500.25 - Scientific Integrity

A.  Allegation.  A Complaint must include one or more allegations, that is, a claim of fact not yet proven to be true, with an explanation of how the criteria for a scientific integrity policy violation (as described in 305 DM 3) is met.

B.  Complainant, Complaint: Any person (the Complainant) may report alleged scientific integrity policy violations (a Complaint). 

C.  Conflicts of Interest: Conflicts of interest include any personal, professional, financial, or other interests of those covered by this policy and/or their immediate family members that is prohibited by an applicable law or policy, which may include Federal ethics requirements, applicable standards issued by the Office of Government Ethics, Federal acquisition requirements, and the prevailing practices of the National Academy of Sciences as adopted by the Office of Management and Budget.

D.  Designated Responsible Official. The delegate who works with senior leadership in the USGS to ensure corrective actions are taken when violations of scientific integrity policy are identified.

E.  Scientific Activities. As defined in 305 DM 3, activities that employ the scientific method for inventorying, monitoring, experimenting, studying, researching, and modeling.

F.  Scientific Integrity. The adherence to accepted standards, professional values, and practices of the relevant scientific community, including the Departmental Code of Scientific and Scholarly Conduct, in the performance of scientific activities.

G.  Scientific Integrity Statement. As provided in 305 DM 3, to be inserted into statements of work for contracts, written agreements, cooperative agreements, grants, permits, and leases, covered under the scope of the policy.

H.  Scientific Misconduct. As defined in Executive Order 14303, means fabrication, falsification, or plagiarism in proposing, performing, reviewing, or reporting the results of scientific research, but does not include honest error or differences of opinion. For the purposes of this definition:

(1) "fabrication" is making up data or results and recording or reporting them;

(2)  "falsification" is manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record; and

(3)  "plagiarism" is the appropriation of another person's ideas, processes, results, or words without giving appropriate credit.

I.  Subject: The person at which an allegation of scientific integrity violation is directed. More than one individual may be named as the Subjects of an allegation.

J.  Violation of Scientific Integrity Policy. For the USGS, this includes a finding of a failure to comply with the Departmental Scientific Integrity Policy (305 DM 3, Integrity of Scientific and Scholarly Activities, including the Department Code of Scientific and Scholarly Conduct), the USGS Scientific Integrity Policy (SM 500.25, Scientific Integrity), or, the USGS FSP (SM 502); or, a finding of scientific misconduct.

A.  USGS Director. The Director of the USGS is responsible for providing leadership on scientific integrity, which includes ensuring employees and volunteers are aware of their responsibilities for compliance with this policy and with 305 DM 3 and ensuring contractors, cooperators, partners, permittees, lessees, and grantees are aware of their responsibilities related to scientific integrity as detailed in their contract, agreement, or memorandum of understanding. The USGS Director appoints a Designated Responsible Official after violations of the scientific integrity policy are identified. 

B.  Executive Leadership Team (ELT). ELT Members ensure implementation of this policy within their areas of responsibility and work with the Bureau Scientific Integrity Officer as needed to implement this policy. They collaboratively work with the USGS Director and Deputy Directors as needed to ensure activities related to compliance with this policy are carried out in a consistent manner throughout the Bureau. An effective practice is to engage the Bureau Scientific Integrity Officer in the development or revision of the broader set of policies and practices that affect the Bureau. Doing so will help provide needed perspectives before such policies are issued and better ensure they support the needs of scientific quality and integrity. The ELT monitors for conflicts of interest in USGS science processes or products. ELT members are expected to discuss conflicts of interest or other scientific integrity concerns with the OSQI for appropriate guidance and follow-up. When concerns pertain to the USGS Director or Departmental personnel, the OSQI will report the concern to the Office of Inspector General.

C.  Office of Scientific Quality and Integrity (OSQI). The OSQI provides oversight to enhance the integrity, quality, and health of USGS science. The OSQI is also responsible for implementing this chapter and 305 DM 3 as it pertains to the USGS and maintaining records of the scientific integrity Complaint process. The OSQI will evaluate the state of scientific integrity at USGS through the biennial scientific integrity survey or other mechanisms. In addition, the OSQI Director is responsible for the following:

(1)  Keeping the USGS Deputy Director for Administration and Policy and Chief Scientist informed on the status of the implementation of this chapter and requesting or monitoring internal and external reviews of scientific integrity within USGS science programs (to include evaluation and status reports).

(2)  On behalf of the USGS, appointing the Bureau Scientific Integrity Officer, a career scientist within the OSQI.

(3)  Ensuring the independence of scientific integrity investigations and processes by providing support and coordination across the Bureau to the BSIO when needed.

(4)  Working with the Chief Scientist, the Mission Area(s), and the Region(s) to address any concerns on science quality and/or integrity following review and/or inquiry into a scientific integrity Complaint. 

(5)  Ensuring scientific integrity Complaints that involved public or high-profile events, or political appointees, are properly referred for investigation.

(6)  Coordinating the review of this SM chapter every two years or as needed.

D.  Bureau Scientific Integrity Officer (BSIO). The BSIO is responsible for implementing this chapter and 305 DM 3 as it pertains to the USGS and maintains the independence and transparency as well as the record of the scientific integrity Complaint process, keeping the OSQI Director informed on the status of the implementation of this chapter. The BSIO provides advice and counsel on matters of scientific integrity, and processes consultations and Complaints consistent with this chapter. See 305 DM 3 for a complete list of responsibilities. Contact details for the USGS Scientific Integrity Officer can be found online: https://www.usgs.gov/office-of-science-quality-and-integrity/scientific-integrity.

E.  Bureau Approving Officials (BAOs). Depending on the content and type of science product to be released, Bureau approval authority is delegated to BAOs in the OSQI (SM 205.18). BAOs in the OSQI ensure that USGS standards for scientific and editorial quality are followed by confirming that appropriate FSP requirements are met in accordance with SM 502.4. BAOs conduct consistent and uniform approval practices across the Bureau. 

F.  Subject Matter Experts (SMEs). Subject Matter Experts (SME) may serve on an ad hoc basis or as a detailee to the OSQI, and on request provide technical expertise during an investigation. As part of their confidential duties, an SME may be asked to determine the “accepted practices of the relevant scientific community;” determine if the evidence gathered indicates a “significant departure” from those accepted practices; or assist in fact-finding and review. SMEs objectively examine issues related to scientific integrity and prepare and submit a report to the BSIO. 

G.  Departmental Scientific Integrity Officer (DSIO). See 305 DM 3 for a complete list of responsibilities. 

H.  Departmental Scientific Integrity Coordinators (SICs). See 305 DM 3 for a complete list of responsibilities. 

I.  Human Capital Office. The Human Capital Office (HCO) has responsibility for providing a copy of this policy to new employees as part of USGS required training and ensuring that all new employees sign an acknowledgement that they have received a copy. This acknowledgment should be retained in the “temporary” section of employees’ electronic Official Personnel Files or within DOI Talent. The HCO consults with the OSQI and Bureau managers and supervisors on appropriate actions concerning the results of scientific integrity inquiries.

J.  Managers and Supervisors. USGS Managers and Supervisors are responsible for reporting knowledge of violations of scientific integrity policy including scientific misconduct to the BSIO. Supervisors comply with requests from the DSIO or BSIO to obtain and secure all original records and materials as warranted by the scientific integrity policy. As appropriate, USGS Managers and Supervisors consult, for follow up from a scientific integrity matter, with the BSIO, Deputy Ethics Counselor, Office of Administrative Services, Office of Inspector General (OIG), and Office of the Solicitor (SOL). Managers and Supervisors mitigate and prevent future loss of scientific integrity using lessons learned when violations of scientific integrity policy are identified and, in consultation with the Human Capital Office, ensure appropriate administrative and disciplinary action is taken in accordance with 370 DM 752 and collective bargaining agreements, if applicable. Managers and Supervisors also ensure that all contracts, written agreements, cooperative agreements, grants, permits, and leases covered by the scope of 305 DM 3 include the scientific integrity statement. 

K.  USGS Employees and Volunteers. All USGS employees and volunteers must comply with this chapter, FSP requirements, 305 DM 3, and the Federal Policy on Research Misconduct. They are responsible for reporting knowledge of scientific misconduct to the BSIO. 

L.  Contractors, Cooperators, Partners, Permittees, Lessees, and Grantees. Contractors, cooperators, partners, permittees, lessees, and grantees who assist with developing or applying the results of scientific and scholarly activities shall refer to their contract, agreement, or memorandum of understanding for specific guidance related to scientific integrity.

8.    Procedures for Reporting and Resolving Complaints Related to a Violation of Scientific Integrity Policy.  

The USGS is dedicated to preserving the integrity of the scientific activities it conducts, and which are conducted on its behalf. The Bureau will not tolerate violations of scientific integrity policy. Anyone who has concerns about an issue of scientific integrity at the USGS may contact the BSIO, who has responsibility to foster effective communication and act as a trusted intermediary and source of information, advice, consultation, and guidance on scientific integrity. Procedures will be conducted in accordance with 305 DM 3.

A.  Filing a Complaint. Complaints are filed by email or mail with OES. The process to follow to file a Complaint is outlined in 305 DM 3.  The Complaint must be submitted within 60 calendar days of the date the Complainant first learned of the potential scientific misconduct and/or violation of scientific integrity policy. Allegations should be submitted to the Office of the Executive Secretariat and Regulatory Affairs (OES) via email to doiexecsec@ios.doi.gov. If a contractor, cooperator, partner, permittee, lessee, or grantee is the subject of the Complaint, the procedures set out in 305 DM 3 must be followed. An allegation of scientific misconduct must be in writing and include all of the following information: 

(1)  The name and signature of the person submitting the Complaint, including any organizational affiliation. 

(2)  The name of the person(s), if known, or work unit alleged to have committed the scientific misconduct or violation of scientific integrity policy. 

(3)  A statement of facts (including dates, locations, and actions) that support the Complaint, including when and how the Complainant first learned of such facts. 

(4)  An explanation of how the criteria for scientific misconduct or a violation of scientific integrity policy are met, including: (1) citations or other information identifying the accepted practices of the relevant scientific community, and (2) an explanation of how the alleged actions, or both, constitute a significant departure from those practices. 

(5)  An explanation of any conflict(s) of interest that the Complainant has with the subject(s), entity(ies), or situation(s) named in the Complaint. 

(6)  A statement indicating whether the Complainant also submitted some or all of the facts of their Complaint elsewhere, such as Office of Ethics, Human Resources Office, Office of Special Counsel, or OIG. 

B.  Receipt and Preliminary Review of an Allegation. The process to follow on receipt of an allegation is outlined in 305 DM 3. A summary of this process is provided below.

(1)  The OES will refer allegations pertaining to the USGS to the USGS BSIO. 

(2)  Throughout the allegation/inquiry process, confidentiality will be maintained and identities of the subject of the allegation, their organization, and person submitting the allegation will be protected to the extent permissible under law. The BSIO may retain the assistance of USGS SMEs or other experts, as appropriate. 

(3)  The BSIO will promptly conduct a preliminary review of the Complaint and determine whether the Complaint is timely, complete, alleges a viable claim of scientific misconduct or a violation of scientific integrity policy, or both, and after conducting preliminary investigative activities, the BSIO determines that a reasonable person would conclude that there could be scientific misconduct or loss of scientific integrity, then the BSIO will conduct an inquiry. If those initial review determinations are not affirmed by the BSIO, the matter is closed and the Complainant and Subject of the Complaint may be notified.

(4)  If the Complaint alleges a case of scientific misconduct or a loss of scientific integrity but also involves matters that may be within the purview of another Complaint process, such as an OIG or OSC Complaint, then the BSIO must refer the matter to the responsible office(s). 

C.  Inquiry of an Allegation. If the preliminary review indicates that the Complaint is timely, complete, and has merit, the BSIO will refer the Complaint to Inquiry as set out in 305 DM 3. The Subject(s) of the inquiry will be provided notice and allowed the opportunity to provide a statement and other material the Subject believes is relevant to the Complaint. The BSIO will gather documents, other evidence, and conduct interviews. The BSIO may also request that an SME report addresses specific questions posed by the BSIO. 

D.  Report of Inquiry. Within 90 calendar days of referral of a Complaint to inquiry, the BSIO must issue a Report of Inquiry (ROI). As prescribed by 305 DM 3, the ROI must contain the following: 

(1)  Findings of fact that reference the evidence of record. 

(2)  A determination as to whether scientific misconduct or violation of scientific integrity policy has occurred and an explanation of the reasons for the determination. A determination requires that: 

(a)  There be a significant departure from accepted practices or standards of the relevant scientific community. 

(b)  The actions causing the scientific misconduct or violation of scientific integrity policy be committed intentionally, knowingly, or recklessly. 

(c)  The actions be proven by a preponderance of evidence. 

(3)  The BSIO must provide the SOL an opportunity with a specific deadline to review and comment on the ROI prior to finalizing and, at the request of the Coordinating Manager, to provide a briefing about the legal issues. 

(4)  The BSIO may extend the time to complete an ROI by up to 60 days. 

E.  The process to follow upon completion of the ROI is outlined in 305 DM 3. The BSIO will include with the ROI recommendations as appropriate for how the scientific record may be corrected and/or if any science quality or other scientific integrity issues need to be addressed by management (even if no finding is made). 

(1)  The BSIO must also inform the Complainant(s) and Subject(s) of the case closure, and if there are findings of a violation of scientific integrity policy, inform the Subject(s) of the findings. 

(2)  The BSIO must inform the OES, SOL, and DSIO that the finding and record are complete, and provide a copy of the ROI.

(3)  When the ROI is complete, the BSIO will distribute a copy of the ROI to the USGS Director, the USGS Deputy Directors, the OSQI Director, the Chief Scientist, the Chief of Staff, and the cognizant ELT Member(s). 

F.  Reconsideration of a Finding. The process to follow to request a reconsideration is outlined in 305 DM 3. The Subject(s) may file a request for reconsideration to present new relevant material information about the findings of fact that demonstrate a violation of scientific integrity policy. The Subject(s) must submit the request to the OES no later than 14 calendar days after receiving the notice of the finding.

9.    Other Resources.  There are other options available to resolve concerns outside the scope of this SM chapter.

A.  Concerns related to ethics, including conflicts of interest and outside employment, should be referred to the Departmental Ethics Office. More information is available online: https://www.doi.gov/ethics.

B.  Allegations of fraud, waste, abuse, misconduct, or mismanagement should be referred to the Department Office of Inspector General (OIG). More information is available online: https://www.doioig.gov/. 

C.  Pursuant to 5 U.S. Code § 1213, the Office of Special Counsel (OSC) is authorized to provide an independent and secure channel for use by current or former Federal employees and applicants for Federal employment to disclose information that they reasonably believe evidences wrongdoing by a Federal agency. OSC can receive information that discloses a violation of any law, rule, or regulation; gross mismanagement; a gross waste of funds; an abuse of authority; a substantial and specific danger to public health or safety; or censorship related to scientific research or the integrity of the scientific process if the censorship will cause one of the aforementioned categories of wrongdoing. More information is available online: https://osc.gov/services/.