A. FSP Background and General Guidance

1. What is the foundation of FSP?
2. What USGS scientific information products must follow FSP?
3. Are there any alternatives, exceptions or exclusions to following the FSP review and approval requirement? [updated September 2023]
4. What are the basic FSP requirements for review, approval, and release of scientific information products?
5. Where is guidance available on disclaimer statements that are allowed in USGS scientific information products?
6. Where is guidance available regarding advocacy and recommendations in USGS information products?
7. Under what circumstances may "personal (written or oral) communications" be cited in scholarly publications?
8. How are FSP and Science Publishing Network (SPN) requirements related?
9. Where is guidance available that explains the general review and approval procedures and responsibilities for scientific information product development?
10. What are the recordkeeping requirements regarding research activities?
11. Where can I find additional guidance on requirements related to authorship of USGS information products?
12. Do final technical reports to cooperators or partners have to go through the FSP review and approval process?
13. Can new interpretive material be posted on a USGS public web page?
14. What are the circumstances under which access to USGS-funded scientific data may be restricted from release?
15. Under what circumstances may scholarly publications refer to unpublished data funded by a non-USGS organization?
16. Under what circumstances may USGS-funded unpublished data be cited in scholarly publications?
17. What criteria and guidance are followed for acknowledgments included in information products?
18. What is an Open Researcher and Contributor Identification (ORCID) iD?
19. Why do USGS authors need an ORCID iD and what information must be provided in their profiles?
20. What is the benefit of an ORCID iD?

A.1. What is the foundation of FSP?

The foundation of FSP is to bring forward a set of fundamental principles that underlie USGS science practices, uphold the Bureau’s scientific reputation, and underscore its mandate to provide reliable science information to address pressing societal issues (SM 502.1). These principles address how research activities are planned and conducted (SM 502.2) and promote broad release and communication of the results of these activities in scientific information products that are appropriately reviewed, approved, and released (SM 502.3 and SM 502.4). FSP requirements also address how scientific data (SM 502.8) and scientific software (IM OSQI 2019-01) are reviewed, approved, and released. Refer to the full list of FSP Policy Directives for additional information.

A.2. What USGS scientific information products must follow FSP?

All USGS scientific information products, as defined in SM 502.1, whether they are published by the USGS or by an outside entity, must comply with FSP requirements if the author has full time, part time, or volunteer (including emeritus) USGS affiliation or shared affiliation (for example, between the USGS and a university, refer to SM 502.10 and FSP FAQ E.8.6). These scientific information products include those released in a USGS publication series, nonseries information periodicals, and infrequently used special publications (SM 1100.3) and USGS-authored scientific information released in non-USGS outlets as journal articles, abstracts, and other outside publications such as those of cooperating Federal, State, local, and tribal agencies, nongovernmental organizations, and scientific and technical societies (SM 1100.4). Other information products for which FSP requirements must be met include USGS scientific data and software products and public Bureau web pages that contain scientific information. Refer to the FSP requirements for various USGS information products, web pages, and SM 205.18 for additional information.

A.3. Are there any alternatives, exceptions or exclusions to following the FSP review and approval requirement? 

No. FSP review and approval requirements must be followed for all publicly released USGS science information products. An alternative to following the FSP review and approval requirement has only been granted by the OSQI Director for the National Climate Assessment publication, a Congressionally mandated report to the President organized by a multi-Federal agency committee.  

A.4. What are the basic FSP requirements for review, approval, and release of scientific information products?

All scientific information products, regardless of format, must receive the following reviews and approvals as appropriate, generally in the order shown below.

1. Peer review, which ensures the scientific quality of USGS information (as detailed in SM 502.3);
2. Editorial review (required for USGS publications series), which ensures that appropriate Bureau standards and quality assurance for accuracy and clarity of expression are met as detailed in SM 1100.2;
3. Policy review (part of Bureau approval), which ensures that all policies relevant to USGS FSP are met and identifies policy sensitive issues, including those that may have implications related to current policy or that may involve matters of national interest, security, or potential commercial gain (as detailed in SM 502.4);
4. Approval, which includes that of line supervisors generally following the organizational alignment of the senior USGS author, and, subsequently, Bureau approval, which validates the scientific excellence of the scientific information product by the appropriate officials (as detailed in SM 205.18); and
5. Release, which includes USGS publication series products available through the USGS Publications Warehouse and the USGS Store (for printed copies) and products submitted to an outside publisher (such as a journal) for release.

Other reviews such as data review and names review, described in SM 502.4, may also be required prior to approval.

A.5. Where is guidance available on disclaimer statements used in USGS scientific information products?

Refer to Guidance on Disclaimer Statements Allowed in USGS Science Information Products for a list of various disclaimer statements that should be included. These are statements BAOs in the OSQI look for and consider acceptable to use in USGS science information products to ensure Bureau wide consistency in conveying specific messages to recipients about the content of USGS science products.

A.6. Where is guidance available regarding advocacy and recommendations in USGS information products?

Refer to Guidance on Advocacy and Recommendations in USGS Information Products, which includes examples of acceptable and unacceptable statements.

A.7. Under what circumstances may "personal (written or oral) communications" be cited in scholarly publications?

The use of "personal (written or oral) communications" is permitted when referring to auxiliary information that is not essential to ensuring others can replicate the results or evaluate the validity of the data used to support the conclusions of the scholarly publication. It may not refer to USGS-funded data used to support the results and conclusions presented in scholarly publications. These in-text citations must identify the name and affiliation of the personal contact, the type of communication (oral or written), and include a date of communication. If the individual was retired at the time of the personal communication, the author may use affiliation “retired U.S. Geological Survey employee” if desired. If the individual has no professional affiliation, provide location information (city and state or equivalent) of the individual. Refer to FAQ A.15 for additional information.

A.8. How are FSP and the Science Publishing Network (SPN) requirements related?

FSP are a set of policy and procedures that governs and provides the foundation for how scientific investigations and activities are planned and conducted and how resulting scientific information products are reviewed and approved for release (SM 502.1 and SM 502.4). FSP requires that USGS scientific information products conform with established USGS publishing requirements and procedures for production and release (SM Part 1100 - Publishing Policies). The SPN is the Bureau’s organizational unit that is the sole source for providing publishing support services and related needs. USGS authors and SPN staff routinely collaborate to ensure that USGS publications have met the appropriate FSP and publishing requirements prior to release. The SPN Publishing Service Center (PSC) staff also provides editorial and production support, prepares USGS information products for publication (refer to SM 1100.3), releases these products online through the USGS Publications Warehouse, and coordinates printing and distribution needs.

A.9. Where is guidance available that explains the general FSP review and approval procedures and responsibilities for scientific information product development?

Guidance available includes procedures for review and approval; a chart showing the general responsibilities of authors, approving officials, and others; and a scientific information product workflow diagram showing typical development steps spanning the time from the author’s creation of the scientific information product to its release for publishing. FAQs on review and approval of scientific data for release and FAQs on metadata for scientific data are also available. In addition, various FSP training modules are available to help USGS and others in awareness and understanding of FSP requirements.

A.10. What are the recordkeeping requirements regarding research activities?

Data collection and research planning activities are governed by documented work plans that are reviewed by appropriate experts and approved at some level higher than the project chief, such as the Science Center Director (SM 502.2). Proper documentation is required to ensure that scientific goals are achievable and are appropriate to the mission of the USGS and that research can be interpreted appropriately. Documentation and recordkeeping requirements associated with data collection and research activities are found in the USGS Records Disposition Schedules. In addition, Science Center Director responsibilities in relation to the planning and conducting of data collection and research are outlined in a USGS FSP Training Module that describes Science Center Director Responsibilities.

A.11. Where can I find additional guidance on requirements related to authorship of USGS information products?

Refer to SM 502.10 for requirements related to authorship of USGS scientific information products and the related FSP FAQs on Authorship that provide additional guidance. Guidance on the public USGS FSP website contains comprehensive information for use by USGS authors including many other FAQs and other tools and procedural documents and links related to developing, reviewing, approving, and releasing scientific information products. Limited guidance information is also available on the internal USGS FSP website. 

A.12. Do final technical project progress reports to cooperators or partners have to go through the FSP review and approval process?

Yes, all scientific information products, including those submitted to an agency that has provided funding to the USGS to carry out scientific research, assessments, or investigations reporting final technical outcomes (new interpretive information) of a project must be peer reviewed and receive Bureau approval as described in the FAQs on Reporting Project Progress.

A.13. Can new interpretive material be posted on a USGS public web page?

No, a web page cannot be used to release new interpretive material. Certain applications, however, such as interactive web-based maps or model simulations based on real-time data that cannot be effectively released in a USGS publication series or other scientific information product, can be served from a web page but must refer to an associated interpretive information product. Guidance on distinguishing interpretive and noninterpretive material is available at Distinctions between New Research or Interpretive Information Products, Previously Published or Noninterpretive Information Products, and Scientific Data. Guidance in SM 205.18 provides requirements on the approval authority for new research or interpretive scientific information products and previously published or noninterpretive scientific information products. Refer to approval requirements for web pages described in Levels of Delegated Bureau Approval Authority for U.S. Geological Survey Information Products.

A.14. What are the circumstances under which access to USGS-funded scientific data may be restricted from release?

In accordance with the USGS Public Access Plan, effective October 1, 2016, as a general rule, all supporting research data that are USGS funded (that is, data collection was funded all or in part by the USGS) and approved for release in support of associated scientific information products must be freely available for public access at the same time as or before the information product is released. However, there are circumstances when access to or release of the USGS data is restricted because of security, privacy, confidentiality, or other constraints, or data mentioned in the published product are not used as a basis for the conclusions. In cases where access to or release of USGS data is restricted, a statement should be included in the information product indicating that data either are not available or have limited availability owing to restrictions. Refer to the FSP Guide to Data Releases With or Without a Companion Publication web page for additional information.

A.15. Under what circumstance may scholarly publications refer to unpublished data funded by a non-USGS organization?

The preference is that all data referenced in USGS scholarly publications are made publicly available regardless of the funding source. In instances where the non-USGS funded data have not been made publicly available by the data owner, the USGS can suggest or request but cannot require the data be made publicly available (refer to SM 502.5, section 5.A about information owned by other Federal agencies). If non-USGS funded data are not made available, a statement should be included in the associated USGS information product. For example, (1) place the following in the acknowledgments or data availability section: “At the time of publication, data were not available from [the responsible non-USGS agency].” or (2) place the following as a footnote to the in-text citation: “[name, affiliation, unpublished data, year]¹ ... ¹ At the time of publication, data were not available from [the responsible non-USGS agency].”. Such statements indicate that at the time of publication, the data were not available from the responsible non-USGS agency. An example of this footnote text is available on the FSP Guide to Data Releases With or Without a Companion Publication web page. With the exception of restricted data as described in FAQ A.14, under no circumstances, should unpublished USGS-funded data be used to support the results and conclusions presented in scholarly publications. Refer to FAQ A.7 for additional information.

A.16. Under what circumstance may USGS-funded unpublished data be cited in scholarly publications?

The use of unpublished data is not permitted for in-text citations when referring to USGS-funded data used to support the results and conclusions presented in scholarly publications (including outside publications and USGS publication series). Citations referring to unpublished data, however, are allowed when the citation refers to content or auxiliary information that is not essential to ensuring others can replicate the results or evaluate the validity of the data used to support the conclusions of the scholarly publication. These in-text citations must include the name and affiliation of the personal contact from whom unpublished data were obtained, and include the year of the communication (e.g., Mary Doe, U.S. Geological Survey, unpublished data, 2017). Refer to FAQ A.15 for additional information about citing unpublished data that are not funded by the USGS.

A.17. What criteria and guidance are followed for acknowledgments included in information products?

Acknowledgments in USGS scientific information products must be limited to only those that contributed materially to the scientific investigation and the information product and (or) those that provided content-specific assistance to authors during the related investigation. USGS Bureau Approving Officials (BAOs) advise authors on the acknowledgments to ensure they apply specifically to the associated product and that statements are unbiased and impartial, uphold scientific integrity (refer to SM 500.25), and are without conflict of interest, including any considerations beyond those related to the product-content contributions. The BAOs may request changes to such statements as they deem necessary prior to granting approval (refer to SM 205.18, Section 3.B; SM 502.10; and FSP FAQs on Approval).

A.18. What is an Open Researcher and Contributor Identifier (ORCID) iD?

An ORCID iD is a unique, persistent identifier that can be obtained by researchers free of charge. An assigned ORCID iD is associated with an individual regardless of their affiliated institutions and records an author’s history of publications. Thus, ORCID iDs associated with Bureau employees identifying the USGS as their affiliation can be used to categorize USGS-authored or funded scientific information products. To register for an ORCID record and obtain an ORCID iD, refer to https://orcid.org.

A.19. Why do USGS authors need an ORCID iD and what information must be provided in their profiles?

Effective October 1, 2016, all USGS authors (including coauthors) must have a ORCID iD account (set to public) if they publish scientific information products and ORCID iDs are required for Bureau approval of these products in the internal Information Product Data System as stated in SM 502.4. When creating an ORCID iD, authors must make the ORCID publicly visible by completing the extra step in the registration process. The ORCID iD record should also include the author’s first and last name, USGS email address, and USGS employment affiliation. These fields should be made “visible to everyone” to ensure proper display of all USGS-authored publication contributions. For more information, refer to the USGS Data Management web site’s ORCID webpage.

A.20. What is the benefit of an ORCID iD?

An ORCID iD helps to highlight and clarify Bureau research and authorship by USGS employees. Additionally, an ORCID iD enables the USGS Publications Warehouse to ensure that 12 months after publication (the embargo period as described in SM 502.4, Section 6.D), all USGS-authored or funded journal publications are made freely available to the public, which complies with USGS Public Access Plan requirements. The Publications Warehouse also uses ORCID iDs to update and link to externally published information products by USGS authors. Lastly, the Bureau’s content management system uses ORCID iDs to properly link publications to the USGS author’s science center news and publications listings as well as to each author’s staff profile page.