502.4 - Fundamental Science Practices: Review, Approval, and Release of USGS Scientific Information Products
U.S. GEOLOGICAL SURVEY DIRECTIVE
SURVEY MANUAL CHAPTER – PROGRAM SERIES
Issuance Number: 502.4
Subject: Fundamental Science Practices: Review, Approval, and Release of USGS Scientific Information Products
Responsible Office: Office of Science Quality and Integrity
Issuance Date: 12/13/2024; minor rev. 12/20/2024
Instruction: This Survey Manual (SM) update supersedes SM 502.4, Fundamental Science Practices: Review, Approval, and Release of Information Products, dated November 3, 2016.
Approving Official: /s/ Craig Robinson
Director, Office of Science Quality and Integrity
_______________________________________________________
1. Purpose and Scope.
A. The U.S. Geological Survey (USGS) has a responsibility to make the results of its scientific investigations widely available at no cost to the public in the form of objective, technically sound, and timely information products. This SM chapter provides a comprehensive description of the policy, types of review, levels of approvals, and release requirements for USGS scientific information, data, and software products.
B. Fundamental Science Practices (FSP) requirements apply to all USGS employees, political appointees, volunteers, including emeriti, as well as contractors, cooperators, partners, and other external parties who assist with USGS scientific activities.
2. References.
A. SM Part 502, USGS Fundamental Science Practices Policies
B. SM Part 1100, USGS Publishing Policies
C. SM 500.5, News Release and Media Relations Policy
D. SM 500.25, Scientific Integrity
E. 305 DM 3, Integrity of Scientific and Scholarly Activities and Department of the Interior (Department) Code of Scientific and Scholarly Conduct
F. SM 205.18, Authority to Approve Information Products
G. SM 431.1, Records Management Roles and Responsibilities
H. USGS Information Quality Guidelines (website)
I. USGS Fundamental Science Practices (website)
J. USGS Public Access Plan (website)
3. Policy.
A. USGS authored scientific information products (hereafter referred to as information products as defined in SM 502.1) must be reviewed and approved prior to release, whether they are published by the USGS or by an outside entity. USGS authorship requirements are described in SM 502.10 and FSP Authorship Frequently Asked Questions (FAQs).
(1) The internal Information Product Data System (IPDS), the Bureau’s official system for documenting compliance with FSP requirements, must be used to track the development, review, and approval/dissemination of information products (refer to section 8.A).
(2) Review and approval requirements (described in sections 4 and 5, respectively) vary depending on the information product type (refer to the FSP Levels of Bureau Approval).
(3) Release of USGS-authored information products makes the results of Bureau scientific investigations available in a manner that is intended to best serve the whole public rather than the interests or benefit of any particular group or individual (refer to SM 502.5, section 3). Release of information products occurs through various outlets as described in section 6.
(4) Responsibilities for FSP review, approval, and release of information products apply to all USGS employees and others (refer to section 1.B.) on behalf of the Bureau. Responsibilities for specific individuals and offices are described in section 7.
(5) All disputes related to approval and final release should follow the established internal processes as described in section 10.
B. Information products that pertain, for example, to national security or potential commercial gain, are litigious in nature, have policy implications, and (or) are of potentially high public, media, or congressional interest, are flagged as one of three special product types in the IPDS. The three special product types—Office of Management and Budget (OMB) influential (includes both influential scientific information and highly influential scientific assessments), policy sensitive, and highly visible—are described on the IPDS Help webpage. Information products identified by the USGS as OMB influential require that additional peer review planning documentation about the forthcoming product be publicly posted on the USGS Peer Review Agenda website (refer to the OMB Final Information Quality Bulletin for Peer Review). These products may also warrant further action including:
(1) Consulting with the appropriate Bureau senior leaders and managers (refer to section 7) during preparation, review, and approval of the product.
(2) Coordinating with USGS Office of Communications and Publishing (OCAP) officials for those products that may warrant a communication strategy, a news release, or other coordinated product to supplement or announce their release (refer to SM 500.5).
(3) Informing Bureau officials and external stakeholders (for example, Federal, Tribal, State) about these information products and their potential implications with regard to public health and safety or other concerns.
C. USGS information products do not prescribe or appear to advocate for or against a particular public policy or political stance; however, some science-based recommendations are allowed (refer to Guidance on Advocacy and Recommendations in USGS Information Products, internal). Evaluations of alternative courses of action may be included in information products.
D. The need to provide public access to USGS information will be balanced with the need to consider national security, privacy, confidentiality, and other concerns determined by the USGS. In cases where warranted, access may also be restricted in accordance with USGS efforts to safeguard USGS information (refer to SM 502.5).
E. Information products released to the public contain no statements that suggest the products do not meet USGS standards of scientific excellence, integrity, and objectivity.
F. Certain information statements or disclaimers not related to scientific quality may be required such as those regarding nonendorsement of commercial products and services; nondisclosure of manuscripts submitted for peer reviews; use of copyrighted material; and notices of preliminary/provisional data, information, or software (refer to Guidance on Disclaimer Statements Allowed in USGS Science Information Products, internal).
G. USGS authors publishing information products on behalf of the Bureau register for and obtain an Open Researcher and Contributor ID (ORCID) following the registration instructions at https://orcid.org/. Refer to FSP Authorship FAQs for additional information.
H. Compliance with USGS and Department scientific integrity policy described in SM 500.25, the Departmental Manual (DM) chapter 305 DM 3, and the Department Code of Scientific and Scholarly Conduct is required in the review, approval, and release of information products (refer to section 11). Noncompliance with FSP review, approval, and release requirements may be considered a violation of scientific integrity as stated in SM 502.1.
I. Appropriate Bureau records and files management and records disposition requirements are followed in accordance with SM 431.1, SM 431.6, SM 432.1, and applicable USGS records disposition schedules, such as Chapter 1300.
4. Reviews. Information product reviews are product type-dependent. Documentation of review reconciliations must be included in the IPDS for the reviews that occur before Bureau approval, described in section 4.A. through section 4.H.(1).
A. Supervisory Review. Ensures the manuscript is well organized and clearly written, all pertinent components are included (for example figures, tables, appendixes, and (or) supplementary material), and it is ready for peer review.
B. Peer Review. Ensures that the techniques, procedures, processes, or approaches used in the research design are sound and properly documented and the results are defensible as detailed in SM 502.3.
C. Data Review. Ensures the quality and completeness of scientific data for release to the public, as detailed in SM 502.8.
D. Software Review. Ensures the scientific software code and domain are verified, as detailed in IM OSQI 2019-01.
E. Metadata Review. Ensures the critical information to promote scientific collaboration; facilitate discovery; and enable effective use of information products is provided and that metadata are valid, well-formed, complete, and accurate. Refer to SM 502.7 for metadata review requirements associated with scientific data and to IM OSQI 2019-01 for guidance on metadata for software. A metadata review for other information products including USGS series publications and outside scholarly publications such as journal articles is not part of the process described here, but the metadata are documented in various IPDS fields (refer to section 8.A. and 8.C.).
F. Names Review. Ensures the accuracy of technical or specialized nomenclature used, including geologic, geographic, biologic, hydrologic and Tribal names. This review also ensures that derogatory (and/or) offensive words, names, or phrases are addressed prior to release of information products. A names review may be performed separately or as part of the peer review.
G. Courtesy Review. Ensures collaborators/cooperators in partnership and under a written agreement with the USGS are afforded the opportunity for a courtesy review of information products. Courtesy reviews may occur prior to peer review, simultaneously with peer review, or immediately after peer review reconciliation, but in all cases this review occurs before Bureau approval. In being afforded a courtesy review, such parties are bound by the Bureau’s policy to uphold the confidentiality of the science that is being reviewed and to not disclose or divulge any results or conclusions or make any public statements regarding the science before it is published and released. These reviews must be carefully considered to avoid bias that may represent a real or potential conflict of interest as described in section 4.I. Manuscripts of information products distributed for courtesy review must carry a disclaimer statement (refer to Guidance on Disclaimer Statements Allowed in USGS Science Information Products).
H. Science Publishing Network Reviews.
(1) Editorial Review. Ensures appropriate Bureau standards and quality assurance for accuracy and clarity of expression are met. Editorial review by the USGS Science Publishing Network (SPN), as detailed in SM 1100.2, is required for information products published by the USGS as publication series and nonseries products (SM 1100.3). For USGS information products published by an external entity (for example, journal articles or cooperator publications), an editorial review by the SPN is recommended but optional.
(2) Section 508 of the Rehabilitation Act Review. Ensures compliance with Federal laws and guidelines regarding the implementation of Section 508 (SM 600.6) for USGS series publications. For other products, review by the SPN may be requested.
(3) Visual Identity System Review. Ensures information products conform to the Bureau’s Visual Identity System requirements (SM 550.1) for USGS series publications. For other products, review by the SPN may be requested.
I. Policy Review. Ensures compliance with FSP and related USGS, Department, and other Federal policies. This review is performed as part of the Bureau approval process (as outlined in section 5.C. Approvals) and includes:
(1) Conflict of Interest Review. Ensures peer reviews of information products are free of conflict of any personal, professional, or other interests that could impair the reviewers’ objectivity or could create an unfair competitive advantage for a person or organization. Conflict of interest is dealt with in accordance with established Department and USGS scientific integrity requirements (305 DM 3 and SM 500.25), the Department Code of Scientific and Scholarly Conduct, and ethics requirements.
(2) Impartiality and Nonadvocacy Review. Ensures information products present science-based, peer-reviewed facts and interpretations impartially. Interpretations are presented as honestly and straightforwardly as possible, are without apparent bias, and contain no derogatory and (or) offensive words or remarks. Conclusions are based on the best available data interpreted with sound scientific reasoning that avoids speculation. Information products are effectively presented, and the tone is appropriate for ease of understanding by the intended audience. Additional guidance is available at Guidance on Advocacy and Recommendations in USGS Information Products. In addition, there is no implied competition with the private sector, and the results do not favor any particular entity. Trade, firm, commercial, or product endorsements are not permitted (refer to Guidance on Disclaimer Statements Allowed in USGS Science Information Products).
5. Approvals. Approval of information products typically follows the organizational alignment of the senior (primary or first) USGS author culminating in Bureau approval before release. Refer to Levels of Delegated Bureau Approval Authority for U.S. Geological Survey Information Products for additional information. All approvals must be documented in the IPDS.
A. Supervisor Approval. This approval occurs at two separate points:
(1) Prior to approving the information product for review, ensuring the manuscript is complete (all figures, tables, supplements) and ready for peer review by appropriate independent and qualified reviewers and determining if the product is OMB influential (refer to the USGS Peer Review Agenda); and determining what other reviews are needed (for example, names, courtesy, editorial). This approval confirms that the scientific data and software that support conclusions in the information product have been or will be reviewed and released in accordance with SM 502.8, IM OSQI 2019-01, and the USGS Public Access Plan.
(2) After reviews are reconciled, ensuring that the author has responded in writing to all pertinent comments/suggested edits from the reviewers (for example, peer, courtesy, names, editorial) and that the reviews and associated reconciliation documents are in the IPDS before submitting the information product for Science Center Director approval.
B. Science Center Director (or equivalent) Approval. This approval, which follows that of the author’s supervisor, ensures the overall standards for scientific quality are met and confirms the product is ready to submit for Bureau approval.
C. Bureau Approval. Bureau approval validates the Bureau’s support and backing of the information product. This approval ensures that all required reviews (refer to section 4) have been conducted, the appropriate release outlet is used, and that the product is consistent with all pertinent FSP, USGS, Department, and other Federal policies.
6. Release. USGS information products are released in ways that effectively communicate the science and enhance the reputation of the Bureau. The options for release are broad and are described in SM 205.18. All information products released to the public must follow procedures in accordance with the following requirements:
A. USGS Publications and Outlets. Use of the USGS publication series (SM 1100.3) and other approved USGS release outlets (for example, data release and online databases or web services and software releases as described respectively in SM 502.8 and IM OSQI 2019-01) ensure that Bureau information products are made available in a consistent and uniform manner. Information products published by the USGS must conform to appropriate review and approval requirements detailed in this FSP chapter and related chapters, including conformance with established USGS publishing requirements and procedures for production and release (SM Part 1100 - Publishing). USGS news releases and other media communications are governed by requirements detailed in SM 500.5.
B. Non-USGS Publications and Outlets. Non-USGS outlets (such as journals, preprint servers, scientific societies, university presses and commercial publishing houses, and cooperator publications) provide additional means of conveying USGS science to a broad variety of audience types. These outside entities can be effective in broadening the stature and impact of USGS science and in generating support and collaborative partnerships for USGS programs and scientists. Refer to SM 1100.4 for requirements on using external publications. Requirements for news releases, opinion pieces, letters to the editor, and other external media communications are detailed in SM 500.5.
C. USGS Public Access Plan Requirements. The USGS Public Access Plan outlines a framework for activities to increase public access to scholarly publications and digital scientific data resulting from research funded by the USGS. USGS series publications meet this requirement by being publicly accessible through the USGS Publications Warehouse. USGS information products published by external entities must be made publicly available through those outlets or by making the accepted manuscript available through the USGS Publications Warehouse. In all cases the accepted manuscript or a link to the freely available manuscript must be placed in the IPDS.
7. Responsibilities.
A. Director and Deputy Director for Administration and Policy. The USGS Director, as a political appointee, does not have authority over the writing, review, approval, and release of individual information products. The authority to approve information products for release is permanently delegated from the USGS Director to approving officials that include Bureau Approving Officials (BAOs) selected by a BAO Manager in the Office of Science Quality and Integrity (OSQI), Science Center Directors (or their equivalent) as well as in some instances, Associate Directors and Regional Directors. This approval authority prevents potential political interference, or appearances thereof, in the writing, approval, and release of information products that could result in a loss of scientific integrity. The Deputy Director for Administration and Policy provides direct line supervision over Bureau-level science support activities, including those related to FSP, managed by OSQI.
B. Associate Directors and Regional Directors. Associate Directors (ADs) and Regional Directors (RDs), in collaboration with Science Center Directors in their areas and OSQI, execute and ensure compliance with FSP policies and practices governing review, approval, and release of information products. They work with OSQI to mediate or assist in addressing review, approval, and release issues that cannot be resolved directly among authors, supervisors, Science Center Directors, and others. ADs and RDs also work with OCAP and other appropriate USGS offices and officials to develop communication strategies with regards to any product that may contain OMB influential, policy sensitive and (or) highly visible content. RDs collaborate with Science Center Directors to address emergency events or situations, determine which Centers should respond, and coordinate with ADs and other Bureau managers and offices as needed regarding what scientific data and information are released (refer to section 9). The decision to restrict access and safeguard any USGS scientific information will be made by the appropriate AD or RD in consultation with other members of the USGS Executive Leadership Team (ELT) as needed (refer to section 3.D.).
C. Office of Science Quality and Integrity. OSQI, in collaboration with ADs and RDs, executes FSP policy and practices governing review, approval, and release of information products. OSQI also collaborates with the FSP Advisory Council and ELT regarding the development and application of consistent USGS review, approval, and release practices as described in SM 120.2. The Director of OSQI appoints a BAO Manager to supervise BAOs who approve those information products for which they have been assigned approval authority (refer to SM 205.18). BAOs conduct consistent and uniform approval practices and communicate effectively with one another to share knowledge and expertise relative to review, approval, and release practices and the Bureau approval responsibility, one acting on behalf of another, as needed. If necessary, the BAO Manager informs the Director of OSQI or the respective AD or RD of any approval concerns. OSQI is responsible for maintaining this (502.4) and other FSP policy chapters through oversight by the Bureau Science Quality Officer.
D. Science Center Directors. Science Center Directors ensure that standards for scientific quality are met, and all appropriate reviews identified in section 4 have been performed. Science Center Directors (or their equivalent) are assigned Bureau approval authority for some information products and can reassign this authority to a designee (SM 205.18). They or their designee may request that any information product for which they have approval authority be approved by an OSQI BAO. Science Center Directors ensure that peer reviews are rigorous and thorough prior to approving products or forwarding them to a BAO for approval (SM 502.3). They may alert appropriate senior officials in their area and other Bureau offices (including the BAOs and OCAP) about policy-sensitive, highly visible, or OMB influential products. Science Center Directors contact their respective RDs for assistance, if necessary, in resolving review, approval, and release issues. They ensure that information products produced in their centers comply with relevant publishing requirements and USGS records management requirements (refer to section 8). Science Center Directors (or designees) collaborate with RDs to determine their Center’s response to emergency events or situations and decide and document what data and information are released.
E. Approving Officials. Approving officials include Science Center Directors (or their equivalent) and BAOs in OSQI, as well as ADs and RDs. They ensure that USGS standards for scientific and editorial quality are followed by confirming that appropriate FSP requirements are met in accordance with this chapter before they grant Bureau approval (refer to section 5.C. and SM 205.18). They may require that an information product receive additional peer, policy, editorial, or other reviews as necessary to ensure the ultimate quality of the product. Approving officials may make the final decision related to selection of the appropriate USGS publication series or non-USGS release outlet. Refer to section 10 for additional guidance on disputes related to approval.
F. Authors’ Supervisors. Supervisors have initial responsibility to ensure the quality of information products prepared by authors they supervise. They confirm that the appropriate reviews, such as peer review and editorial review (refer to section 4), occur and that review comments are adequately reconciled, prior to granting supervisory approval. They collaborate with authors they supervise in selecting the appropriate publishing outlet. They inform Science Center Directors about any product content that might be policy sensitive, highly visible, or OMB influential prior to peer review. Supervisors submit information products for Science Center Director and Bureau approval allowing time for an author to address any FSP policy concerns identified by the approving official. They also ensure policy concerns brought by the BAOs are addressed prior to product release.
G. Authors. The senior (primary) USGS author is responsible for ensuring that the appropriate reviews and approvals for their information product occur prior to publication (refer to SM 502.10 and the Authorship FAQs). USGS authors are also responsible for the following:
(1) Creating the information product record in the IPDS before initiation of peer review.
(2) Ensuring that potentially policy-sensitive, highly visible, or OMB influential products are brought to the attention of their supervisor or manager.
(3) Considering the comments of all reviewers and providing written reconciliation of peer reviews and other reviews detailed in section 4.A. through 4.H.(1).
(4) Coordinating with their supervisor and SPN on editorial review, production, and release of USGS series information products (refer to SM 1100.2 and SM 1100.3).
(5) Ensuring that enough time is allotted for reviews, reconciliations (such as peer review comments), and revisions prior to submitting the product for Bureau approval.
(6) Incorporating required changes identified during policy review by the approving official.
(7) Informing their supervisor, Science Center Director, and the approving official if substantial changes are made to the manuscript after Bureau approval (as part of reviews by peer-reviewed journals), to determine whether additional USGS approval is warranted.
(8) Placing the final approved manuscript (also known as the accepted manuscript by peer-reviewed journals) or a link to the freely available manuscript in the IPDS (refer to 6.C.).
(9) Ensuring that the Digital Object Identifier (DOI) for external publications is added to the IPDS and that the required dissemination step in IPDS (for their external and USGS series products) is completed when the information product is published (refer to section 8.C.).
H. Office of Communications and Publishing (OCAP). OCAP advises authors, supervisors, Science Center Directors, approving officials, and others in the Bureau on publishing activities including efficiencies and consistent application of publishing processes and requirements for USGS publication series through the SPN. The SPN disseminates USGS series publications in the IPDS. OCAP advises on the development of communication strategies, plans, and procedures to ensure appropriate notification and media exposure of highly visible or policy sensitive information products.
8. Documentation and Recordkeeping.
A. Information Product Data System (IPDS). The IPDS documents the development of information products, which includes peer review, editorial review, review reconciliations, other reviews and approval concurrences, and permissions such as from copyright owners for using copyrighted materials in information products (refer to SM 1100.6). The IPDS also holds the final Bureau approved manuscript (also referred to as the accepted manuscript) for information products published by outside entities, such as peer-reviewed journals. All IPDS documentation is retained in accordance with requirements in Chapter 1300 of the USGS General Records Disposition Schedule. The IPDS contains metadata about published information products. Classified information is not entered or maintained in the IPDS.
B. Publications Warehouse. The USGS Publications Warehouse, the Bureau’s electronic publications database, holds the official record for USGS series publications. The Publications Warehouse also holds citation information to access many other USGS information products published externally for example, as journal articles or cooperator publications.
C. Digital Object Identifiers (DOIs). DOIs or other Bureau-endorsed persistent identifiers for USGS publication series information products are assigned and entered into the IPDS and are submitted to www.crossref.org for registration together with the final bibliographic metadata through the USGS Publications Warehouse. The DOI for USGS-authored external publications must be entered into the IPDS to ensure USGS Publications Warehouse staff can obtain final bibliographic metadata, including the title, author(s), and publication date. Refer to the USGS DOI webpage for additional information.
9. Notification and Release of Preliminary or Provisional Natural Hazards and/or Public or Wildlife Health Information. Notifications include those related to alerting or forecasting of natural hazards (for example, floods, earthquakes, landslides, or volcanic activity), or that have immediate or time-sensitive relevance to public or wildlife health warnings. FSP policy SM 502.5 describes circumstances under which preliminary or provisional data and information may be released or shared. Guidance is available (internally and in SM 502.8) on release of preliminary or provisional data and information in emergency situations. To the extent possible, information released about hazards has the concurrence of State or local officials who are charged with response actions or public announcements.
10. Dispute Resolution Process for Approval and Final Release of USGS Information Products. A dispute resolution process (available on the internal FSP website) is used to address concerns raised by a Bureau senior leader (for example, USGS Director, Deputy Directors, Associate Directors, Regional Directors, Science Support leads, and the Chief Scientist) about whether an information product should receive Bureau approval or be released after Bureau approval is granted. The steps in the process for resolving disputes, include submission by the senior leader of written documentation on the nature of the dispute, written response to the dispute from the lead USGS author, and final decision by a dispute resolution adjudication panel whose members are not involved in the development, review, or approval of the information product being disputed. The process sets a timeline for quickly resolving the dispute and is necessary to ensure the process is not used to inhibit or delay the release of USGS scientific work. There is also a dispute resolution process (available on the internal FSP website) to address concerns raised by an author in response to an approving official decision.
11. Scientific Integrity Consideration. Scientific integrity requirements ensure the free flow of scientific information as detailed in 305 DM 3 (section 3.6.C.) and the Department Code of Scientific and Scholarly Conduct. Failing to comply with FSP can constitute a loss of USGS and Department scientific integrity (refer to section 3.H.). In cases where a violation of scientific integrity policy and requirements is suspected, requirements established in 305 DM 3 and SM 500.25 must be followed.