SM 502.11 Fundamental Science Practices: Review, Approval, and Release of Scientific Software

Issuance Number:        SM 502.11

Subject:                          Fundamental Science Practices: Review, Approval, and Release of Scientific Software

Issuance Date:               May 1, 2026

Expiration Date:           Retain until superseded or cancelled.

Responsible Office:      Office of Science Quality and Integrity

Instruction:                   This Survey Manual (SM) chapter replaces Instructional Memorandum (IM) OSQI 2019-01, Review and Approval of Scientific Software for Release, dated October 2, 2019.

Approving Official:      /s/ William (Bill) Cunningham

                                         Acting Director, Office of Science Quality and Integrity

1.      Purpose and Scope.

A.  This SM chapter provides a comprehensive description of the policy and the review, approval, documentation, and release requirements for USGS scientific software. This SM chapter applies to any scientific software developed by, or on behalf of, the USGS as described in Section 5 below.

B.  This SM chapter provides guidelines toward implementing the 2016 Federal Source Code Policy and SHARE IT Act. This SM chapter complements the USGS goal of reproducible science given the role of scientific software in supporting, generating, interacting, and otherwise working with data. 

C.  Scientific software information products developed (i) by a USGS employee in their official capacity or (ii) on behalf of the USGS, are considered public domain (17 U.S.C. 105).

2.      References.

A.  SM 502, USGS Fundamental Science Practices Policies

B.  305 DM 3, Integrity of Scientific and Scholarly Activities

C.  SM 431.1, Records Management Roles and Responsibilities

D.  SM 500.25, Scientific Integrity

E.  SM 600.6, Implementation and Administration of Section 508 of the Rehabilitation Act

F.  SM 1100.6, Use of Copyrighted Material in USGS Information Products

G.  SHARE IT Act, Source Code Harmonization And Reuse in Information Technology Act (H.R.9566, December 23, 2024)

H.  Federal Source Code Policy: Achieving Efficiency, Transparency, and Innovation through Reusable and Open Source Software (Office of Management and Budget (OMB) memorandum M-16-21, August 8, 2016)

I.  Guidance for Agency Use of Third-Party Websites and Applications (Office of Management and Budget (OMB) memorandum M-10-23, June 25, 2010) 

J.  Frequently asked questions and other guidance and procedures that support this SM are available from the public FSP website.

3.      Definitions.

A.  Source Code. Computer commands written in a computer programming language meant to be read by people. Source code is a human-readable representation of computer commands and, therefore, must be assembled, interpreted, or compiled before a computer can execute it as a program.

B.  Custom-Developed Code. Refer to definition in section 2.3 of the SHARE IT Act with the further clarification of source code as defined section 3.A.

C.  Software. Refer to meaning given in Appendix A of OMB M-16-21. A resource satisfying either (i) or (ii) in Appendix A (specifically, not necessarily both (i) and (ii)) is considered software for the purposes of this SM chapter.

D.  [Software] Documentation. Artifacts and metadata that describe the technical process required to design, develop, build, deploy, cite, and (or) use a given version of the software.

E.  Software Project. The evolving body of activities and artifacts (including documentation) related to the prior, ongoing, or upcoming development of software. A software project may produce multiple software products (3.F) over its lifetime. Because a software project changes over time, it may not be cited by other USGS information products.

F.  Software Product. A specific, immutable version of a software project (3.E), identified by a version number. A software product does not change after release.

G.  Scientific Software. Software whose source code implements or encodes methods, algorithms, or analytical workflows that can affect scientific interpretations or results. Scientific software is distinguished from other USGS software in that its behavior is part of the scientific record and subject to scientific review.

H.  Scientific Software Information Product. The formal USGS release of a software product (3.F) containing scientific software (3.G). A scientific software information product packages a specific version of the software with review, approval, documentation, and metadata required for it to serve as a citable USGS information product.

4.      Policy.

A.  USGS authored (SM 502.10) scientific software information products must be reviewed and approved prior to release. The internal Information Product Data System (IPDS) is the Bureau’s official system for tracking the development, review, and approval/dissemination of scientific software information products, as described in SM 502.4.

B.  Scientific software information products require at least one review that focuses on scientific veracity, technical quality, and administrative security. This review may be completed by one person or multiple people focused on assessing different parts of the software to collectively count as one review.

C.  Scientific software information products must be accompanied by the appropriate disclaimer statement. Where applicable, other disclaimer statements such as those regarding non-endorsement of commercial products or use of copyrighted material should be included. 

D.  Scientific software information products must be accompanied by documentation sufficient for a knowledgeable third party to evaluate, use, and reproduce the results of the software. At a minimum, documentation must describe the purpose of the software, the methods it implements, instructions for execution, and any dependencies required to build or run it. Authors ensure the methods used to create the software, if derived through an interpretive process, are described fully in an associated peer-reviewed information product. Software products representing a versioned update to a software project (5.E.) must include documentation describing the changes associated with the update.

E.  Scientific software information products must be assigned a Digital Object Identifier (DOI). Scientific software information products must have basic citation information registered to receive a DOI from the USGS Asset Identifier Service (AIS). DOIs aid in proper citation and reference to specific versions. Published scientific software information products also must include a recommended citation in the readme file.

F.  Scientific software information products are made available at no cost to the public and are managed through a hosting platform approved by the USGS for the release of scientific software information products to ensure their long-term preservation, discoverability, accessibility, and usability. The related software, or derivatives thereof, may be distributed via a third party or included in another USGS information product type, but the authoritative version of the scientific software information product must first be made publicly available (OMB Memorandum 10-23, Section 3).

G.  Scientific software information products constitute Federal records of the USGS and must be managed in accordance with applicable USGS records management requirements (SM 431.1). As technological products are subject to potentially rapid obsolescence, scientific software information products must be effectively managed to ensure long-term quality and integrity of scientific content.

H.  USGS scientific software information products must be accompanied by source code. Requirements for proprietary software prepared by the USGS or received from other sources described in SM 502.5 must be followed.

I.  Software authors must adhere to all license requirements, including commercial and open-source license restrictions (SM 1100.6). Consult a Department of the Interior, Office of the Solicitor representative for additional guidance.

J.  Scientific software information products must avoid access barriers that prevent individuals with disabilities from using the software (SM 600.6).

K.  Federal security and privacy requirements must be followed (FISMA and Privacy Act).

L.  As a point-in-time snapshot, an existing, published/publicly released scientific software information product version may not be updated. The software project related to one or more software product(s) may be updated. A new scientific software information product may be created to reference this updated version of the software project. The updated version of the software project must be identified by following a standard versioning convention. The level of review and approval needed for releasing a new version of a previously approved software product may differ from that of the initial release at the discretion of the Science Center Director (or their equivalent, SM 205.18) however the corresponding software product is subject to all the review and release requirements described in this policy.

5.      Responsibilities.

Compliance with this SM chapter is incumbent on all those involved in any phase of the scientific software development, review, approval, and release process. Failing to comply with this SM can constitute a loss of scientific integrity. Loss of scientific integrity negatively affects the quality or reliability of scientific information and can seriously impact the credibility and reputation of the USGS and the Department of the Interior (SM 500.25 and 305 DM 3). Designated USGS officials and offices have specific roles as follows:

A.  Associate Directors and Regional Directors. Associate Directors (ADs) and Regional Directors (RDs) coordinate with Science Center Directors to ensure appropriate stewardship of developed software.

B.  Office of Science Quality, FSP Advisory Council (FSPAC). The Office of Science Quality and Integrity (OSQI) is responsible for maintaining this (SM 502.11) and other FSP policy chapters and collaborates with FSPAC on the development of related guidance and procedures. The OSQI and FSPAC coordinate with the ADs, RDs, and the entire Executive Leadership Team to address and resolve issues regarding the execution of FSP policy.

C.  Office of the Associate Chief Information Officer. The Office of the Associate Chief Information Officer (OACIO) implements, communicates, and maintains technical solutions that pertain to this policy. The OACIO is also responsible and accountable for all information technology activities in the USGS and oversees the records management program that informs software records management requirements.

D.  Science Center Directors, Managers, Supervisors. Science Center Directors, project and program managers, and supervisors consult and work with one another and the authors that they supervise, throughout the development, review, approval, and release of scientific software information products. Science Center Directors (or equivalents) are responsible for approval of scientific software information products (SM 502.4, section 7.E).  They ensure that USGS standards for scientific quality are followed by confirming that the necessary reviews are rigorous and thorough and the release method is appropriate before they grant Bureau approval.

E.  Authors. Authors of scientific software are responsible for complying with this SM chapter and other related FSP policies. Authors consult with their supervisors, managers, and Science Center Directors during the development, review, and approval of scientific software.

F.  Records Management Officer. The Records Management Officer in the OACIO ensures Bureau-wide policies, standards, and procedures, including records schedules are in place that provide guidance on creating accurate and complete records about scientific software in accordance with applicable USGS and NARA records management requirements.