[Federal Register Volume 76, Number 150 (Thursday, August 4, 2011)]
[Notices]
[Pages 47271-47274]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-19701]
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NATIONAL SCIENCE FOUNDATION
Implementation of Scientific Integrity Principles: Draft Plan for
Public Comment
AGENCY: National Science Foundation.
ACTION: National Science Foundation (NSF) Implementation of Scientific
Integrity Principles: Draft Plan for Public Comment.
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SUMMARY: On March 9, 2009, President Obama issued a Memorandum for the
Heads of Executive Departments and Agencies on Scientific Integrity.
Shortly thereafter the Office of Science and Technology Policy (OSTP)
led an interagency task group to develop an implementation strategy,
and NSF was represented on the task group. On December 17, 2010, the
OSTP Director issued a Memorandum with implementation guidance (for
copies of both memoranda, see: http://www.whitehouse.gov/administration/eop/ostp/library/scientificintegrity).
NSF is fully committed to its efforts to ensure that our processes
will advance the goals articulated in the Memoranda. This report
summarizes NSF practices both current and planned to maintain and
enhance scientific integrity across our S&E community. The report is
organized according to the major headings and topics of the December
2010 OSTP Memorandum.
DATES: Comments on the report are welcome before September 6, 2011.
Comments will be useful in shaping the agency's implementation. Please
send comments to [email protected]. All comments received before
the close of the comment period will be available for public
inspection, including any personally identifiable or confidential
business information that is included. Because they will be made
public, comments should not include any sensitive information.
FOR FURTHER INFORMATION CONTACT: [email protected].
I. Foundations of Scientific Integrity In Government
NSF works to maintain a culture of scientific integrity. Although
NSF does not employ government scientists to conduct intramural
research on behalf of the federal government, we do fund basic science
and engineering research and education through awards to colleges and
universities through the country. Consequently, we strongly believe
that research results should be objective and not influenced by a
potential awardee's financial interests or affiliations. We are one of
only two agencies within the Federal Government that has an
investigator conflict-of-interest policy that requires our grantee
institutions to (1) Collect financial disclosure reports from
investigators; (2) review financial disclosure reports; and (3) manage,
reduce, or eliminate any conflicts of interest prior to the expenditure
of any award funds.
In addition to ensuring research results are not influenced by
conflicts of interest, NSF has a thorough and rigorous conflict of
interest merit review process. And we expect the scientists and
engineers at NSF who conduct our merit review process and make funding
decisions to adhere to the highest standards of ethical conduct. This
includes civil service employees and contractors; visiting scientists,
engineers, and educators; and those working at NSF under the
Intergovernmental Personnel Act.
NSF's internal procedures (http://www.nsf.gov/publications/pub_summ.jsp?ods_key=manual15) summarize the various government conflicts
rules that guide NSF staff.
NSF staff who report information on potential violations of rules
and regulations are protected from retaliation; NSF participates in the
Office of Special Counsel's (OSC) 2302(c) Certification Program which
allows federal agencies to meet the statutory obligation to inform
their workforces about the rights and remedies available to them under
the Whistleblower Protection Act (WPA) and related civil service laws.
(See: http://www.nsf.gov/od/odi/nofear/notice.jsp and http://www.osc.gov/outreachAgenciesCertified.htm.)
Similarly, NSF awardees, whether current or prospective, also are
expected to adhere to high standards of ethical conduct. All
allegations of research misconduct are promptly reported to the Office
of the Inspector General (OIG). (See: http://www.nsf.gov/oig/misconscieng.jsp; 45 CFR part 689 http://law.justia.com/us/cfr/title45/45cfr689_main_02.html).
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NSF awardees are also subject to the responsible conduct of
research requirement of the America COMPETES Act of 2007 (Pub. L. 110-
69). In accordance with Section 7009, NSF requires awardees to provide
appropriate training and oversight in the responsible and ethical
conduct of research to undergraduates, graduate students, and
postdoctoral researchers who will be supported by NSF to conduct
research. (For more information on NSF's implementation of Section
7009, please see http://edocket.access.gpo.gov/2009/E9-19930.htm.)
Facilitating the free flow of scientific and technological
information and maintaining open communication are critical to NSF. The
Foundation participates in the Administration's Open Government
Initiative (http://www.nsf.gov/open). Through this initiative, NSF
publishes high-value datasets such as information on Freedom of
Information Act requests, Graduate Research Fellowship Award
recipients, abstracts of all funded NSF awards, and NSF funding rates.
Another way that NSF facilitates the free flow of information is
through Research.gov (http://www.research.gov), a portal that provides
information on research spending and results. Research.gov publishes
summaries of results supported by NSF. For awards made effective
January 2010, the Foundation requires investigators to submit a brief
summary, prepared specifically for the public, on the nature and
outcomes of their NSF-funded award (See Award & Administration Guide,
Chapter II: http://www.nsf.gov/pubs/policydocs/pappguide/nsf11001/aag_2.jsp.)
II. Public Communications
The Office of Legislative and Public Affairs (OLPA) is the
authorized news media liaison for NSF. Within OLPA, the Public Affairs
staff works to promote science, engineering and education research
coverage in mainstream and targeted media, facilitating the timely
release of accurate information. The overriding goal is openness and
accessibility. In this section, NSF proposes a revised media policy as
follows:
Media Policy: Purpose
This document establishes NSF's media policy governing media
communications including advisories, press releases, statements,
interviews, news conferences, and other related media contacts. Federal
public affairs offices have been established to facilitate the active
dissemination of agency research results and to coordinate media and
public relations activities. A principal goal of public affairs is to
help NSF most efficiently achieve its agency mission through policy
making based on sound and objective science.
Media Policy: Rights
NSF-funded scientists and staff have the fundamental right to
express their personal views, provided they specify that they are not
speaking on behalf of, or as a representative of, the agency but rather
in their private capacity. So long as this disclaimer is made, the
employee is permitted to mention his or her institutional affiliation
and position if this has helped inform his or her views on the matter.
Employees have the right to review, approve, and comment publicly
on the final version of any proposed publication that significantly
relies on their research, identifies them as an author or contributor,
or purports to represent their scientific opinion.
Media Policy: Responsibilities
NSF's public affairs office is responsible for:
promoting media attention on important scientific and
institutional developments;
coordinating and facilitating contact between journalists
and the requested agency staff;
providing both reporters and scientists with timely,
accurate, and professional media assistance; and
providing draft press releases or other public statements
to agency scientists whose work is included, to assure the accuracy of
scientific information being communicated.
NSF employees are responsible for working with the agency's public
affairs staff to make significant research developments accessible and
comprehensible to the public.
NSF employees are responsible for the accuracy and integrity of
their communications and should not represent the agency on issues of
politics or policy without prior approval from the public affairs
office.
Media Policy: Media and Public Interactions
To help NSF public affairs best fulfill its responsibilities,
agency employees should:
Keep the public affairs office informed of any media
interest or potential for interest in their work;
Notify the public affairs office of impending media
contacts and provide the public affairs office with a recap of the non-
confidential aspects of the media conversation afterward;
Review drafts of press releases written by staff from the
public affairs office both for their format and non-scientific content,
as well as for the accuracy of scientific information being
communicated; and
Work with the public affairs office to review
presentations or news conferences for their format and content to
assure the accuracy of scientific information being communicated.
NSF's public affairs officers should:
Respond to all initial media inquiries as soon as
possible, but seeking to respond within 30 minutes whenever possible;
Do all they can to help reporters get the appropriate
information needed for an article;
Know the reporter's deadline to ensure timely response;
Provide contact information where they will be available,
even after hours, on weekends, and on holidays;
Draft press releases and/or other multimedia products
whenever warranted;
Ensure a timely turnaround on press releases (within one
week or less);
Develop (or coordinate the development of) talking points
in collaboration with the relevant experts for the release of
scientific papers and other agency products; and
Assure agency compliance with the No Fear Act (a federal
law that holds agencies accountable for violations of employee
protection laws) by informing employees of their rights under federal
anti-discrimination and whistleblower protection laws.
Media Policy: Media Coverage
In the spirit of openness, media representatives should be granted
free access to open meetings of NSF advisory committees, open sessions
of the National Science Board meetings, and other meetings open to the
public and convened by NSF, as well as permission to reasonably use
tape recorders, cameras, and electronic equipment for broadcast
purposes in these public meetings.
The public affairs officer coordinating a meeting may be present,
or consulted, to undertake all responsibilities of a news media nature,
including but not restricted to necessary physical arrangements.
It shall be the responsibility of the public affairs office to
cooperate fully with and accede to all reasonable requests from news
media representatives. In instances where conflicts or
misunderstandings may arise from the expressed views, wishes, or
demands on the part of news media representatives, such matters should
be
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referred at once to the head of NSF's Office of Legislative and Public
Affairs for resolution.
The head of NSF's Office of Legislative and Public Affairs shall
exercise full authority and assume responsibility for all decisions
involving the news media and related activity.
Media Policy: Scope
Below are examples of the types of information that NSF considers
within and outside the scope of the policy guidelines. Neither of these
lists should be considered comprehensive.
A. Covered Information
NSF-funded science, engineering and education research
papers, books, journal articles, reports, and similar materials, unless
they have disclaimers to distinguish the research from NSF views and
positions;
NSF-generated reports, brochures, documents, newsletters,
and audiovisual products;
Oral information, including speeches, interviews, expert
opinions only if representing NSF's views, official positions, or
policies; and
Science & Engineering Indicators reports of a statistical
nature, which includes statistical analyses, trend data, etc.,
aggregated by the National Science Board and NSF's National Centers for
Science & Engineering Statistics.
B. Information Not Covered
Documents or multimedia materials not authored by NSF and
not representing official views, including research supported by NSF
funding;
Opinions where the presentation makes it clear that what
is being offered is personal opinion rather than fact or NSF's views;
Information dissemination limited to government employees
or agency contractors or grantees;
Information intended solely for intra- or inter-agency use
or sharing of government information, such as budget discussions,
National Science Board and NSF deliberations, and other information
that serves to assess the success in achieving the agency's objectives,
programs, training materials, manuals, etc.; and
Information intended to be limited to public filings,
subpoenas, or adjudicative processes.
Media Policy: Types of Information Disseminated by NSF to the Public
Annually, NSF produces hundreds of various types of outreach and
communication materials and provides thousands of pages of Web content
for access by the public. NSF's public affairs office works with
university and institution public information offices to generate and
distribute content.
Types of Dissemination
NSF disseminates information through a wide range of methods, using
more than one medium for the same information. In light of the
Paperwork Reduction Act of 1995, NSF strides to publish most of its
print products in electronic, rather than paper, format.
Print: Including limited quantities of NSF's Strategic
Plan, Science & Engineering Indicators, National Science Board special
reports, etc.;
Electronic: Such as NSF Web sites, Listservs, e-mail,
social media sites such as Facebook, Twitter, YouTube and FlickR;
Audiovisual: Audio or video programs, media webcasts,
slideshows, powerpoint presentations by the agency Director and Deputy
Director; and
Oral: Formal speeches, oral presentations, lectures, and
interviews for publication or broadcast.
Media Policy: Guidelines for the Media
NSF's public affairs office has established these guidelines. They
are available online at http://nsf.gov/news/policies_for_media.jsp.
When seeking information about NSF, or interviews with NSF
leadership or staff, we ask that media contact Public Affairs for
assistance. Our Public Affairs media team members, their contact
information and the ``beats'' they cover are listed at http://www.nsf.gov/news/olpastaff.jsp.
When you interview a member of NSF leadership or staff, a member of
the media team may sit in/listen in on the interview. Our goal is to
support the interviewee and to assist you with any follow-up
information needed.
If you contact us during normal business hours (East Coast time),
you can expect a return call or message as soon as possible, within 30
minutes of your call or message, or at the most, the same day. We will
do all we can to respond to your query by your deadline.
We will always provide you with accurate information and will work
to put you directly in contact with the best expert to respond to your
questions. Be aware that there are circumstances where the information
we can provide is limited. These include details about possible or
ongoing investigative work, pre-decisional budget data, and NSF
personnel records.
When we provide editorial content to media, as with our
partnerships with LiveScience.com and U.S. News and World Report, the
content is clearly labeled as such.
We encourage you to make use of resources available on our Web
site. Images and video in our press releases and Discovery feature
stories are generally available for your use. Credit information and
any restrictions on use will be listed with the image or video. Our
Multimedia Gallery at http://www.nsf.gov/news/mmg/ offers images,
videos and audio files, and is searchable by topic. Remember to check
for credit information and any restrictions on use.
Our National Center for Science and Engineering Statistics (NCSES)
site at http://www.nsf.gov/statistics/ provides useful statistics about
the science and engineering enterprise, and links to the biennial
Science and Engineering Indicators, published by the National Science
Board.
III. Use of Federal Advisory Committees (FAC)
NSF's scientific advisory committees provide advice and
recommendations to NSF concerning support for science research and
education. This may include advice on program management, overall
program balance, and other aspects of program performance; on the
impact of NSF research support and NSF-wide policies on the scientific
community; and on potential science and research thrusts, long-range
plans and partnership opportunities.
Currently NSF invites suggestions for FAC membership on the NSF Web
page (http://www.nsf.gov/about/performance/dir_advisory.jsp). NSF
plans to revise the text on this page for consistency with the OSTP
Memorandum. In addition, NSF plans to issue a Federal Register notice
at least once a year to alert a wider audience to the NSF Advisory
Committees. Since vacancies come up on an ad hoc basis, this Federal
Register notice would cover NSF's scientific Advisory Committees and
refer persons interested in serving as members or recommending members
to the point of contact for the specific Committee.
NSF provides biographical information for some but not all FAC
members. NSF will ensure that the practice is consistent across the
agency.
Selection of FAC members is at the discretion of the Assistant
Director/Office Head or some combination of these senior management
officials. The NSF leadership plans to devote an annual senior
management session to discuss expectations and best practices for FAC
member selection.
The NSF Designated Agency Ethics Official will provide copies of
all Conflict of Interest waivers granted to FAC members to the
respective
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Designated Federal Official to be posted on the appropriate FAC Web
site.
NSF will use the following disclaimer on all FAC reports,
recommendations, and products, unless there is prior agreement to do
otherwise:
The function of Federal advisory committees is advisory only.
Any opinions, findings, conclusions, or recommendations expressed in
this material are those of the Advisory Committee, and do not
necessarily reflect the views of the National Science Foundation.
IV. Professional Development of Government Scientists and Engineers
NSF has a strong commitment to ensuring that its staff remains at
the cutting edge of the nation's workforce by fostering a culture of
continuous learning. To that end, NSF permits staff (including
scientists and engineers) to pursue research and developmental
activities related to NSF's mission and goals such as attending or
giving presentations at conferences or involvement in committees on
Government time.
NSF also allows its staff to participate in any research or
educational institution, scientific society, professional association
or editorial board, provided written permission is obtained from the
scientist's or engineer's supervisor or ethics counselor.
V. Implementation
NSF plans to develop a single, easily accessible Web site for
Scientific Integrity with appropriate links and points of contact. NSF
plans to follow the OSTP guidelines for Federal Advisory Committees as
outlined in Section II above and will offer appropriate training to
staff on implementation. These steps will be taken by December 31,
2011.
Dated: July 29, 2011.
Suzanne H. Plimpton,
Reports Clearance Officer, National Science Foundation.
[FR Doc. 2011-19701 Filed 8-3-11; 8:45 am]
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