final form. Additionally, a verbal presentation at the
conclusion of an R&E effort may be given but not instead of the documentation of an
R&E effort. A verbal presentation often enhances understanding of the R&E or study
performed. At the same time the documentation of the efforts permits a more
permanent record and wider dissemination of the work and allows the Department of
Defense to leverage the resources invested in the effort to the larger Defense
community for a longer period of time. As an example the dissemination of papers
presented at a conference and/or conference proceedings to others in DoD who are
unable to attend the conference, and to the DTIC, appropriate DoD IACs, and the local
technical library broadens the awareness and retains the documented knowledge of what
was presented for future use.
E4.4.12. The DoD Components shall ensure that their contractors and grantees
have access to and utilize applicable DoD STI facilities including DTIC, relevant DoD
IACs, and relevant specialized databases and information collections at various DoD
activities consistent with security and other access restrictions.
E4.4.13. By its very nature scientific and technical information and planning
information exist in all media and forms and are represented in raw form such as data,
laboratory notes and observations as well as more cohesive forms such as reports,
articles, and presentations. Without intending to be all inclusive, the types of items
listed below shall be provided to DoD repositories and secondary dissemination
activities including DTIC, applicable DoD IACs, and local technical libraries. Those
items to be provided include the following:
E4.4.13.1. Acquisition systems planning documents such as weapons systems,
components or subsystems, technology capabilities; etc.
E4.4.13.2. Basic and advanced research planning documents.
E4.4.13.3. Science and technology planning documents to support military
mission needs and requirements.
E4.4.13.4. Defense Technology Area Plans to support the investments in DoD
technology.
E4.4.13.5. Planning, Programming, and Budgeting System documents in
support of DoD acquisition and related technology program focus areas including:
E4.4.13.5.1. Planning documents such as the National Military Strategy
Document and the Defense Planning Guidance.
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E4.4.13.5.2. Program documents such as the Chairman, JCS Program
Assessment, programmatic issue books, and Program Decision Memoranda.
E4.4.13.5.3. Budget documents such as the Budget Estimate Submission,
Program Budget Decisions, and Research and Development Descriptive Summaries.
E4.4.13.6. Acquisition Systems and Programs Life-Cycle Documents. These
include but are not limited to:
E4.4.13.6.1. Mission Needs Statements.
E4.4.13.6.2. Operational Requirements Documents.
E4.4.13.6.3. Analyses of Alternatives (previously identified as Cost and
Operational Effectiveness Analyses).
E4.4.13.6.4. Acquisition Program Baseline Documents.
E4.4.13.6.5. Annual Operational Test and Evaluation Reports.
E4.4.13.6.6. Contract management reports of a programmatic or
evaluative nature.
E4.4.13.6.7. Cost, schedule, and performance program reports related to
specific system or technology program objectives.
E4.4.13.6.8. Program deviation documents related to programmatic
changes to purpose, scope, objective, performance requirements; etc.
E4.4.13.6.9. Test and evaluation reports.
E4.4.13.6.10. Live fire test and evaluation reports.
E4.4.13.7. External management and policy information such as Presidential
Decision Directives, Executive Orders, OMB Bulletins, Congressional and GAO reports
and testimony, and science advisory board and similar advisory group reports when
related to DoD acquisition and related technology programs.
E4.4.14. Studies and analyses documents cover a wide range of typical areas and
support all aspects of the DoD mission. While many studies and analyses contain STI,
many others do not. In order for the DoD repositories such as DTIC, the DoD IACs,
and local technical libraries to support the Department of Defense, it is intended that
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studies and analyses documents be provided to the repositories for retention for
secondary dissemination in a manner consistent with the approval and release constraints
of such documents. The following types of studies and analyses are examples of the
types of documents to be provided to the DoD repositories:
E4.4.14.1. Strategic operations, concepts, military strategies, force structure
alternatives.
E4.4.14.2. Technology assessments, insertion, and deployment.
E4.4.14.3. Operations research and analysis in support of operations and
operational capabilities.
E4.4.14.4. Evaluation of studies and analysis tools.
E4.4.14.5. Test and evaluation studies.
E4.4.14.6. Analyses of alternatives in support of operational and technology
program management.
E4.4.14.7. Training studies and analyses.
E4.4.14.8. Defense functional area studies and analyses for functions such as
logistics, manpower and personnel, readiness; etc.

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E5. ENCLOSURE 5
DoD INFORMATION ANALYSIS CENTERS (IACs)
E5.1. PURPOSE
The Department of Defense establishes IACs to acquire, digest, analyze, evaluate,
synthesize, store, publish and disseminate worldwide STI and engineering data in a clearly
defined specialized field or subject area of significant DoD interest or concern.
Additionally IACs provide advisory and other user services to their authorized user
community.
E5.2. SCOPE
E5.2.1. DoD IACs are an integral part of the DoD STIP. IACs are distinguished
from technical information centers or libraries whose functions are concerned with
providing reference to or access to technical documents themselves or technical
information databases rather than utilizing a technically expert staff to assess and
provide relevant technical information to meet a specific user need. Although an IAC
normally maintains document or database collections, a significant differentiating aspect
of an IAC is the utilization of scientists and engineers in an IAC defined field or subject
area in the performance of many of the functions of a DoD IAC.
E5.2.2. IACs are established primarily to support the Department of Defense, but
may also support others in the public and private sector consistent with security and
other constraints normally applicable to the Department of Defense and its contractors.

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E5.3. FUNCTIONS
E5.3.1. Basic or Core Activities
E5.3.1.1. Focus. IACs are staffed by scientists, engineers, and information
specialists who provide users with focused expert assistance and unbiased scientific and
technical information. They establish and maintain comprehensive knowledge databases
that include technical, scientific, and other data and information collected on a
worldwide basis in their field of interest. They identify sources and assess the
relevance of data held by others. IACs coordinate closely with their sponsoring DoD
technical communities and the DoD user community in general as a means to focus
their efforts on Defense community needs. IACs also collect, maintain and develop
analytical tools and techniques including databases, models, and simulations.
E5.3.1.2. Representative Types of Activities. IACs are staffed with subject
experts to provide in-depth analysis services and create specialized technical
information products. IAC products and services include, but are not limited to,
abstracts and indexes; technical and bibliographic inquiry services; technical
assessments; support and promotion of exchanges of information among scientists,
engineers, and practitioners of disciplines in the scope of the IAC or their field of
interest; preparation of state-of-the-art reports; handbooks; data books; data sets; critical
reviews; standards and technology benchmarks; problem definitions; alternative
technology analyses; and current awareness activities.
E5.3.2. Additional or Special Activities or Tasks. DoD IACs are established with
the explicit intent to perform additional tasks within their areas of expertise and
technical focus above and beyond the basic or core activities as described in paragraph
E5.3.1., above. The establishment of core information and specialized expertise in their
defined area of interest is in part established to respond to the needs of the Defense
technical community. That permits an effective and efficient method of leveraging the
technology base. Those additional tasks or special activities are efforts that are
specifically defined by a requiring organization as the need arises and are consistent with
the area of competence and concern that defines the technical focus of a particular
IAC. The requiring activity normally provides the funds necessary to perform the task
unless waived by the sponsoring DoD Component activity.

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E5.4. RESPONSIBILITIES
E5.4.1. The DUSD(S&T) shall:
E5.4.1.1. Maintain management control and oversight of the IAC program
consistent with the policies and concepts of the DoD STIP, as defined in DoD Directive
3200.12 (reference (a)).
E5.4.1.2. Approve or disapprove all proposals by the Headquarters of the DoD
Components to establish or disestablish an IAC or make major changes in an IAC's
scope or subject area.
E5.4.1.3. Designate the "Sponsoring DoD Component" for each IAC.
E5.4.1.4. Designate a DoD activity or organization to provide a technology
specialist to act as the "Technical Monitor" for each IAC.
E5.4.2. The ODUSD(S&T) staff that exercises oversight of the STIP shall:
E5.4.2.1. Monitor the IAC program including periodic review of the
performance of each IAC in meeting the defined goals and objectives in their prescribed
area of interest.
E5.4.2.2. Provide program guidance, as necessary, to meet the intent of the
program and promote the technology objectives of the Department of Defense.
E5.4.2.3. Appoint an ad hoc review board on a periodic, as needed, basis to
review each IAC.
E5.4.3. The Sponsoring DoD Component shall:
E5.4.3.1. Provide continuous administrative and operational management for
each assigned IAC. Designated "in-house DoD IACs" are assigned to the proposing
Military Service or Defense Agency, as approved by the DUSD(S&T).
Contractor-operated IACs are assigned to an appropriate sponsoring DoD organization.
E5.4.3.2. Budget for the basic operations and core functions of assigned IACs.
E5.4.3.3. Prepare and defend programs and budgets consistent with annual
budget cycles and DUSD(S&T) requirements for each assigned IAC.

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E5.4.3.4. Establish approved IACs through acquisition of contract services or
direct in-house establishment.
E5.4.3.5. Review performance of the IACs, in coordination with the technical
monitor and the ODUSD(S&T)/PP staff exercising staff oversight of the IAC program.
E5.4.4. The Technical Monitor shall:
E5.4.4.1. Provide continuous technical direction and oversight for the
assigned IAC.
E5.4.4.2. Assess technical subject requirements and adequacy of literature and
database coverage by the IAC for users in the defense community.
E5.4.4.3. Evaluate and approve IAC proposals for products and services from
the technical standpoint.
E5.4.4.4. Be a Government employee and not a member of the IAC contractor
staff. Synonymous titles are "Technical Manager," "Government Project Engineer,"
"Contracting Officer's Technical Representative (COTR)," or other such titles that
demonstrate technical oversight of IAC activities. For contractor-operated IACs, the
technical monitor shall approve the designation of the COTR, if the technical monitor
does not function in that capacity.
E5.4.4.5. Provide the technical requirements input for the "Statement of
Work" for contractor-operated IACs.
E5.4.4.6. Assist the sponsoring DoD Components in identifying program
requirements necessary to support preparation of budget and program documents for
assigned IACs.
E5.4.4.7. Ensure that all technical documents and data produced by the DoD
contractor-operated IACs are properly marked in accordance with DoD Directives
5230.9, 5230.24, and DoD 5200.1-R (references (j), (k), and (g). For "basic" or "core"
activities of the IAC, as described in paragraph E5.3.1.1., above, the COTR shall be
identified as the controlling DoD office. For "additional" or "special" activities of the
IAC, as described in subsection E5.3.2., above, the requiring DoD activity shall be the
controlling DoD office.

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E5.4.5. The DoD Components shall:
E5.4.5.1. Provide their technical requirements to the technical monitor, to
assist in determining the scope, focus, and conduct of an IAC's technical activities.
E5.4.5.2. Fully fund any additional IAC products and services beyond basic or
core-funded activities unless otherwise authorized by the sponsoring DoD Component.
E5.4.5.3. Utilize the DoD IACs when they may best meet the Component's
technical requirements.
E5.4.5.4. Ensure that the DoD IACs routinely receive technical reports and
data sets about the IAC's subject area of interest as part of the Component's primary
distribution of technical information.
E5.4.5.5. Invite the participation of DoD IACs in DoD-sponsored technical
symposia in the IAC's subject area of interest.
E5.5. IMPLEMENTATION OF POLICY, PRINCIPLES, AND CONCEPTS
E5.5.1. Information analysis and evaluation activities are an essential and integral
part of the scientific research and engineering processes conducted by or for the
Department of Defense. When significant requirements are recognized or benefits can
be derived through institutionalizing such efforts, the Department of Defense shall
establish a DoD information analysis center in a clearly defined, specialized field or
subject area of particular interest or concern to the Department of Defense. IACs are
formally established by the Department of Defense to acquire, digest, analyze, evaluate,
synthesize, store, publish, and provide advisory and other user services concerning
available worldwide scientific and technical information and engineering data in its
defined field or area of interest.
E5.5.2. DoD IACs shall be established primarily to support the mission of the
Department of Defense. That includes in-house activities as well as contractors and
others who provide direct and indirect support to the Department of Defense. DoD
IACs may also serve others in the public and private sector to the extent practicable and
consistent with the constraints of DoD 5200.1-R and DoD 5220.22-R (references (g)
and (u)). DoD policy on export-controlled technical data included in DoD Directive
5230.25 (reference (p)), and other restrictions on DoD information as applicable shall
be incorporated into the handling of data by the IACs.

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E5.5.3. Each DoD IAC shall have a technical program Charter. The contents of the
Charter are described in paragraph E5.6.3., below, as part of the criteria for establishing
a DoD IAC but the criteria are equally relevant to those IACs already in existence.
E5.5.4. Classified or special category material may be received by an IAC provided
that the information supports the mission of the IAC and appropriate security measures
have been established. Additionally, IACs shall not receive, process, or disseminate
scientific or technical intelligence unless specifically authorized by appropriate DoD
intelligence activities and the DoD technical monitor. That is not intended to preclude
IAC access to such information or to scientific or technical information developed or
derived from intelligence data, but merely to prescribe that appropriate coordination and
approval incidental to conduct of IAC activities shall occur.
E5.5.5. Each IAC shall maintain a core staff of technical experts in its field of
specialization. The IAC shall be attached to or have a working relationship with a
private sector or DoD organization engaged in technical work in its mission area and are
encouraged to seek assistance from qualified experts employed by that organization (and
others, as needed) to ensure the highest technical quality for individual products and
services.
E5.5.6. Each IAC shall be administered by a "single sponsoring DoD Component"
designated by the DUSD(S&T).
E5.5.7. Classified information shall be receipted, controlled, published, released or
distributed, disposed of, and protected from unauthorized disclosure, in accordance with
DoD 5200.1-R and DoD 5220.22-R (references (g) and (u)). Documents containing
classified information shall be issued in accordance with DoD release and security
procedures in references (g) and (u), after they have been reviewed and approved by
responsible technical and security authorities. Information and products should be
cleared for public release, in accordance with DoD Directive 5230.9 (reference (j)), if
they are released to or accessible by the general public and when applicable information
and products having potential foreign affairs implications shall be cleared in accordance
with DoD Directive 2002.3 (reference (v)). Disclosure to foreign governments and
international organizations, their contractors or representatives and other foreign
persons shall be in compliance with DoD Directive 5230.11 (reference (w)).
E5.5.8. All technical documents generated by DoD-funded R&E efforts shall be
marked with a DoD Distribution Statement, in accordance with DoD Directive 5230.24
(reference (k)), with an export warning notice when appropriate, as described in
reference (k) and as required by DoD Directive 5230.25 (reference (p)) and with

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applicable classification markings, as required by DoD 5200.1-R (reference (g)). For
contractor-operated IACs applicable markings of data shall be done by the contractor as
directed by COTR or another DoD employee, as designated by the COTR.
E5.5.9. DoD IACs shall establish mechanisms for cooperation and
cross-fertilization of ideas on management philosophy, policy, promotion or outreach,
operating procedures, and other areas of mutual interest. Periodic meetings of all DoD
IAC managers, technical monitors, and sponsors shall be held for information exchange
in those areas.
E5.5.10. Basic IAC operations, as defined by the sponsoring DoD Component, shall
be primarily supported by DoD funds.
E5.5.11. Each IAC shall assist in advancing standardization of the technology in
their technical focus and field of expertise.
E5.5.12. IACs shall make optimal use of advanced information technology and
telecommunication equipment, systems, and capabilities in the operation of their centers.
E5.5.13. IACs shall acquire, store, and disseminate subject area technical
information from all sources, domestic and foreign, including support of approved
information exchange programs with countries that have agreements with the United
States. IACs shall utilize but not duplicate the existing DoD foreign open-source
scientific and technical intelligence literature exploitation program or automated
database as part of any foreign acquisition efforts. It is not intended for DoD IACs to
replicate substantial quantities of information from other readily available sources. At
the same time, IACs are encouraged to acquire information from those sources when
the information is needed to provide timely, comprehensive, and qualitative products and
services.
E5.5.14. While one purpose of the IACs is to collect and disseminate STI, their
performance of analytical tasks characterizes them as "R&D activities" as well as
"technical information support activities." As a routine function of the analytical
aspects of their information collection functions, IACs are expected to do the following:
E5.5.14.1. Verify and validate the technical accuracy and reliability of existing
data.
E5.5.14.2. Generate and evaluate data collection and analysis techniques
reported in the literature.

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E5.5.14.3. Develop alternative approaches to collection and/or analysis of the
same or similar forms of information for assigned technical areas.
E5.5.14.4. Identify and/or fill voids in existing data or knowledge bases when
the IAC may provide such R&D in an economical, efficient, and unbiased manner.
Those functions in paragraphs E5.5.14.1. through E5.5.14.4., above, are accomplished on
a selective basis to permit the most effective use of technology and expertise resident
in the IACs, and are the types of functions that distinguish a DoD IAC from libraries and
other types of information centers.
E5.5.15. As defined in subsection E5.3.2., above, it is the intent of the Department
of Defense to have its IACs perform additional or special activities or tasks in their
individually defined technical scopes. One of the primary purposes of acquiring and
maintaining core technical information and expertise is to maximize the utilization of
those invested efforts. The accomplishment of additional tasks based on those core
capabilities permits the Department of Defense to effectively and efficiently leverage
the technology base in its areas of interest. For those IACs operated by contract, it is
the responsibility of the sponsoring DoD Component activity to accomplish the
contracting of both the core activities and additional tasks consistent with the technical
scope of each IAC.
E5.5.16. If applicable, IACs shall participate in programs designed for the
international transfer of technology in assigned areas of technical responsibility.
Equally, they shall ensure that such participation does not lead inadvertently to
unauthorized transfer of technology.
E5.5.17. DoD IACs shall participate in and support the Department of Defense
domestic technology transfer program, as defined in DoD Instruction 5535.8 (reference
(i)).
E5.5.18. IAC personnel are authorized and encouraged to plan, provide technical
support for, and participate in major technical conferences, meetings, or symposia in
their area of technical specialization. IAC sponsorship and attendance at meetings shall
be consistent with DoD provisions on security and on transfer of technology. DoD
activities are also encouraged to participate and sponsor conferences in their technical
areas of interest. IAC contractors and DoD activities that sponsor or participate in
conferences shall do so in a manner consistent with DoD Directives 5230.9, 5230.24,
5230.25, 2002.3, DoD Instruction 5230.27, and DoD 5200.1-R (references (j), (k), (p),
(v), (f), and (g)). When DoD IACs sponsor a conference, meeting, or symposia, an
in-house DoD activity is not required to sponsor it as well. IAC personnel shall

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maintain contact with senior investigators and develop working relationships with
technical, professional, and trade associations and related technical groups to exchange
information. Meetings and conferences are to be used as an opportunity for making
known the products and services of the IAC, maintaining contact with senior
investigators in the specialized field of the IAC and to promote the interaction of IAC
professional staff with the technical community at large.
E5.5.19. IACs shall prepare, announce, and provide primary distribution of critical
reviews, state-of-the-art reports, handbooks, data compilations, lists of technical
experts, and other significant publications in their assigned areas of technical
specialization. IACs shall respond to inquiries from qualified users bearing in mind
applicable security controls and restrictions on transfer of technology to foreign
individuals and organizations.
E5.5.20. The DTIC, technical library of the DoD activity that sponsored a particular
technical effort and other DoD IACs with a technical interest in the subject matter of a
particular document shall be included in the primary distribution of documents formally
issued by an IAC. That excludes direct correspondence in response to inquiries and the
annual reports of the IACs unless the sponsoring DoD Component requires the reports
for management oversight of IACs it sponsors.
E5.5.21. IACs shall normally not provide secondary distribution of any documents
other than their own. In accordance with criteria or guidance provided by the
sponsoring DoD Component, IACs may perform secondary distribution of documents or
data in forms or media not available from other sources and IACs may perform
secondary dissemination of documents and data when they are the only known remaining
source.
E5.5.22. DoD IACs normally recover a portion of operating costs through the sale
of products and services. As such, it is not intended for the DTIC to provide
distribution services to their users of DoD IAC products and services. DTIC shall
provide microfiche copies of IAC technical reports. On a mutually agreeable basis
DTIC may provide other distribution services to the IACs such as CD-ROM or network
services including the sharing of cost and revenues.
E5.5.23. Selected products and services provided by IACs shall include provisions
for at least partial cost recovery in accordance with guidelines provided by the
sponsoring DoD Component. The principle is to promote wide dissemination and use
by the Defense community while discouraging the excessive ordering of products or
services without recognition of the cost impact on DoD resources.

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E5.6. ESTABLISHMENT OF IACs
E5.6.1. Proposals from the DoD Components for establishment of an IAC shall be
processed through the same channels that are used to approve and authorize any other
RDT&E program.
E5.6.2. Approval shall be based on, but not limited to, the following criteria:
E5.6.2.1. Documented evidence of a requirement to fill a void in an emerging
DoD technology thrust area.
E5.6.2.2. Clear definition of subject fields to be covered and demonstration
that other IACs or other sources do not duplicate or provide the same depth of
coverage of the proposed IAC.
E5.6.2.3. Cost and effectiveness including evaluation of whether alternate
ways of accomplishing the objectives of the IAC exist.
E5.6.2.4. Adequate financial support and plans for continuing support to
achieve the announced objectives of the IAC.
E5.6.2.5. Active support of the IAC by persons engaged in the type of
technical work to be covered by the IAC's information products and services.
E5.6.2.6. Evidence of capability to ensure proper security procedures and
controls on technology transfer.
E5.6.3. As part of the process in defining the need, purpose, and scope of a DoD
IAC, each IAC shall have a technical program Charter including the following:
E5.6.3.1. Mission and functions statement.
E5.6.3.2. Statement of need on DoD requirements.
E5.6.3.3. Statement of technical scope.
E5.6.3.4. Method of funding.
E5.6.3.5. Description of responsibilities for those DoD administrative,
procurement, and technical personnel that guide the direction and operation of the IAC.

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E5.6.3.6. Authority to establish and operate the IAC.
E5.6.3.7. Provisions for periodic review and revision.
E5.6.4. Each Charter is to be approved by the OSD Principal Staff Assistant
responsible for technical program oversight of the IAC.
E5.6.5. Subject Coverage. Subject areas covered by an IAC may be determined
from one or both of the following categories:
E5.6.5.1. Discipline Oriented Coverage. Information pertaining to all, or a
clearly defined part of, a recognized scientific or engineering discipline, which has its
own literature or professional traditions and is of particular interest to the Department
of Defense.
E5.6.5.2. Mission Oriented Coverage. Information pertaining to a military
undertaking of special interest to the Department of Defense or to a specific large
weapon or its support system or a group of such systems, and therefore, an area that
requires an interdisciplinary approach.
E5.6.6. Size and Location
E5.6.6.1. No specific limitations are imposed on the size of an IAC as long as
the types of functions described in section E5.3., above, are accomplished.
E5.6.6.2. IACs may be located at the following:
E5.6.6.2.1. DoD installations, laboratories, and other in-house technical
activities; or,
E5.6.6.2.2. Other Federal Government activities when a DoD Component
sponsors the IAC in conjunction with an applicable authority in an Agency Headquarters
for the other Government activity.
E5.6.6.2.3. Contractor installations (educational institutions, industrial
firms, and not-for-profit institutions).

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E5.6.7. Security. IACs shall satisfy all physical and document information
security requirements for the protection of classified or otherwise sensitive
information stored or held therein. For in-house operated DoD IACs, the IAC shall
adhere to all applicable policies and practices. For contractor-operated IACs all
security requirements shall be clearly specified by DoD in the contract.
E5.7. DISESTABLISHMENT OF IACS
E5.7.1. The sponsoring DoD Component, in coordination with the designated
"technical monitor" and the principal DoD-user activities, may propose the
disestablishment of a DoD IAC. A proposal to disestablish an IAC should include an
analysis that would permit DUSD(S&T) to evaluate or consider the types of questions
or factors described in paragraph E5.7.2., below.
E5.7.2. A combination of factors may form the basis for a decision to recommend
disestablishment of an IAC. Following a complete review, the DUSD(S&T)PP (with the
assistance of the OSD Principal Staff Assistant for IAC technical areas beyond the
purview of the DUSD(S&T)PP) shall make the decision on disestablishment of an IAC.
The following are typical questions or factors that may be considered in making such a
decision:
E5.7.2.1. Is the IAC still functioning in a major DoD technology thrust area?
E5.7.2.2. Is the IAC demonstrably useful to the Department of Defense?
E5.7.2.3. Is the IAC fulfilling a DoD need that is not duplicated by other
public, private, or Government organizations?
E5.7.2.4. What is the value of products or services to users for current DoD
programs?
E5.7.2.5. Are funds available?
E5.7.2.6. Is the IAC maintaining proper security controls and controls over
transfer of technology to foreign individuals and organizations?
E5.7.3. After the DUSD(S&T) has decided to disestablish an IAC, the following
shall be accomplished:

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E5.7.3.1. The sponsoring DoD Component shall announce a termination date
at least 90 days in advance and shall require the managing supervisor of the IAC to
provide a documented inventory of the IAC's holdings to the sponsoring DoD
Component and DoD technical monitor.
E5.7.3.2. The sponsoring DoD Component shall decide the disposition of the
IAC's holdings with the assistance of the managing supervisor of the IAC, the DoD
technical monitor and the approval of the ODUSD(S&T)PP.
E5.7.3.3. The technical holdings of a DoD IAC including its documents,
databases, and technical information represent a significant resource investment by the
Department of Defense. The disposition of those tangible assets must be handled in a
logical and cost-effective manner. As a result every reasonable effort should be made
to retain those holdings for future use in the Department of Defense and if not possible,
their disposition should be handled, in accordance with the parameters of the DoD
property disposal and records management programs. One of the principle functions of
DoD technical libraries is to retain the current and future technical assets of the
Department of Defense. Transferring the IAC holdings to another DoD IAC or a DoD
technical library shall be a primary consideration in the disposition of IAC technical
holdings. Care should be taken to ensure that data restricted to DoD use for reasons
such as national security, export control; etc., is retained by the Department of Defense
before transfer of remaining holdings to others outside the Government or that
applicable controls by the Department of Defense remain in effect.

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E6. ENCLOSURE 6
ACCESS TO AND DISSEMINATION OF DoD TECHNICAL INFORMATION
E6.1. PURPOSE
The DoD Technical Information Program shall ensure the complete and timely exchange
among DoD technical activities, including both the in-house and DoD contractor
communities, of all technical information generated by or about the pursuit of DoD
technical programs with due consideration of security requirements and access
restrictions. All DoD Components responsible for dissemination of technical
information shall make a positive effort to provide users accurate and timely technical
information, utilizing the most effective media, including symposia, newsletters,
technical reports, inquiry responses, on-line data networks, consultation and other media,
and making optimum use of computer technology to store, sort, select, package, and
disseminate data and information.
E6.2. APPLICABILITY AND SCOPE
E6.2.1. The implementation of policies, principles, and practices established by
this section apply to the DoD Components consistent with the constraints established by
DoD Directives 5230.9, 5230.24, 5230.25, 2002.3, and 5230.11, DoD 5200.1-R, and
DoD 5220.22-R (references (j), (k), (p), (v), (w), (g), and (u). That not only includes
dissemination of DoD technical information internally to the Department of Defense
but also applies to other Federal Government Agencies including legislative and judicial
branch agencies, all Government contractors, grantees; etc., other governments (local,
State, or foreign), and any others for which a DoD Component activity has an approved
and established "legitimate business relationship" interest. The term "legitimate
business relationship" is defined in enclosure 2.
E6.2.2. The procedures authorized by this enclosure shall be used by DoD
technical information dissemination activities to control access to DoD technical
information. The access afforded through use of those procedures does not override
special consideration or approvals that affect the flow of controlled information, but
shall provide routine access consistent with any such controls.

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E6.3. RESPONSIBILITIES
E6.3.1. The ODUSD(S&T)PP shall approve service charges collected by DoD
technical information dissemination activities in a manner consistent with section E6.4.,
below.
E6.3.2. The DoD Components shall:
E6.3.2.1. Pursue organized, coordinated, and comprehensive programs for
technical information dissemination. Those programs shall provide for the routine
interchange of technical information in the Department of Defense, between the
Department of Defense and others in the scientific and technical community including
other Federal Agencies, DoD contractors, other Federal Agency contractors, foreign
governments as applicable, and the national and international scientific and technical
community consistent with DoD Directives 5230.9, 5230.24, 5230.25, 2002.3,
5230.11, DoD 5200.1-R, and DoD 5220.22-R (references (j), (k), (p), (v), (w), (g), and
(u)).
E6.3.2.2. Under the limits of security and access restrictions necessary to
ensure adequate intra-DoD technical information exchange, vigorously pursue a policy
that ensures that technical information generated by activities under their cognizance is
provided for public use through applicable Federal Agencies and technology transfer
programs according to approved DoD clearance procedures.
E6.3.2.3. Support the wide dissemination of technical information as part of
the primary distribution of such matter, and support and sustain DoD technical
information dissemination activities including the DTIC, DoD IACs, and DoD technical
libraries.
E6.3.2.4. Wherever possible, provide unclassified versions of technical
documents and other information to expedite the information transfer process.
E6.3.2.5. In-house DoD activities shall complete all parts of the "Registration
for Scientific and Technical Information Services," DD Form 1540, and submit it to
DTIC before requesting technical information from DoD dissemination activities.
When classified information is requested on the DD Form 1540, that form shall be
signed by the applicable security officer for that activity.
E6.3.2.6. Ensure that DoD activities under their cognizance certify access to
DoD technical information for all non-DoD users based on the determination by the

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DoD activity that the user has a legitimate business interest with the Department of
Defense, as defined in enclosure 2. DoD personnel who certify access for non-DoD
users shall have the technical competence and familiarity with the user's needs and
intended use for the information to determine that it is in the best interest of the
Department of Defense to provide access. Particular attention shall be focused on the
subject fields of interest for access to classified information. Promptly report to DTIC
any changes of certification status such as contract termination, revisions to contracts
and grants concerning levels of access or completion dates, and changes of address or
organization names.
E6.3.2.7. Routinely provide for the dissemination of DoD technical
information for domestic technology transfer.
E6.3.2.8. Identify and provide information to DTIC describing R&E and other
acquisition-related publications, databases, specialized collections, products, services,
and accessibility about DoD scientific and technical information assets of DoD
activities whether in-house or contractor supported. This information reporting
requirement supports the DTIC-developed directory of STI resources and has been
assigned Reports Control Symbol DD-A&T(AR)1922.
E6.3.2.9. Establish and support industry information centers for ready access
to unrestricted and restricted DoD technical information, program planning information,
and requirements documents. Those centers shall also assist DoD contractors and
potential contractors in accessing DoD RDT&E activities and staff.
E6.3.3. The DTIC shall:
E6.3.3.1. Operate and maintain a uniform, DoD-wide certification and
registration system. Applicable procedures, forms, and instructions shall be prepared
and coordinated by DTIC, as a Volume of DoD 3200.14.M, "DoD Scientific and
Technical Information Program Procedures Manual."
E6.3.3.2. Maintain a central authority file of certified and approved users.
Provide methods of access and dissemination to that file such that other DoD
dissemination activities may provide information to registered users applicable to their
authority to receive data. Also, quickly inform DoD activities of the new registrations
and changes to the timeframe, conditions, and scope of coverage.
E6.3.3.3. Establish a DoD Directory of STI resources as described in
paragraph E6.3.2.8., above.

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E6.3.4. DoD Technical Information Dissemination Activities may collect service
charges as approved by ODUSD(S&T)PP in accordance with the policies and principles
of this enclosure.
E6.4. IMPLEMENTATION OF POLICY AND PRINCIPLES OF OPERATION
E6.4.1. Registration for Defense Technical Information
E6.4.1.1. The DD Form 1540 is authorized for the collection of data required
by the uniform DoD registration system established by DTIC for access and
dissemination purposes.
E6.4.1.2. Classified information dissemination from a DoD dissemination
activity shall be limited to the scope of a subject area field of interest as specified and
certified on the DD Form 1540 unless otherwise authorized by the DoD classification
authority. Such a certification shall constitute an approval by an applicable DoD official
that the user's official responsibilities require access to technical information within
the specified subject fields and groups on the DD Form 1540. An applicable DoD
official shall certify the access of non-DoD users to DoD technical information based
on the DoD official's determination that the non-DoD user has a legitimate business
relationship with the Department of Defense as defined enclosure 2. Approval for
access to classified or unclassified, but sensitive, technical information shall be
conditioned on the fact that the user understands the conditions of use and may
reasonably control access to the information by others, as necessary.
E6.4.1.3. DoD activities that have approved DD Form 1540s shall take action
to notify DTIC when the classified or otherwise sensitive and/or controlled information
is accessed and used in a significantly inappropriate manner. Access or termination of
access to DoD technical information is solely under DoD authority, as determined to
meet DoD needs. That relates to the intent of the Department of Defense to
disseminate technical information to the defense community to support the DoD
mission and in no manner shall be construed to limit public access and availability of
DoD information approved for public release in accordance with DoD Directive 5230.9
or for information released by the Department of Defense in accordance with DoD
Directive 5400.7 (references (j) and (n)).
E6.4.2. Dissemination of Defense Technical Information
E6.4.2.1. The Department of Defense shall disseminate DoD technical
information in support of its technical programs and in support of similar technical
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programs in other U.S. Government Agencies consistent with the DoD mission
contained in DoD Directive 5230.11 (reference (w)).
E6.4.2.2. Requests from foreign organizations for classified or otherwise
sensitive and/or controlled information shall be made only through applicable DoD
foreign release offices under established release procedures.
E6.4.2.3. It is intended that registration for access to DoD technical
information shall be available to both individuals and groups of people in an
organization. If a registration is completed for a group of people, then the individual
identified on the DD Form 1540 shall be authorized to receive all data (including
classified or unclassified but, sensitive data) consistent with the registration. That
individual is responsible for providing data to others in the organization consistent with
the "DoD Distribution Statement," classification markings, and export control warning
notices. That means, for example, if an in-house DoD activity requests information
from a DoD dissemination activity that is marked with "DoD Distribution Statement D
(Distribution Authorized to DoD and U.S. DoD Contractors)," then the requesting activity
may share that information with a DoD contractor including those working in that
activity or elsewhere. Dissemination to others shall only be, as approved by the
"Controlling DoD Office" as specified in DoD Directive 5230.24 (reference (k)). DoD
activities that operate DoD technical information networks may further limit access
based on network capacity constraints, but access shall be consistent with other DoD
information dissemination policies. Access to internal networks shall be consistent
with DoD marking policies including DoD Directive 5230.24, DoD Directive 5230.25,
DoD 5200.1-R, and DoD 5220.22-R (references (k), (p), (g), and (u)).
E6.4.3. Principles and Considerations for User Charges by DoD Technical
Information Dissemination Activities
E6.4.3.1. Objectives and Implementation of Policy
E6.4.3.1.1. The DoD Acquisition Program is implemented through an
extensive set of processes and procedures. The phases of the acquisition process
include the following:
E6.4.3.1.1.1. Concept exploration and development.
E6.4.3.1.1.2. Program definition and risk reduction.
E6.4.3.1.1.3. Engineering and manufacturing development.

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E6.4.3.1.1.4. Production, fielding and/or deployment, and operational
support.
(STI is an integral part of every phase of the acquisition process. In its many forms
(including technical papers, experimentation data in raw and analyzed form, engineering
drawings, handbooks, manuals, and acquisition-related management data; etc.) STI
sustains the accomplishment of the Department of Defense acquisition mission. With
the significant investment in DoD acquisition, it is incumbent on the Department of
Defense to promote the widest possible primary and secondary dissemination of STI to
organizations that contribute to DoD mission objectives. In the case of secondary
distribution, technical information dissemination activities enable the Department of
Defense to recoup a portion of its technology investment by enabling the Department of
Defense to leverage past technology investments. Additionally, technology developed
in the concept exploration and development phase of acquisition becomes the
technology baseline for numerous technology applications in the follow-on acquisition
phases identified in paragraphs E6.4.3.1.1.2. through E6.4.3.1.1.4., above.)
E6.4.3.1.2. An objective of the DoD STI program is to promote the
efficient, effective, and timely dissemination of STI. To accomplish that objective, it is
anticipated that DoD information dissemination activities may determine that it is
necessary to impose a system of charges to preclude the potential of excessive requests
for STI by DoD users. At the same time, such a system of charges shall be so
constructed as to meet DoD acquisition objectives stated in subparagraph E6.4.3.1.1.1.,
above, to leverage past technology investments and maximize their return to the
Department of Defense. A proper balance between direct charges to users and indirect
allocations of net additional costs to acquisition program elements must be determined
and applied accordingly.
E6.4.3.1.3. Additionally, some technical information products and
services are required to meet externally imposed requirements placed on the
Department of Defense including Federal statutes, and/or Executive Orders. Those
external requirements, while not self-imposed, are essential objectives.
E6.4.3.1.4. DoD technical information dissemination activities may
establish service charges for information products and services. Such service charges
shall be developed when there is a need to provide a means of PARTIAL reimbursement
for products and services and, when necessary, to preclude excessive, unwarranted use
of those products and services. At the same time, the overriding intent of the
Department of Defense is to widely disseminate its technical information to leverage
the utilization of DoD-funded technology to the maximum extent. Service charges shall

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not be established at a level detrimental to the ability of the Department of Defense to
leverage its technology base. DoD activities shall adequately budget and fund their
technical information dissemination activities consistent with those principles.
E6.4.3.2. Principles. Before making a determination to impose user charges a
number of factors must be considered. The following points all require analysis and
rationale to support a system of user charges:
E6.4.3.2.1. Who are the users of the information?
E6.4.3.2.2. Who are the customers that have a vested interest in seeing
that the information is available and used?
(There is often an important distinction between a customer and user. For example, the
Department of Defense requires contractors to use technical information in
performance of a contract. While the technical information is often obtained from a
DoD technical information dissemination activity, the customer (the DoD sponsor of
the contract effort) has obligated the Department of Defense to provide
Government-furnished information to the user (the DoD contractor) for the
performance of work. Another example is an in-house DoD activity that is required to
search existing technical and related management information before the start of a new
technical effort or before proceeding to the next milestone on a major program. The
user in that instance is the activity that receives the information and evaluates its
applicability to a new effort or the next major milestone. There are several
customer(s) in that example. The organization proposing to expend DoD acquisition
resources needs the information to define the technology baseline and develop the
rationale for investing in new or continuing technology development. The
organization(s) responsible to review and approve the expenditure of resources and to
ascertain that the technical effort meets DoD acquisition requirements is also
dependent on the information. Retention of the data for program audit purposes
reflects a third customer need.)
E6.4.3.2.3. What is the most efficient method to resource an information
product or service? And why?
E6.4.3.2.4. Does a method of cost recovery exist and how does it operate?
E6.4.3.2.5. Is a particular product or service mature enough to where the
customers and users are clearly defined and use of the product and service can be
supported by an established customer base? Development of new products and services
is an investment decision and should be resourced accordingly.

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E6.4.3.3. Practices. Periodically, DoD technical information dissemination
activities should identify the cost associated with providing their products and services.
Using that cost assessment, the DoD Components responsible for the operation and
funding of DoD technical information dissemination activities should utilize the
objectives and principles stated in paragraphs E6.4.3.1. and E6.4.3.2., above, as the basis
to determine the best method(s) to resource the products and services of those
activities. Those methods include the following:
E6.4.3.3.1. Direct mission funding of that information dissemination
activity.
E6.4.3.3.2. Block funding by customers and/or users.
E6.4.3.3.3. Subscription funding for levels or combinations of products
and services.
E6.4.3.3.4. Charge on demand to customers or users with payment from
aggregate accounts or on a transaction basis.
E6.4.3.3.5. Charges against other acquisition program accounts as a
support cost to those program elements.
E6.4.3.3.6. Combinations of the practices in paragraphs E6.4.3.3.1.
through E6.4.3.3.5., above, such as individual demand prices for users adequate to
discourage misuse with the remainder to be allocated in another manner.

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E7. ENCLOSURE 7
DTIC
E7.1. MISSION
Consistent with ODDDR&E policy guidance and program oversight, DTIC shall do the
following:
E7.1.1. Provide centralized operation of DoD services for the acquisition, storage,
retrieval, and dissemination of STI to support DoD R&D, engineering, and studies
programs.
E7.1.2. Provide centralized operation of databases, systems, or networks for the
acquisition, storage, retrieval, and/or dissemination of information to support other
DoD-related acquisition functions as approved by the DUSD(S&T). Provide other DoD
information support services as directed or approved by the DUSD(S&T).
E7.1.3. Serve as a focus for specific actions required by the DUSD(S&T) to meet
technical information needs of the STIP.
E7.1.4. Develop and provide specialized information system support approved or
directed by OSD Principal Staff Assistants.
E7.1.5. Work directly with the ODDR&E to formulate objectives and programs for
STI transfer among the Military Departments, Defense Agencies, and other U.S.
Government Agencies.
E7.1.6. Participate with the OSD and Federal Agencies in formulating DoD and
Federal policies on STI transfer.
E7.1.7. Function as a central activity in the Department of Defense for applying
advanced techniques and technology to DoD STI systems and for developing
improvements in services and STI transfer effectiveness in support of STIP objectives.
E7.1.8. Represent the Department of Defense at STI meetings, conferences, or
symposia to support mission objectives.
E7.1.9. Provide liaison with other DoD and Government STI organizations (such as
the Defense Logistics and Studies Information Exchange and the National Aeronautics
and Space Administration).

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E7.1.10. Provide planning, programming, budgeting, accounting, and reporting of
resources necessary to meet mission requirements and present PPBS submissions to
the OUSD(C) Comptroller through the DUSD(S&T) exercising staff oversight of DTIC.
E7.2. FUNCTIONS
The Administrator, DTIC, is responsible for providing or executing the following
functions in support of the STIP.
E7.2.1. Centralized DoD Information Services. Those include all services for
maintaining a repository of technical and related management documents resulting from
or pertinent to DoD R&E and studies efforts, providing for their dissemination, and the
following functions:
E7.2.1.1. Acquiring technical and related management documents including
documents from outside the Department of Defense, domestic or foreign, which are of
DoD interest but not readily available from other sources in support of the DoD R&E
and studies efforts. Documents may take the form and format of any commonly
accepted media for documentation and/or presentation of STI.
E7.2.1.2. Providing prompt and effective document awareness services and
publications reflecting new acquisition in the document collection.
E7.2.1.3. Storing in reproducible form copies of acquired DoD-relevant
technical and related management documents.
E7.2.1.4. Maintaining a system of document acquisition, storage,
announcement, reproduction, and distribution methods, in accordance with DoD security
policies, standards, criteria, and procedures for classified, limited distribution, export
control and company proprietary information entrusted to the Department of Defense by
agreement.
E7.2.1.5. Developing and maintaining a timely system of document acquisition,
storage, reproduction and dissemination that promotes the maximum efficiency for
activities providing documents to and receiving data and/or documents from DTIC such
that the DoD-user community may make the most effective and efficient use of the
technology in those documents.
E7.2.1.6. Providing timely response to requests from authorized users for
technical reports and other document services consistent with DoD Directives 5230.24

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and 5230.25, DoD 5200.1-R, and DoD 5220.22-R (references (k), (p), (g), and (u)) of
this enclosure 7. Release of documents in response to requests under the "Freedom of
Information Act" (5 U.S.C.552) shall be governed by DoD Directive 5400.7 (references
(m) and (n)). DTIC shall not release any document not previously cleared for public
release without the written approval of the controlling DoD activity, as defined by DoD
Directive 5230.24 (reference (k)). Requests from foreign persons for classified
reports or services shall be processed in compliance with DoD Directive 5230.11
(reference (w)).
E7.2.1.7. Ensuring the adequacy of and preparing necessary procedures,
standards, and guidelines in applicable Volumes of DoD Scientific and Technical
Information Program Procedures Manual for preparing, acquiring, storing, distributing,
and gaining access to technical and/or management documents describing R&E efforts
and the entry of bibliographic descriptions into DoD STI databases.
E7.2.2. Centralized DoD Database Services
E7.2.2.1. Those involve the application of information, computer, and
telecommunications technology to provide authorized seekers of Defense STI
convenient access to stored files of STI about managing and conducting R&E and studies
programs. For such databases, the DTIC shall provide for the following:
E7.2.2.1.1. Database input systems and procedures to acquire and enter
data into the databases, and provide technical support for remote input to the databases
either on-line or in machine-readable form. Database input systems shall use existing
DoD standard data elements when applicable.
E7.2.2.1.2. Database output systems and procedures to support the
processes involved in formulating and executing on-line search and retrieval, formulating
output of significant segments of the databases including search and retrieval tools and
procedures utilizing applicable electronic media, and control of database output
products.
E7.2.2.1.3. Response to demand requests received by mail, on-line, and
telephone for database products (both individual products as well as downloading of
significant segments of the databases) and processing of subscriptions for recurring
database products.

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E7.2.2.2. The DTIC shall establish and operate a centralized database of
bibliographic citations of technical documents resulting from or about the DoD R&E
and studies programs. That includes support to DTIC document services functions, such
as the following:
E7.2.2.2.1. Document announcement, current awareness, selective
dissemination of information products, or bibliographic searches.
E7.2.2.2.2. Bibliographic database support to include such items as
shared cataloging and related services to technical libraries, support to DoD IACs, and
support to other information processors that operate or provide support to DoD R&E
programs.
E7.2.2.3. As resources and technology permit, DTIC shall establish and
operate a centralized computer database of full-text technical documents resulting from
and about the DoD R&E and studies programs. The database shall include, where
possible, features to enable electronic input, text search, electronic output, file transfer
capabilities; etc.
E7.2.2.4. The DTIC shall maintain and operate centralized databases of
summary technical and management-related information describing the content and
scope of R&E programs, consistent with or as required by other parts of this
Instruction, DoD Instruction 3204.1, and DoD Directives 4205.2, 2002.3, and 8910.1
(references (x), (q), (v), and (y)), and when and as further defined by applicable Volumes
of DoD Scientific and Technical Information Program Procedures Manual and other data
specified or approved by the DUSD(S&T), when needed for R&E program management.
E7.2.2.5. The DTIC shall provide for maintenance of a central referral
database of the Department of Defense and relevant Federal STI activities and shall
cooperate with the Federal Agencies in maintaining such referral services.
E7.2.2.6. The DTIC shall establish and maintain an index of the unique
collections of DoD technical holdings in the DoD technical libraries and the unique
collections and database that reside at DoD R&E activities. Additionally, on a voluntary
basis DTIC may accept similar information from Defense industry and academic
institutions that have unique collections of significant interest to the Defense R&E
community.
E7.2.2.7. The DTIC shall provide the capability and capacity, as approved by
the DUSD(S&T) to accommodate new or expanded STI databases and extended levels of
database access, system interconnection, and the establishment of networks.
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E7.2.2.8. The DTIC shall ensure the adequacy of and prepare DoD Regulations
and guidelines describing responsibilities and procedures for input to, maintenance of,
access to, and retrieval from DoD STI databases.
E7.2.2.9. The DTIC shall provide OSD functional managers with data and
document services needed to support their programs in R&E and studies areas.
E7.2.3. Related STI Support Services. The DTIC shall do the following:
E7.2.3.1. Develop and apply techniques to assess STI needs, usage, and trends
with a view to proposing new STI products, services or programs.
E7.2.3.2. Develop and operate promotional and training programs to increase
the awareness and use of STI policy, procedures, tools, products, and services among
R&E managers, scientists, engineers, and that of the information practitioners that
support them throughout the current and potential DTIC user community with a view
increasing their efficiency.
E7.2.3.3. Provide a central DoD authority and establish a central directory for
the data elements and processes used to record, gain access to, and exchange STI or
documents and prepare DoD procedures with specific criteria and guidance for the
content and format of data elements required by those STI databases, and register data
elements with the Defense Information Systems Agency. The DTIC shall exercise that
authority in cooperation and coordination with the DoD Components and shall ensure
compatibility where practical with the STI practices of other Federal Agencies.
E7.2.3.4. Explore and acquire techniques and arrangements for access to STI
databases, on-line services, or networks on the conduct or management of R&E
programs. Those may include data, databases, or systems from other Federal,
commercial, or foreign sources that may not otherwise be readily accessible to DTIC
users, if the DTIC does not unnecessarily or unfairly compete with or detract from
services available from the private sector.
E7.2.3.5. Represent the Department of Defense in efforts of Federal and
professional STI activities involving the compatibility or standardization of STI data and
processes about improved information transfer.
E7.2.3.6. As directed by the DUSD(S&T), provide such centralized services as
acquisition, evaluation, or implementation of common STI resources, systems, or
devices and act as focal point in such endeavors as arranging or instituting new STI
programs, procedures, or exchange agreements.
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E7.2.3.7. Operate and maintain procedures where U.S. Government
Departments and Agencies and their contractors, subcontractors, grantees, and DoD
potential contractors may become certified and registered for access to controlled STI
available from DoD information dissemination activities, in accordance with DoD
5200.1-R and DoD Directive 5230.25 (references (g) and (p)), and enclosure 6 of this
Instruction.
E7.2.3.8. As directed by DUSD(S&T), act as the DoD Executive Agent for the
preparation and publication of newsletters, journals (juried and unjuried), reports; etc., to
support the dissemination of defense-related STI.
E7.2.4. DoD Component Headquarters Information Support. The DTIC shall
provide information services, which utilize the appropriate information technologies to
acquire, analyze and disseminate information to support oversight and management
functions and to improve overall Department of Defense management. To accomplish
these tasks, the DTIC shall provide support in the following areas:
E7.2.4.1. Analyze and define information gathering, analysis and dissemination
requirements as requested by DoD Component Headquarters.
E7.2.4.2. Investigate and evaluate new technologies and apply them to the
requirements to meet information gathering, analysis and dissemination requirements of
supported organizations, including utilization of the Internet/World Wide Web or
similar technologies.
E7.2.4.3. Conduct liaison with DoD Component Headquarters to assure
continued support for information gathering, analysis and dissemination.
E7.2.4.4. Maintain the DoD implementation of the Government Information
Locator Service (GILS) in accordance with Office of Management and Budget Number
95-01 (reference (z)).
E7.2.5. Investigation, Experimentation, and Application of Advanced Information
Science and Technology. The DTIC shall identify, develop, and carry out programs to
perform and monitor experimentation and study for increasing its internal effectiveness
and productivity and for ensuring that the overall STIP is served by innovative and
effective information systems that take advantage of new advances in information
science and technology. It shall perform studies and experimentation to improve the
processes involved in acquiring, using, storing, retrieving, disseminating, and generating
STI. In doing so, it shall seek effective ways to employ modern information storage,
retrieval, and transmission technology and devices by acquiring and testing the
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application of existing and promising computer, telecommunications, storage, and
transmission devices and concepts. DTIC shall coordinate its program with other DoD
activities engaged in RDT&E involving information science, telecommunications, and
other enabling technologies that help the effective conduct of the DoD STIP.
E7.2.6. DoD Technical Library Support. The DTIC shall provide a focus for
developing and coordinating programs among, and providing centralized technical
support to, DoD technical libraries. To help improve their effectiveness and
capabilities, the DTIC shall provide assistance in the following areas:
E7.2.6.1. Analyze and explore applications of automation to library operations
and other services.
E7.2.6.2. Promote cooperative efforts among libraries including the
establishment of networks and resource sharing.
E7.2.6.3. Facilitate the integration of technical libraries, IACs, the DTIC, and
other components of the STIP in a coordinated STI network.
E7.2.7. DoD IAC Support. The DTIC shall:
E7.2.7.1. Provide necessary support and services for improved coordination,
planning, and integration of DoD-funded IACs. The DTIC shall establish and support a
comprehensive program in the IAC function of the STIP to improve the visibility,
effectiveness, and use of the IACs in support of DoD and Federal scientific and
technical programs.
E7.2.7.2. When functioning as the "DoD Component sponsor," provide
oversight through the contracting officer for designated "contractor-operated DoD
IACs."
E7.2.7.3. Develop and provide systems and services to assist or supplement
IAC operations or programs to effect and promote resource sharing, joint approaches to
common objectives and problems, and information exchange among the IACs, DTIC, and
other components of the STIP.

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