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Guidance for NOAA Funding Applicants & Recipients

The NOAA scientific integrity policy (NAO 202-735D.2) and its associated Procedural Handbook applies not only to NOAA federal employees, but also to recipients of NOAA financial assistance awards and contracts focused on the conduct of scientific research and/or the management, interpretation, use, or communication of scientific information for NOAA, the Department of Commerce, or the Nation. NOAA is committed to upholding the highest standards of scientific excellence, transparency, and trust. Organizations performing NOAA-funded scientific activities share in this responsibility.

NOAA’s scientific integrity policy, associated Procedural Handbook, and award terms and contract clauses specify that organizations performing NOAA-sponsored scientific activities must foster an atmosphere conducive to the responsible conduct of funded research by safeguarding against and resolving allegations of scientific and research misconduct or loss of scientific integrity, and notify NOAA of such allegations.

Under the NOAA policy, scientific and research misconduct is defined as the following: scientific misconduct is an intentional, knowing, or negligent (i.e., should have known) and significant departure from the Code of Scientific Conduct or the Code of Ethics for Supervisors and Managers. This type of misconduct includes, but is not limited to, fabrication, falsification, plagiarism and interference. Research misconduct is fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results. Research misconduct does not include honest error or differences of opinion, and may be committed intentionally, knowingly, or recklessly.

Scientific integrity is defined as the condition resulting from adherence to professional values and practices when conducting and applying the results of science that ensures objectivity, clarity, and reproducibility, and that provides insulation from bias, fabrication, falsification, plagiarism, interference, censorship, and inadequate procedural and information security.

Definitions for other terms used in the NOAA scientific integrity policy and Procedural Handbook and on this page can be found in those documents and listed here.

The guidance below outlines responsibilities for applicants and recipients of NOAA funding for scientific activities. Recipients of NOAA funding, whether under financial assistance awards, contracts, or orders exceeding the micro-purchase threshold, should understand the NOAA scientific integrity policy and the requirements and terms of their funding agreements or contracts, as well as the related requirements of their respective institutions.

Guidance for Financial Assistance Applicants and Recipients

This section covers scientific integrity expectations for organizations applying to and receiving grants, cooperative agreements, and other financial assistance awards from NOAA.

Expenditure of federal funds on an activity that is determined to be invalid or unreliable because of scientific and research misconduct or loss of scientific integrity may result in remedial action under the financial assistance application or award, including declination of application, award termination, and recipient suspension or debarment from future federal awards.

Applicant Responsibilities:

  • Applicant institutions have the primary responsibility to prevent, detect, and investigate allegations of scientific and research misconduct associated with the proposed work, including responsibility for providing mandatory scientific integrity training for project personnel.Applicant institutions must have the capacity to carry out recipient responsibilities at the time of application.
  • It is the applicant’s responsibility for ensuring that proposals submitted to NOAA are free from plagiarism, falsification, or fabrication. Applicants who use generative super intelligence (SI) technology in the preparation of their proposals, for example, are responsible for ensuring the integrity of proposal content, including its accuracy and authenticity.

Recipient Responsibilities:

The following section outlines requirements of recipients of NOAA financial assistance awards and reflects information that is typically included in the award terms and conditions.

  • The recipient institution shall maintain the scientific integrity of research performed pursuant to the grant or financial assistance award including the prevention, detection, and remediation of any allegations regarding scientific and research misconduct or the loss of scientific integrity, as well as the conduct of inquiries, investigations, and adjudications of allegations of violations of scientific and research misconduct or loss of scientific integrity.  This includes any allegations related to the recipient’s subsequent applications submitted to future NOAA funding opportunities.
  • All recipient requirements for maintaining the scientific integrity of research performed on the award flow down to subrecipients.
  • In performing or presenting the results of scientific activities under the NOAA award and in responding to allegations regarding the violation of scientific integrity or scientific and research misconduct, the recipient institution and all subrecipients shall comply with the provisions in the terms and conditions and NOAA Administrative Order (NAO) 202-735D.2, Scientific Integrity, and its Procedural Handbook, including any amendments.
  • The recipient institution shall have the primary responsibility to prevent, detect, and investigate allegations of a violation of scientific integrity or scientific and research misconduct.
  • The recipient institution must also adhere to NOAA requirements for independent peer review by qualified experts of the results of scientific activities under the award. The review must be consistent with NOAA standards on quality, relevance, scientific integrity, reproducibility, transparency, and performance in accordance with the Office of Management and Budget Final Information Quality Bulletin for Peer Review and NOAA’s Information Quality Guidelines and peer review guidelines.
  • By executing the NOAA award the recipient institution provides its assurance that it has established an administrative process for receiving allegations, performing inquiries, and investigating and reporting allegations of a violation of scientific integrity or scientific and research misconduct; and that it will comply with its administrative processes for performing an inquiry, investigation, and reporting of such misconduct, including reporting to the NOAA Grants Officer per the NAO 202-735D.2 Procedural Handbook.

Addressing Allegations:

  • The recipient institution has the primary responsibility for receiving and addressing allegations of scientific and research misconduct or loss of scientific integrity related to the work performed on the award and the recipient institution’s project personnel.
  • Upon receipt of an allegation of scientific and research misconduct or loss of scientific integrity, the recipient institution shall conduct an inquiry to determine whether there is sufficient evidence to proceed with an investigation.
  • If the recipient institution determines there is sufficient evidence to proceed with an investigation, and, unless otherwise instructed, the recipient shall:
    • Promptly notify the NOAA Grants Officer for the award of the allegation regarding the loss of scientific integrity or scientific and research misconduct and detail the recipient’s inquiry.
    • Promptly conduct an investigation to develop a complete factual record and an examination of such record leading to either a finding of scientific and research misconduct or loss of scientific integrity and an identification of appropriate remedies or a determination that no further action is warranted.
    • Ensure confidentiality in its process and avoid conflicts of interest by the individuals engaged in the process.

If the investigation leads to a finding of scientific and research misconduct or loss of scientific integrity, obtain adjudication by a neutral third-party adjudicator.  The adjudication must include a review of the investigative record and, as warranted, a determination of appropriate corrective actions and sanctions.

  • When the investigation is complete, the recipient institution shall provide the NOAA Grants Officer with copies of the evidentiary record, the investigative report, any recommendations made by the recipient’s adjudicating official, verification of the adjudicator’s neutrality, the adjudicating official’s decision and notification of any corrective action taken or planned, and the respondent’s written response (if any).
  • Allegations of scientific or research misconduct or loss of scientific integrity involving NOAA Federal employees should be reported directly to NOAA’s Scientific Integrity Officer at research.misconduct@noaa.gov. NOAA is responsible for addressing allegations involving NOAA federal employees. More information on NOAA’s allegation reporting process can be found here.

Findings and Corrective Actions:

  • If the recipient institution finds evidence of scientific and research misconduct or loss of scientific integrity, it shall assess the seriousness of the misconduct and its impact on the research completed and in-process research and shall:
    • Take all necessary corrective actions, including, but not limited to, correcting the research record and imposing restrictions, controls, or other parameters on in-process and future research, and
    • Coordinate remedial action with the NOAA Grants Officer.
  • NOAA may accept the recipient institution’s findings or proceed with its own investigation; in which case the recipient institution shall fully cooperate with the investigation. The Grants Officer will inform the recipient institution of NOAA’s final determination.
  • NOAA reserves the right to pursue such remedies and other actions as it deems appropriate, consistent with the terms and conditions of the financial assistance award and applicable laws and regulations. Such remedies and actions may include, but are not limited to, disallowance of costs, recovery of payments, award termination, and recipient suspension or debarment.

Guidance for Contract Applicants and Recipients

This section outlines the scientific integrity requirements and expectations for contractors performing scientific activities for NOAA under procurement instruments. The following language reflects what would typically be included in NOAA solicitations and/or contract language.

Contractor Responsibilities:

  • The contractor shall maintain the scientific integrity of research performed pursuant to contract award including the prevention, detection, and remediation of any allegations regarding scientific and research misconduct or the loss of scientific integrity, as well as the conduct of inquiries, investigations, and adjudications of allegations of violations scientific and research misconduct or loss of scientific integrity.  
  • All contractor requirements for maintaining the scientific integrity of research performed on the contract flow down to all subcontracts at all tiers that involve scientific activities or research being performed under the contract. 
  • In performing or presenting the results of scientific activities under the contract and in responding to allegations regarding the violation of scientific integrity or scientific and research misconduct, the contractor and subcontractors shall comply with the provisions in the contract/subcontracts and NOAA Administrative Order (NAO) 202-735D.2, Scientific Integrity, and its Procedural Handbook, including any amendments.
  • The contractor shall have the primary responsibility to prevent, detect, and investigate allegations of a violation of scientific integrity or scientific and research misconduct.
  • The contractor must also adhere to NOAA requirements for independent peer review of Fundamental Research Communications by qualified experts of the results of scientific activities under the contract. The review must be consistent with NOAA standards on quality, relevance, scientific integrity, reproducibility, transparency, and performance in accordance with the Office of Management and Budget Final Information Quality Bulletin for Peer Review and NOAA’s Information Quality Guidelines and peer review guidelines.
  • By executing the NOAA contract, the contractor provides its assurance that it has established an administrative process for receiving allegations, performing inquiries, and investigating and reporting allegations of a violation of scientific integrity or scientific and research misconduct; and that it will comply with its administrative processes for performing an inquiry, investigation, and reporting of such misconduct, including reporting to the NOAA Contracting Officer per the NAO 202-735D.2 Procedural Handbook.
  • Expenditure of federal funds on an activity that is determined to be invalid or unreliable because of scientific and research misconduct or loss of scientific integrity may result in remedial action under the contract, including contract termination, and contractor suspension or debarment from future federal awards.

Addressing Allegations:

  • The contractor has the primary responsibility for receiving and addressing allegations of scientific and research misconduct or loss of scientific integrity related to the work performed on the contract and by the contractor’s project personnel. 
  • Upon receipt of an allegation of scientific and research misconduct or loss of scientific integrity, the contractor shall conduct an inquiry to determine whether there is sufficient evidence to proceed with an investigation. 
  • If the contractor determines there is sufficient evidence to proceed with an investigation, and, unless otherwise instructed, the contractor shall:
    • Promptly notify the NOAA Contracting Officer for the contract of the allegations regarding the loss of scientific integrity or scientific and research misconduct and detail the contractor’s inquiry.
    • Promptly conduct an investigation to develop a complete factual record and an examination of such record leading to either a finding of scientific and research misconduct or loss of scientific integrity and an identification of appropriate remedies or a determination that no further action is warranted. 
    • Ensure confidentiality in the process and avoid conflicts of interest by the individuals engaged in the process. 

If the investigation leads to a finding of scientific and research misconduct or loss of scientific integrity, obtain adjudication by a neutral third-party adjudicator.  The adjudication must include a review of the investigative record and, as warranted, a determination of appropriate corrective actions and sanctions.

  • When the investigation is complete, the contractor shall provide the NOAA Contracting Officer with copies of the evidentiary record, the investigative report, any recommendations made by the contractor’s adjudicating official, verification of the adjudicator’s neutrality, the adjudicating official’s decision and notification of any corrective action taken or planned, and the respondent’s written response (if any).
  • Allegations of scientific or research misconduct or loss of scientific integrity involving NOAA Federal employees should be reported directly to NOAA’s Scientific Integrity Officer at research.misconduct@noaa.gov. NOAA is responsible for addressing allegations involving NOAA federal employees. More information on NOAA’s allegation reporting process can be found here.

Findings and Corrective Actions:

  • If the contractor finds evidence of scientific and research misconduct or loss of scientific integrity, it shall assess the seriousness of the misconduct and its impact on the research completed and in-process research and shall:
    • Take all necessary corrective actions, including, but not limited to, correcting the research record and imposing restrictions, controls, or other parameters on in-process and future research, and
    • Coordinate remedial action with the NOAA Contracting Officer.
  • NOAA may accept the contractor’s findings or proceed with its own investigation; in which case the contractor shall fully cooperate with the investigation. The Contracting Officer will inform the contractor of NOAA’s final determination.
  • NOAA reserves the right to pursue such remedies and other actions as it deems appropriate, consistent with the terms and conditions of the contract and applicable laws and regulations. Such remedies and actions may include, but are not limited to, disallowance of costs, recovery of contract payments, contract termination, and contractor suspension or debarment.

Guidance for NOAA Staff Managing Financial Assistance Awards & Contracts

The section outlines requirements and guidance for NOAA staff involved in the management of NOAA financial assistance awards and/or contracts for the conduct of research or other scientific activities. 

NOAA Grants Officers:

Consistent with the provisions in NOAA Administrative Order (NAO) 202-735D.2, and the NOAA Scientific Integrity Procedural Handbook and related NOAA Financial Assistance Alerts (e.g., Financial Assistance Alert 16-02 Scientific Integrity), NOAA Grants Officers are responsible for:

  • Ensuring that the most current Scientific Integrity and Research Misconduct provision language is included in all NOAA Notices of Funding Opportunity for supporting the conduct of scientific activities. 
  • Ensuring that the most current Scientific Integrity and Research Misconduct provision language is included in all new awards, or incorporated into existing awards in conjunction with the next award modification issued, if applicable. 
  • Receiving recipient institution reports of allegations of scientific and research misconduct or loss of scientific integrity, including reports on the institution’s inquiry, investigations, and final reports on resolving allegations and associated remedies. 
  • Notifying the NOAA Scientific Integrity Officer (SIO) of any allegations received by recipient institutions and provide a copy of the findings of the institution’s allegation investigation to the SIO in a timely manner. 
  • Consulting with the NOAA Scientific Integrity Officer and NOAA General Counsel prior to communicating allegation information to the NOAA Federal Program Officer or Contracting Officer’s Representative to ensure NOAA maintains confidentiality requirements. 
  • Collaborating with the NOAA Scientific Integrity Officer and NOAA General Counsel should NOAA decide to proceed with its own investigation of the allegation, in cooperation with the recipient institution.
  • Pursuing available remedies, when necessary, after a finding of scientific and research misconduct or loss of scientific integrity under the financial assistance award terms and conditions, in collaboration with the sponsoring NOAA Office and the NOAA Scientific Integrity Officer.

NOAA Contracting Officers:

Consistent with the provisions in NOAA Administrative Order (NAO) 202-735D.2), and the NOAA Scientific Integrity Procedural Handbook, and related NOAA Acquisition Alerts (e.g., Acquisition Alert 13-01 Scientific Integrity and Research Misconduct), NOAA Contracting Officers are responsible for:

  • Ensuring that the most current Scientific Integrity and Research Misconduct provision language is included in all NOAA solicitations and resulting contracts and orders that provide for the performance of scientific activities or presentation of the results of scientific activities. 
  • Ensuring that the most current Scientific Integrity and Research Misconduct provision language is included in existing applicable contracts and orders in conjunction with the next modification issued, if applicable. 
  • Receiving contractor reports of allegations of scientific and research misconduct or loss of scientific integrity, including reports on the institution’s inquiry, investigations, and final reports on resolving allegations and associated remedies. 
  • Notifying the NOAA Scientific Integrity Officer (SIO) of any allegations received by contractor and providing a copy of the findings of the contractor’s allegation investigation to the SIO in a timely manner. 
  • Consulting with the NOAA Scientific Integrity Officer and NOAA General Counsel prior to communicating allegation information to the NOAA Federal Program Officer or Contracting Officer’s Representative to ensure NOAA maintains confidentiality requirements. 
  • Collaborating with the NOAA Scientific Integrity Officer and NOAA General Counsel should NOAA decide to proceed with its own investigation of the allegation, in cooperation with the contractor.
  • In cases where a finding of research misconduct related to a NOAA contract or order has been made, pursue appropriate remedies available to the Government under the contract or order terms and conditions and applicable laws and regulations that may include, but are not limited to, disallowance of costs, recoupment of payments, termination, suspension or debarment, in consultation with the sponsoring NOAA Office and the NOAA Scientific Integrity Officer.

NOAA Federal Program Office Staff

NOAA Federal program office staff with responsibilities for management or oversight of grants, cooperative agreements or contracts supporting scientific research or research related activities, but who are not Grants or Contracting Officers, are responsible for:

  • Understanding their roles and responsibilities for adhering to the NOAA scientific integrity policy (NAO 202-735D) and for promoting a culture of scientific excellence and integrity within NOAA. 
  • Understanding the roles and responsibilities of financial assistance recipient institutions and contractors for meeting the requirements of NOAA’s scientific integrity policy, the associated Procedural Handbook, and the terms and conditions of the award agreement or contract. 
  • Understanding the reporting procedures for allegations of scientific and research misconduct or loss of scientific integrity involving financial assistance recipients and contractors.  Financial assistance recipient institutions are responsible for reporting allegations and information on the institution’s response directly to the NOAA Grants Officer. Contractors are responsible for reporting allegations and information on the contractor’s response directly to the NOAA Contracting Officer.  
  • Notifying the NOAA Grants Officer or Contracting Officer, as applicable, should an allegation by a recipient institution or contractor be reported to the wrong NOAA official (e.g., if the allegation is initially reported to the NOAA program manager or director of the sponsoring NOAA office). 
  • Respecting and adhering to NOAA’s commitment to maintaining confidentiality of information and parties involved in allegations and investigations of scientific and research misconduct or loss of scientific integrity. 

NOAA Federal program office staff are not responsible for and should not be engaged in a recipient institution’s or contractor’s allegation review, inquiry, or investigation processes or the organization’s reporting to the NOAA Grants or Contracting Officer. An exception may be necessary if Federal program office staff are asked by the recipient institution or contractor to contribute documents or testimony to the organization’s factual record gathering as part of their investigation. In such cases, NOAA staff are encouraged to contact the Grants or Contracting Officer, the NOAA Scientific Integrity Officer, and the NOAA Office of General Counsel. 

Quick Links

NOAA Scientific Integrity Policy

Learn more about NOAA’s Scientific Integrity Policy

Guidance on Scientific and Professional Activities

Understand the guidelines for NOAA employees

Submitting Allegations

Find information about how to submit an allegation

Annual NOAA Scientific Integrity Reports

Find our annual reports here