NAO 202-735D.2, Section 8. CODE OF ETHICS FOR SCIENCE SUPERVISION AND MANAGEMENT

1. 1. .01 NOAA science managers and supervisors identified in Section 2.02 will adhere to the guidelines for Scientific Integrity established in the Presidential Memo to Heads of the Executive Departments and Agencies on Scientific Integrity (March 9, 2009), and the subsequent OSTP Memorandum to Heads of the Executive Departments and Agencies (December 17, 2010). Specifically, science managers and supervisors will ensure that:
      
      1. The selection, promotion, and retention of candidates for science and technology positions in NOAA are based on the candidate’s integrity, knowledge, credentials, accomplishments, and experience relevant to the responsibility of the position;
      2. Appropriate rules and procedures are in place that are accessible to all covered individuals and implemented to preserve the integrity of the scientific process and the dissemination of scientific products and information. Scientists who conduct original work have the right to review and correct any official communication (such as a press release or report, as defined in DAO 219-1) that cites or references their scientific work, to ensure that scientific accuracy is maintained after the clearance and editing process. NOAA will not release an official communication that relies on a scientist’s original work if that scientist does not approve of how that work is described;
      3. NOAA federal advisory committees (FACs) will operate through the formalized process established by the Federal Advisory Committee Act and transparency to the public will be accomplished in accordance with the guidelines established in the OSTP memorandum on Scientific Integrity of December 17, 2010. The establishment and use of FACs in NOAA will be based upon necessity and each will act promptly and efficiently to complete work within a defined time. Recruitment of members will include gathering input from the public, and ensuring FAC member qualifications and special interests are made readily available. Except when prohibited by law, findings by FACs will be made accessible to the public;
      4. The scientific or technological findings, conclusions, and methodologies considered or relied upon in policy and management decisions are subject to well-established scientific processes, including expert peer review where appropriate, and policy and management decisions will appropriately and accurately reflect a composite of the best available science in compliance with relevant statutory standards;
      5. The scientific or technological findings, conclusions, and methodologies considered or relied on in policy decisions will be made available to the public in advance of any decision, except for information that is properly restricted from disclosure under procedures established in accordance with a statute, regulation, patent, trademark, Executive Order, Presidential Memorandum, or other legal authority;
      6. Fundamental Research Communications (FRC), as defined in Section 3.08, will be disseminated only after formal peer review, whether internal or external, to ensure the quality, validity, and reliability of NOAA science. NOAA science managers and supervisors shall prohibit dissemination of scientific works on preprint servers that post manuscripts online prior to formal peer review, and in suspected predatory journals that charge fees for peer review and editing services without providing those services. Supervisors may make exceptions to this prohibition in exigent circumstances, provided publication has been approved pursuant to the NOAA Framework for Internal Review and Approval of Fundamental Research Communications; [Note, NOAA’s policy on use of preprint servers has been updated since this NAO was released.]
      7. Procedures, including training, are in place to identify and address instances in which the scientific process or the integrity of scientific and technological information may be compromised, and that;
      8. Additional procedures are adopted as are necessary to ensure the integrity of scientific and technological information and processes on which the agency relies for its decision-making or otherwise uses or prepares;
      9. The intellectual property of others is recognized and respected; and

1. 1. .02 All individuals identified in Section 2.01 of this Order must not:
      
      1. Suppress, alter, censor, or otherwise impede the content or timely release of scientific or technological findings or conclusions, unless explicitly required by a Department or government-wide statute, regulation, Executive Order, Presidential Memorandum, or other legal authority.
      2. Intimidate or coerce employees, contractors, recipients of financial assistance awards, or others to alter, suppress, censor, or otherwise impede the content or timely release of scientific findings.
      3. Implement, or cause to be implemented, institutional barriers to cooperation and the timely communication of scientific findings or technology.
   2. Any of the above actions may be considered interference and addressed as a violation of this policy.

1. 1. .03 It is the responsibility of the supervisory chain of any NOAA author that submits a Fundamental Research Communication (FRC) for internal review to approve or not approve the FRC as outlined in their Line Office FRC policy and procedures. The decision must be based only on whether the work is scientifically meritorious, and specifically: whether the methods used are clear and appropriate; the presentation of results and conclusions is impartial. Additionally, supervisors will check that acknowledgments contain required information, there are no statements about NOAA policy, and there are no apparent, actual, or potential conflicts of interest. Consistent with DAO 219-1, the approval or non-approval of a FRC must be based on scientific merit only, and may not be based on the policy, budget, or management implications of the research. Differences of opinion will be resolved through the NOAA-wide framework for review and approval of FRCs consistent with DAO 219-1 (see Section 8.04 below).

1. 1. .04 The NOAA Science Council has developed a NOAA-wide framework for peer review and approval of Fundamental Research Communications consistent with the criteria in Section 8.03. Each Line Office has developed and documented procedures for review and approval consistent with the Science Council’s framework. These procedures include time limits for review and approval, and procedures for redress if the time limits are not met. The framework and procedures are included as a complementary handbook to this NAO as the NOAA Framework for Internal Review and Approval of Fundamental Research Communications, which is posted on the Scientific Integrity Commons website.

1. 1. .05 NOAA science managers and supervisors must immediately report suspected cases of scientific or research misconduct through means established under Section 9 and the Procedural Handbook for this Order.