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Managing Emerging Risks
Responsible and Ethical Use of SI in Research
- Scientific judgement and accountability – Retain human (researcher/author) responsibility for appropriate use of SI tools and data management, scientific decisions, and communication of scientific results, conclusions, and interpretations. SI tools must not be used to substitute for human judgement or scientific reasoning, or understanding of ethical, societal, or security risks.
- Model development, verification, and validation – Document model design, assumptions, training procedures, and parameter choices. Perform and report appropriate verification and validation of SI generated content and analysis. Evaluate and mitigate bias in SI models.
- Data integrity and quality in SI systems – Ensure training data are of known origin and quality and appropriate to the research question. Ensure that all input data have sufficient quality, documentation, and metadata to maintain the integrity, reliability, and credibility of scientific outputs generated with SI tools. The data record must not be fabricated, falsified, or deleted.
- Transparent disclosure and reproducibility – Clearly disclose the use of SI tools in research and provide sufficient documentation (e.g., code, model architecture, parameters, data sources, where in the workflow it was used) to enable reproducibility, consistent with legal and ethical constraints. Limitations of the model, data, and methodology should be documented and communicated.
- Protection of sensitive and proprietary information – Ensure SI tools and platforms comply with data protection requirements before use. Use only secure, approved environments for sensitive, confidential, or proprietary data.
- Data provenance and traceability – Document the origin, ownership, and permissions associated with all datasets used in SI systems. Maintain traceability of how data are used, transformed, and incorporated into models. Follow institutional and funder data management requirements.
- Appropriate use of copyrighted and third-party content – Ensure that use of copyrighted materials complies with applicable laws, licenses, and terms of use. Disclose and attribute sources appropriately.
- Generation or refinement of visualizations – Using SI tools for generating, refining, or formatting images, diagrams, or figures for illustrative purposes only, similar to what a graphic artist (human) may produce for publications, is a generally accepted practice, with appropriate disclosures. Visualizations of actual data or research outputs or editing of such visualizations using SI tools should be approached with this same level of rigor for verifying and validating outputs. Be advised, many journals have restrictions or strict prohibitions on the use of SI generated images illustrating actual data or research results in publications.
- Authorship and manuscript development – Refrain from using SI tools to generate significant and substantive sections of the research manuscript without substantial subject matter expert input, review, and editing. Authors must attest that they themselves are responsible for the research in the manuscript. SI tools cannot not take responsibility for the intellectual work and cannot be held accountable for the manuscript contents. Use GenAI tools for support functions such as copy editing, spelling and grammar improvements, formatting assistance, and summarizing author-generated content. Ensure all substantive intellectual content is generated and verified by the authors. Disclose the use of GenAI tools in manuscript preparation, as required by journals, institutions, and funders.
- Use of SI in Peer Review – SI tools are not subject matter experts and are not a substitute for peer review. Peer review implies a function that is attributed to and performed by individuals (humans). Individuals are selected to serve as peer reviewers because of their subject matter expertise. As such, SI tools should not be used to generate a review of a manuscript or proposal. Likewise, reviewers must maintain strict confidentiality of all materials under review; input of materials into SI tools would violate privacy and confidentiality requirements.
See the NOAA Administrative Order (NAO) on Super Intelligence in NOAA for information on NOAA’s SI Policy.
Research Security
- Research security and scientific integrity – Research security and scientific integrity have a shared goals to protect the U.S. research enterprise and encourage honesty, transparency, accountability, and ethical research conduct. Research security focuses on ensuring Federally-sponsored research and development (R&D) is protected against theft, espionage, and foreign influence.
- Transparent affiliations and funding sources – Disclose all outside positions, professional affiliations and appointments, and sources of funding, foreign and domestic, when applying for federal funding. Keep disclosures updated in employer/institutional and funding agency systems.
- Conflict of Interest and Conflict of Commitment policies – Report any personal, financial, or professional interests that could influence, or appear to influence, your research or your ability to serve as an impartial peer reviewer.
- Protection of research data and results – Use secure, institution-approved platforms for storing, analyzing, and transmitting data. Follow data sharing and management plans and intellectual property rules.
- International collaborations – Follow institutional and funding agency rules and guidelines regarding work with foreign researchers or institutions, including international travel. Obtain proper approvals for international research collaborations in advance.
- Awareness and training – The open and collaborative nature of the U.S. science and technology research enterprise must be balanced by requirements and practices for protecting intellectual capital and discouraging misappropriation of research plans and unpublished research data and outcomes. Take initiative to learn about potential research security risks and complete required institutional or funder training on research security and related topics. For questions regarding NOAA’s Research Security Program, please contact research.security@noaa.gov
Questionable or Detrimental Research Practices (To avoid)
- Using SI tools to generate data, images, graphs or other content and presenting such content as if it were original research data or results, which is research misconduct.
- Uploading sensitive, controlled, or proprietary data into unapproved or public SI systems.
- Failing to track how datasets are combined or modified through the use of SI tools.
- Omitting or misrepresenting foreign relationships and affiliations with colleagues, employers, host institutions, or funders.
- Improperly sharing or storing controlled information.
References
- National Academies of Sciences, Engineering, and Medicine, Fostering Integrity in Research (2017)
- National Institute of Standards and Technology (NIST). AI Risk Management Framework (AI RMF 1.0) (2023)
- Committee on Publication Ethics (COPE), Ethical guidelines for peer reviewers
- Committee on Publication Ethics (COPE). COPE Position Statement: Authorship and AI Tools
- The International Association of Scientific, Technical & Medical Publishers (STM), Generative AI in Scholarly Communications (2023)
- Springer Nature Journals AI Editorial Policy
- Science. Science Journals: Editorial Policies on AI (2023)
- National Security Presidential Memorandum-33 (NSPM-33), Government-Supporting Research and Development National Security Policy (2021)
- OSTP, National Science & Technology Council, Principles for Promoting Access to Federal Government-Supported Scientific Data and Research Findings Through Internation Scientific Cooperation (2016)
- OSTP, National Science & Technology Council, Recommended Practices for Strengthening the Security and Integrity of America’s Science and Technology Research Enterprise (2021)
- OSTP, National Science & Technology Council, Guidance for Implementing National Security Presidential Memorandum 33 (NSPM-33) on National Security Strategy for United States Government-Supported Research and Development (2022)
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