Scientific Integrity
Frequently Asked Questions
Subject-based answers to your questions about scientific integrity practices and policies.
Fundamental Research Communications
What is a Fundamental Research Communication and why should I care?
Fundamental Research Communications (FRCs) are defined both in the NOAA Scientific Integrity Policy and in the Department of Commerce Administrative Order (DAO) on Public Communications (DAO 219-1). An FRC is any communication, regardless of avenue of dissemination or method of presentation, that relates to the NOAA’s programs, policies, or operations and takes place or is prepared officially and that deals with the products of basic or applied research in science or engineering (or in social science and policy research), the results of which ordinarily are published and shared broadly within the scientific community and the public.
These are essentially communications to the public of scientific findings and data, they most often take the form of research publications or NOAA reports released on our website. Research results communicated as an FRC require internal technical and management review prior to release.
NOAA’s FRC guidance, NOAA’s Framework for Internal Review and Approval of Fundamental Research Communications, which describes the minimum review standards for FRCs, applies to any initial public release of an FRC regardless of the method of publication or dissemination. This includes, but is not limited to: material prepared for conferences and seminars; audiovisual works, including PowerPoint slides for conference presentations; manuscripts to be submitted to the peer-reviewed scientific literature, including literature review papers; technical reports or memoranda; and web pages with new research content.
Internal review should be conducted through your Line Office’s specific procedures for review of FRC’s in alignment with NOAA’s Framework guidance. It is important for NOAA scientists to understand what constitutes FRCs as opposed to other types of public communications, especially “official” communications. The communication may not contain information that is proprietary, classified, or restricted by federal statute. If a communication also includes matters of policy, budget, or management, then it is not an FRC. “Official communications” require full NOAA vetting and clearance.
Who decides if a communication is "fundamental research" or "official"?
The determination whether a communication is a Fundamental Research Communication (FRC) or an “official communication” is normally made by the head of your operating unit. Typically, communications focused on scientific findings and conclusions based on your official work are FRCs. However, if a communication also includes matters of policy, budget, or management, then it is not an FRC, but a “official communication” that must also be reviewed through NOAA’s Office of Communications, line management, and NOAA leadership before dissemination per NOAA procedures in alignment with the Department Administrative Order 219-1, Public Communications.
The NOAA Framework for Internal Review and Approval of Fundamental Research Communications specifies that the internal review, led by the author’s head of operating unit or their designee, must confirm the communication meets the definition of an FRC. The NOAA Framework guidance and the NOAA Scientific Integrity Policy emphasize that the internal review process must not inhibit or excessively delay the dissemination of a scientifically meritorious FRC. Line Offices must also have clear written procedures in place to guide staff in cases of disagreement during the review/approval process.
Do I need approval to publish my fundamental research?
The short answer is, yes, as publications of your fundamental research are considered Fundamental Research Communications (FRCs). The Department of Commerce Public Communications policy (DAO 219-1) and NOAA Framework for Internal Review and Approval of Fundamental Research Communications require the advance internal review of manuscripts that will be submitted to the peer-reviewed scientific literature. Follow your Line Office-specific procedures for the publication of FRC’s. Also, it’s important to be aware of NOAA’s requirements for public access to the results of NOAA research. For more information, visit the NOAA Library sites on publishing scholarly work, open access publishing, and use of persistent identifiers.
How should I frame the conclusions of my FRC?
This is an area that can lead to confusion and disagreement for federal scientists and their managers, especially if a particular framing of findings appears to imply a budget, policy, or management direction for NOAA or the Department of Commerce (DOC). There is no one answer that will apply perfectly to all publications and all situations. However, the best practice is to frame your conclusions as generally and as objectively as possible, providing the context of uncertainties and underlying assumptions. Avoid overstatements of results or extrapolations that extend far beyond the data’s scope. When providing your professional views or opinions in an FRC, NOAA authors should add a disclaimer to clarify the views are those of the author (yours) and not NOAA or the DOC. An FRC may not state that NOAA/the Administration/Congress should take a certain action. If your communication makes such a conclusion or recommendation, the manuscript is not an FRC.
When should I apply a disclaimer to my FRC?
At a minimum, Departmental of Commerce and NOAA policy requires the use of a disclaimer when the scientific conclusions and viewpoints presented in a FRC could reasonably be construed as representing the view of NOAA or the Department when they do not. NOAA policy requires the use of a disclaimer when a FRC includes personal viewpoints, for example, if the material includes views beyond the scientific findings to incorporate the author’s expert or personal opinions. An example of such a disclaimer is the following:
“The scientific results and conclusions, as well as any views or opinions expressed herein, are those of the author(s) and do not necessarily reflect the views of NOAA or the Department of Commerce.”
Use of a disclaimer does not exempt an FRC from internal review.
I’m giving a public talk about a research paper that I published, does my presentation need to be reviewed as a Fundamental Research Communication?
Your research paper should have been reviewed and approved as a Fundamental Research Communication (FRC) prior to publishing so your presentation does not need to be reviewed as an FRC if its content is aligned with that of the FRC. When in doubt, check with your supervisor.
Presentations on scientific research results not previously published may be considered Fundamental Research Communications and may be subject to internal review per the NOAA Framework for Internal Review and Approval of Fundamental Research Communications and local Line Office procedures.
NOAA’s Framework guidance applies to any initial public release of an FRC regardless of the method of publication or dissemination. This includes, but is not limited to: material prepared for conferences and seminars; audiovisual works, including PowerPoint slides for conference presentations; manuscripts to be submitted to the peer-reviewed scientific literature, including literature review papers; technical reports or memoranda; and web pages with new research content.
Full Fundamental Research Guidelines
Download the PDF to read more about fundamental research communicationsPublic Communications and the Media
May I take phone calls from the media and give interviews?
Yes. NOAA staff engaged in science and the development of scientific products may speak freely to the media and the public about scientific and technical ideas, approaches, findings, and conclusions based on their official work. While you may speak to the media, you are not required to give media interviews if requested. You are strongly encouraged to consult your office’s public affairs specialist for advice prior to taking a phone call or interview. While you are free to discuss scientific and technical topics based on your official work, members of the media may be interested in topics beyond those that may include budget, policy or management questions, the responses of which require coordination with NOAA’s Office of Communications.
What should I do if I am asked to give an interview?
NOAA staff engaged in science and the development of scientific products may speak freely to the media and the public about scientific and technical ideas, approaches, findings, and conclusions based on their official work, including participating in interviews. While not required to, it is a good practice to notify your office’s public affairs specialist and/or the head of your operating unit prior to an interview. Situational awareness is not a requirement, but it is usually a wise thing. In addition, your public affairs specialist is there to provide support and guidance on logistics and if questions should stray from your scientific or technical work to matters of budget, policy, or management.
Am I allowed to express my personal opinion as a scientist in an interview of in other fora (e.g. op-ed articles)?
Yes. However, you need to make sure you are clear that you are expressing your personal opinion, not the opinion of NOAA, the Department of Commerce or the Administration. The disclaimer is your friend and it is there to protect you. Use it.
Do I need approval to have a science-based blog or social media page?
To be clear, you may do what you want on your personal time provided those activities don’t conflict with your official NOAA duties (See Department of Commerce guidance on outside activities). If you are going to be basing your public statements on your experience and position as a NOAA scientist, then make sure to include a disclaimer on every page informing your audience that these are your personal views and not the views of NOAA, the Department of Commerce, or the Administration.
If, however, you want to have a blog or social media page as part of your official work, you will need to clear the activity through your supervisor and set up the page via your Chief Information Officer, who is responsible for authorizing and setting up these pages. Please also consult with your office’s public affairs specialist who will have the most recent guidance from the NOAA Office of Communications on web-based and social media communications. Regarding content, the rules are no different than for any other public communication. In other words, Departmental Administrative Order 219-1 on Public Communications still applies, as does the Department of Commerce Policy on the Approval and Use of Social Media and Web 2.0. Therefore, if you are delivering a Fundamental Research Communication, you should still follow your Line Office procedures and the NOAA Framework for Internal Review and Approval of Fundamental Research Communications. If you are providing official communications, these need to be approved through the appropriate channels. (Note: DAO 219-1 and the Department’s social media policy do not apply to members of certain bargaining units.)
When should I contact NOAA Public Affairs?
You should consult your office’s public affairs staff when issuing an official NOAA communication and/or whenever you feel like you need advice or guidance on how to approach your public communications. Other than for official communications, the most common scenarios for working with public affairs are prior to giving an interview, preparing for testimony before Congress, or when working to publicize your research. Your public affairs specialist has spent years working in the field, so their advice and support can be invaluable. If you are providing a media interview, even if you don’t work with public affairs, it is good practice and common courtesy to inform them of your interview. Surprises, even when they are good ones, may not always be welcome in the work setting. Better to keep people over-informed than under.
What should I do if I feel my work is not being allowed to be published or if I am being "muzzled"?
The NOAA Scientific Integrity Policy, which specifies that such actions are prohibited, is intended to prevent this situation from happening. Hopefully this will never happen, but if it does, the best approach usually is to try to address the issue in a non-confrontational way with the person you feel is impeding your work. If this doesn’t resolve the situation, you should try to work the issue within your office or at the next higher level by having somebody with no vested interest in the outcome mediate the situation. If this still doesn’t produce a mutually acceptable outcome, you are encouraged to contact the NOAA Scientific Integrity Officer or your Line Office Scientific Integrity Officer for a pre-allegation consultation. You may also file an allegation of scientific misconduct or loss of scientific integrity under the NOAA Scientific Integrity Policy without such consultation.
Do I need to have a disclaimer on my email?
No. From a policy perspective, email communications between individuals are considered the same as oral communications, so you generally don’t need to be concerned with having a disclaimer. However, if you are using email to broadly “publish” or communicate your science and/or express your opinion, you should include a disclaimer. Some in NOAA use a disclaimer on all email to cover all possible scenarios. Please keep in mind: your government emails may be intercepted at any time for cybersecurity purposes or investigations, are subject to the Freedom of Information Act, and could be disclosed in litigation or if requested by Congress. As such, anything you say in email could be made public. This isn’t specifically related to the NOAA Scientific Integrity Policy or communications policies, but you should keep it in mind if you decide to write something potentially inflammatory or embarrassing in an email.
Congressional Testimony
I have been asked to testify before Congress in my official capacity; what are my next steps?
Contact your Line Office Legislative Affairs specialists who will work with NOAA Legislative Affairs to arrange schedules and timing, as well as assist you with preparation. They will take it from there in communicating with the appropriate Congressional offices as well as other NOAA offices that may need to review your testimony.
Do I need to clear my testimony with NOAA beforehand?
Yes. As part of the preparation process (see questions above), your Line Office and NOAA Legislative Affairs specialists will be happy to work with you.
Gifts, Travel, and Awards
Am I allowed to accept honoraria in exchange for speaking engagements?
The Scientific Integrity Policy states that “NOAA supports the recognition of the outstanding science conducted by its employees. NOAA scientists should, therefore, be able to accrue the professional benefits of any honors and awards for their research and discoveries, subject to applicable law.” In the case of honoraria, public employees are not allowed to accept pay (i.e., accrue benefits) for doing what they are being paid by the public to do. In other words, if you are preparing a talk and/or participating in the speaking engagement during normal work hours, you cannot take additional payment in the form of an honorarium. If, however, you are attending a conference on your own time (on annual leave or outside duty hours) and your own resources and you have prepared your talk outside of work hours, you can take the honorarium. You should consult with your ethics officer if you have questions about honoraria or outside activities. If your presentation is related to your duties as a NOAA employee, you may still need to have your presentation reviewed as a Fundamental Research Communication. Please consult your supervisor.
If I receive a gift from an organization or individual when representing NOAA, am I allowed to accept it?
In general, Federal employees may not accept gifts from prohibited sources or that are offered because of their official positions unless an exception applies. Prohibited sources may be someone or an entity: 1) with business before the NOAA, 2) regulated by the Department of Commerce or NOAA, or 3) with interests that could be affected by performance of your duties. Common exceptions include: if the gift is of value of $20 or less, including cash; if the gift is from family or friends (personal relationships); or if the gift is an invitation to a widely attended gathering and approved by your supervisor. Please consult the Department of Commerce Office of General Counsel for additional guidance on gifts.
The Scientific Integrity Policy states that “NOAA supports the recognition of the outstanding science conducted by its employees. NOAA scientists should, therefore, be able to accrue the professional benefits of any honors and awards for their research and discoveries, subject to applicable law.” If you are being honored because of your professional accomplishments and the honor or award includes a monetary award or high value gift, please consult the Department of Commerce Office of the Assistant General Counsel for Ethics Law and Program prior to accepting.
In-kind gifts related to travel associated with performing official duties, such as waiving meeting registration fees, may be accepted with supervisor approval, provided that the gift is unsolicited and acceptance of the gift would not create an appearance of impropriety.
In the case of honoraria, Federal employees are not allowed to accept pay (i.e., accrue benefits) for doing what they are being paid by the public to do. In other words, if you are preparing a talk and/or participating in the speaking engagement during normal work hours, you cannot take additional payment in the form of an honorarium. If, however, you are attending a conference on your own time (on annual leave or outside duty hours) and your own resources and you have prepared your talk outside of work hours, you can take the honorarium. You should consult with your ethics officer if you have questions about honoraria or outside activities.
Am I allowed to accept meals or food at receptions while on official travel?
It depends. If the meal or reception is part of a widely-attended event that is part of the official agenda for the trip, you may accept the meal or food at a reception. However, you must then deduct the per diem value of that meal from the per diem claimed for that day when you submit your travel reimbursement order.
Be mindful of offers of lavish or high-value meals or receptions that may constitute a gift being offered because of your official position. You may not accept these meals. You should consult with your ethics officer if you have questions about meals or receptions while on travel. When in doubt, pay for your own meals.
Serving on Professional Boards, Committees, and Councils
If I have been asked to serve as an officer or a board member for a non-profit professional society, what do I need to do?
NOAA supports the election or appointment of its federal scientists and engineers to fellowships or positions in professional organizations subject to applicable ethics and policy requirements. NOAA employees may serve in their official capacity as officers and on governing boards or committees of outside nonprofit organizations. Such service should preferably be with organizations such as professional societies, scholarly societies, scientific organizations, trade associations, or other types of nonprofits with a broad focus on the overall health of the field, where the agency has an interest as a stakeholder, and where the organization’s interests are consistent with NOAA’s interests. The Department of Commerce Office of General Counsel approved a policy for this purpose, Guidelines for Authorizing Department of Commerce Employees to Serve as Officers or Board Members of Nonprofit Organizations on Behalf of the Government. In NOAA, this policy is administered by the NOAA Scientific Integrity Officer (SIO). It requires employees who are serving on such boards or committees to submit a Memorandum to the NOAA Chief Scientist through the NOAA SIO from their Assistant Administrator acknowledging the service of the employee and reason for approving such service. Please contact the NOAA SIO for additional guidance for the required appointment memo content. If a NOAA employee will be serving on a non-profit board, committee, or council in their personal capacity based on their professional expertise associated with their NOAA position and will be serving during normal duty hours and using NOAA resources, then this is considered an official appointment. The NOAA SIO generally sends out a call to all Line Offices 1-2 times per year to solicitate updates on such appointments and copies of approval memos, but such memos may be submitted to the Chief Scientist through the NOAA SIO at any time when an employee commences such service.
While serving as an officer or on a board, what if I am responsible for funds or contracts related to NOAA?
Given the complexity of the rules regarding serving on professional societies, and the potentially very serious consequences for an employee who is found to be in violation of a federal ethics law, we recommend NOAA scientists always consult with a member of the Department of Commerce’s General Counsel Ethics Office before accepting an offer of appointment. Once you have consulted with General Counsel and are serving on the board or committee in the appropriate capacity, you must pay very close attention to any issues that may have, or may be perceived to have, implications for NOAA funding, grants, or contracts or NOAA policy or regulatory actions. If you do find yourself in this situation, you should recuse yourself from participation in the deliberations and decisions of the board or committee with respect to this issue. You should also contact the Office of General Counsel for additional guidance.
Allegations of Scientific or Research Misconduct or Loss of Scientific Integrity
What do I do if I suspect a person or group of scientific or research misconduct?
Depending upon the situation, you can address the issue with the person or group in a non-confrontational manner, contact the NOAA Scientific Integrity Officer or appropriate Line Office Scientific Integrity Officer for a pre-allegation consultation, or you can submit an official allegation with the NOAA Scientific Integrity Officer. It is often beneficial to make sure you are well informed before making an official allegation, because you may not have a complete picture of what is happening. It is possible the person/group in question may not realize they are doing anything wrong and will remedy the situation once they are aware of the issue. On the other hand, if you do not feel comfortable talking about the issue with the person and/or the situation is an obvious violation of the NOAA Scientific Integrity Policy, you should immediately file an allegation with the NOAA Scientific Integrity Officer who will proceed with reviewing and investigating the matter.
What if I am accused of scientific or research misconduct?
The NOAA policy provides necessary guidance and protections for both the accuser (Complainant) and the accused (Respondent). The privacy of all parties will be guarded closely as NOAA conducts a full and fair review and investigation. The Procedural Handbook provides the complete process for how and who will conduct investigations. Those accused have the right to retain counsel and/or consult with a bargaining unit representative. No allegation of scientific misconduct or loss of scientific integrity will be used as the basis for any adverse action taken against the Respondent until an allegation is proven and a finding is issued in accordance with the NOAA policy and Procedural Handbook. Allegations of scientific or research misconduct within NOAA to date have been rare.
What protections are offered to those who are falsely accused?
Above all, the procedures established in the Procedural Handbook for the NOAA Scientific Integrity Policy provide the main protections for an employee who is falsely accused. NOAA employees are presumed innocent until an investigation proves otherwise and will not suffer any adverse consequences (e.g., demotion, suspension, firing) during the course of the investigation. The initial phase of the process, the assessment, establishes right away if there is any merit to the allegation. If the assessment determines that the allegation is not sufficiently credible and there is no potential evidence of misconduct, the case will be closed. The employee who was accused will not suffer any negative consequences as a result, nor will there be any record of the accusation included in the employee’s personnel file. Beyond these protections, employees have the right to privacy throughout the investigation process. NOAA will not release the names of those employees who have been accused or are under investigation. Records maintained by the NOAA Scientific Integrity Officer will remain confidential. Additionally, NOAA will provide an accused employee with information about available assistance, such as counsel, expert advice, and union representation.
Can somebody accuse me of scientific or research misconduct just because they don't agree with my interpretation of data or findings?
Any allegation of scientific or research misconduct or loss of scientific integrity must be substantiated with some evidence, otherwise the allegation will not go beyond the initial assessment. NOAA’s Scientific Integrity Policy does not recognize professional or personal disagreement with findings or the interpretation of the scientific findings as a basis for filing a scientific integrity complaint. As such, any complaint based on this type of disagreement would be dismissed. If the accuser lied about your methods or work quality in order to fabricate a complaint, the initial assessment and potential inquiry would rapidly uncover the deliberate false claims and unethical conduct, and the accuser would likely face potential disciplinary actions.
General Policy Questions
Is there some training I can take on these policies?
All employees should first read and be familiar with the Policy and the Handbook. There are rights and responsibilities in this policy that apply to a large number of NOAA employees. The NOAA Scientific Integrity Commons site on the NOAA Scientific Integrity Policy provides additional information resources and breaks down the details of the NOAA Code of Scientific Conduct and NOAA Code of Ethics for Science Supervision and Management.
NOAA has developed an online training course that can be found on the Commerce Learning Center (CLC), entitled Scientific Integrity at NOAA (2024). This course is mandatory for all covered individuals, as defined in the Policy, and all new employees who are covered individuals as they come on board. All other NOAA employees and contractors are strongly encouraged to take the training as well.
In addition, scientists, their managers, and communications staff should have ongoing conversations about scientific integrity. In most cases, what constitutes integrity and responsible and ethical behavior is clear-cut. However, some grey areas exist in certain cases. While the training helps to identify these areas and bring them to light, you, as working scientists, have the best insight on the issues of the day.
Where can I go with questions?
If you have questions about the NOAA Scientific Integrity Policy or how the Policy applies to you, please send an email to the Scientific Integrity Office at scientific.integrity@noaa.gov. The NOAA Scientific Integrity Committee monitors this mailbox and will either answer your question or direct you to the proper office for a response. Your questions will also be used to revise these FAQs moving forward.
You may also contact the NOAA Scientific Integrity Officer for a confidential pre-allegation consultation if you have any concerns or questions related to a specific scientific or research misconduct issue.
Submitting allegations of scientific misconduct:
More information about submitting allegations can be found here. Allegations of scientific misconduct should be sent in writing to the Scientific Integrity Officer by email or at this address: research.misconduct@noaa.gov
Or to
Dr. Julie Carruthers, NOAA Scientific Integrity Officer
NOAA/ Office of the Deputy Under Secretary for Operations
David Skaggs Research Center
325 Boulder St.
Boulder, CO 80305
NOAA Scientific Integrity Policy
Learn more about NOAA’s Scientific Integrity Policy
Guidance on Scientific and Professional Activities
Understand the guidelines for NOAA employees
Find information about how to submit an allegation
Annual NOAA Scientific Integrity Reports
Find our annual reports here