[Federal Register Volume 86, Number 26 (Wednesday, February 10, 2021)]
[Presidential Documents]
[Pages 8845-8851]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-02839]
Presidential Documents
Federal Register / Vol. 86, No. 26 / Wednesday, February 10, 2021 /
Presidential Documents
___________________________________________________________________
Title 3--
The President
[[Page 8845]]
Memorandum of January 27, 2021
Restoring Trust in Government Through Scientific
Integrity and Evidence-Based Policymaking
Memorandum for the Heads of Executive Departments and
Agencies
It is the policy of my Administration to make evidence-
based decisions guided by the best available science
and data. Scientific and technological information,
data, and evidence are central to the development and
iterative improvement of sound policies, and to the
delivery of equitable programs, across every area of
government. Scientific findings should never be
distorted or influenced by political considerations.
When scientific or technological information is
considered in policy decisions, it should be subjected
to well-established scientific processes, including
peer review where feasible and appropriate, with
appropriate protections for privacy. Improper political
interference in the work of Federal scientists or other
scientists who support the work of the Federal
Government and in the communication of scientific facts
undermines the welfare of the Nation, contributes to
systemic inequities and injustices, and violates the
trust that the public places in government to best
serve its collective interests.
This memorandum reaffirms and builds on the
Presidential Memorandum of March 9, 2009 (Scientific
Integrity), and the Director of the Office of Science
and Technology Policy's Memorandum of December 17, 2010
(Scientific Integrity).
By the authority vested in me as President by the
Constitution and the laws of the United States of
America, I direct as follows:
Section 1. Role of the Director of the Office of
Science and Technology Policy. The Director of the
Office of Science and Technology Policy (Director)
shall ensure the highest level of integrity in all
aspects of executive branch involvement with scientific
and technological processes. This responsibility shall
include ensuring that executive departments and
agencies (agencies) establish and enforce scientific-
integrity policies that ban improper political
interference in the conduct of scientific research and
in the collection of scientific or technological data,
and that prevent the suppression or distortion of
scientific or technological findings, data,
information, conclusions, or technical results. In
implementing this memorandum, the Director shall, as
appropriate, convene and confer with the heads of
agencies and with personnel within the offices of the
Executive Office of the President, including the Office
of Management and Budget.
Sec. 2. Task Force on Scientific Integrity. (a) The
Director shall convene an interagency task force (the
``Task Force'') of the National Science and Technology
Council (NSTC) to conduct a thorough review of the
effectiveness of agency scientific-integrity policies
developed since the issuance of the Presidential
Memorandum of March 9, 2009.
(b) The Task Force shall complete its review within
120 days of the date of the appointment of its members,
and shall take the following actions when completing
its review.
(i) The Task Force shall ensure its review considers whether existing
Federal scientific-integrity policies prevent improper political
interference in the conduct of scientific research and the collection of
scientific or technological data; prevent the suppression or distortion of
scientific or technological findings, data, information, conclusions, or
technical results;
[[Page 8846]]
support scientists and researchers of all genders, races, ethnicities, and
backgrounds; and advance the equitable delivery of the Federal Government's
programs.
(ii) The Task Force's review shall include an analysis of any instances in
which existing scientific-integrity policies have not been followed or
enforced, including whether such deviations from existing policies have
resulted in improper political interference in the conduct of scientific
research and the collection of scientific or technological data; led to the
suppression or distortion of scientific or technological findings, data,
information, conclusions, or technical results; disproportionately harmed
Federal scientists and researchers from groups that are historically
underrepresented in science, technology, and related fields; or impeded the
equitable delivery of the Federal Government's programs. The scope of this
review shall include the work of scientific and technological advisory
committees, boards, and similar bodies. The existing policies examined by
this review shall include those issued pursuant to the Presidential
Memorandum of March 9, 2009, and the Director's Memorandum of December 17,
2010; any other scientific-integrity policies published on agency websites;
and commonly accepted scientific-integrity practices.
(iii) The Task Force shall identify effective practices regarding
engagement of Federal scientists, as well as contractors working on
scientific matters for agencies, with news media and on social media;
effective policies that protect scientific independence during clearance
and review, and that avoid improper political interference in research or
data collection; effective approaches for handling any disagreements about
scientific methods and conclusions; effective reporting practices that
promote transparency in the implementation of agency scientific-integrity
policies and in the handling of any allegations of misconduct; effective
practices for educating and informing employees and contractors of their
rights and responsibilities related to agency scientific-integrity
policies; promising opportunities to address gaps in current scientific-
integrity policies related to emerging technologies, such as artificial
intelligence and machine-learning, and evolving scientific practices, such
as citizen science and community-engaged research; effective approaches to
minimizing conflicts of interest in Federal Government science; and
policies that support the professional development of Federal scientists in
accordance with, and building on, section IV of the Director's Memorandum
of December 17, 2010.
(iv) To inform the review, the Task Force shall gather input from
stakeholders and the public regarding scientific-integrity practices. The
Task Force shall consider obtaining such input through various means, which
may include holding a virtual stakeholder summit hosted by the Office of
Science and Technology Policy (OSTP), issuing a public request for
information, and conducting a virtual listening tour or open forums.
(v) Upon the conclusion of its review, the Director shall publish a report
on the OSTP website synthesizing the Task Force's findings. The report
shall include a description of agencies' strengths and weaknesses regarding
scientific-integrity policies, as well as a description of best practices
and lessons learned.
(c) Within 120 days of the publication of the Task
Force's initial 120-day review of existing scientific-
integrity policies, the Task Force shall develop a
framework to inform and support the regular assessment
and iterative improvement of agency scientific-
integrity policies and practices, to support the
Director and OSTP in ensuring that agencies adhere to
the principles of scientific integrity. This framework
shall include assessment criteria that OSTP and
agencies can use to inform, review, and improve the
design and implementation of agency scientific-
integrity policies. The Director shall publish this
framework on the OSTP website.
Sec. 3. Agency Scientific-Integrity Policies. (a) Heads
of agencies shall ensure that all agency activities
associated with scientific and technological processes
are conducted in accordance with the 6 principles set
forth in section
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1 of the Presidential Memorandum of March 9, 2009, and
the 4 foundations of scientific integrity in government
set forth in part I of the Director's Memorandum of
December 17, 2010.
(b) Heads of agencies shall ensure that their
agency scientific-integrity policies reflect the
findings in the Task Force report produced under
section (2)(b)(v) of this memorandum and apply to all
agency employees, regardless of the nature of their
appointment, as well as contractors who perform
scientific activities for agencies. Heads of agencies
shall coordinate with the Director in the development,
updating, and implementation of any agency-specific
policies or procedures deemed necessary to ensure the
integrity of scientific decision-making. The following
time frames shall apply when completing the activities
described in this subsection:
(i) The head of each agency with an existing scientific-integrity policy
shall submit an updated policy to the Director within 180 days of the
publication of the Task Force's report.
(ii) The head of each agency without an existing scientific-integrity
policy shall submit a draft agency scientific-integrity policy to the
Director within 180 days of the publication of the Task Force's report.
(iii) The Director shall expeditiously review scientific-integrity policies
submitted by the agencies to ensure that the policies respond to the Task
Force's analysis, adhere to the policy directives in this memorandum, and
uphold the highest standards of scientific practice.
(iv) The Director shall notify agencies of any deficiencies in the
scientific-integrity policies and collaborate with agencies to
expeditiously correct those deficiencies.
(c) In implementing this section, heads of agencies
shall:
(i) Provide the Director with any information the Director deems necessary
to conduct the Director's duties under this memorandum;
(ii) Publish the agency's scientific-integrity policy on the agency's
website, and disseminate information about the policy through the agency's
social media channels;
(iii) Develop and publish procedures, as appropriate and consistent with
applicable law, for implementing the agency's scientific-integrity policy,
including establishing and publishing an administrative process for
reporting, investigating, and appealing allegations of deviations from the
agency's policy, and for resolving any disputes or disagreements about
scientific methods and conclusions;
(iv) Review and, as needed, update within 60 days of the date of this
memorandum any website content, and within 300 days of the date of this
memorandum any agency reports, data, and other agency materials issued or
published since January 20, 2017, that are inconsistent with the principles
set forth in this memorandum and that remain in use by the agency or its
stakeholders;
(v) Educate agency employees, as well as contractors who perform scientific
activities for the agency, on their rights and responsibilities related to
scientific integrity, including by conducting routine training on the
agency's scientific-integrity policy for all employees, and by ensuring any
new employees are made aware of their responsibilities under the agency's
scientific-integrity policy shortly after they are hired; and
(vi) Publish, consistent with any requirements related to national security
and privacy, as well as any other applicable law, an annual report on the
agency's website that includes the number of administrative investigations
and appeals involving alleged deviations from the agency's scientific-
integrity policies, as described in section (3)(c)(iii) of this memorandum,
for the year covered by the report, and the number of investigations and
appeals pending from years prior to the year covered by the report, if any.
[[Page 8848]]
Sec. 4. Publication of Scientific-Integrity Policies
and Ongoing Biennial Reporting. (a) The Director shall
publish on the OSTP website, and disseminate via social
media, information about this memorandum, related OSTP
and NSTC reports on scientific integrity, and links to
the scientific-integrity policies posted on agency
websites, to ensure such information and policies can
be easily accessed by the public.
(b) The Director shall publish on the OSTP website,
and disseminate via social media, a biennial report on
the status of the implementation of this memorandum
across the executive branch. This report shall include
a review of the impact on scientific integrity of
diversity, equity, and inclusion practices related to
the Federal scientific and engineering workforce and
scientific Federal advisory committees.
Sec. 5. Evidence-Based Policymaking. (a) Heads of
agencies shall ensure that the scientific-integrity
policies of their agencies consider, supplement, and
support their plans for forming evidence-based
policies, including the evidence-building plans
required by 5 U.S.C. 312(a) and the annual evaluation
plans required by 5 U.S.C. 312(b).
(b) Within 120 days of the date of this memorandum,
after consultation with the Director, the Director of
the Office of Management and Budget (OMB) shall issue
guidance to improve agencies' evidence-building plans
and annual evaluation plans. Specifically, the Director
of OMB shall consider whether, consistent with, and
building upon, Executive Order 13707 of September 15,
2015 (Using Behavioral Science Insights to Better Serve
the American People), agencies' evidence-building plans
and annual evaluation plans shall include a broad set
of methodological approaches for the evidence-based and
iterative development and the equitable delivery of
policies, programs, and agency operations. Relevant
approaches might include use of pilot projects,
randomized control trials, quantitative-survey research
and statistical analysis, qualitative research,
ethnography, research based on data linkages in which
records from two or more datasets that refer to the
same entity are joined, well-established processes for
community engagement and inclusion in research, and
other approaches that may be informed by the social and
behavioral sciences and data science.
(c) The statutory positions required to be
designated by agencies by the Foundations for Evidence-
Based Policymaking Act of 2018 (Public Law 115-435),
which include the Evaluation Officer, the Chief Data
Officer, and a senior statistical official, shall
incorporate scientific-integrity principles consistent
with this memorandum into agencies' data governance and
evaluation approaches. Similarly, the Chief Data
Officers Council shall incorporate scientific-integrity
principles consistent with this memorandum into its
efforts to establish government-wide best practices for
the use, protection, dissemination, and generation of
data, and both the Chief Data Officers Council and the
Evaluation Officer Council shall identify ways in which
agencies can improve upon the production of evidence
for use in policymaking.
(d) Consistent with the provisions of the
Foundations for Evidence-Based Policymaking Act of
2018, heads of agencies shall, as appropriate and
consistent with applicable law, expand open and secure
access to Federal data routinely collected in the
course of administering Federal, State, local, Tribal,
or territorial government programs or fulfilling
Federal, State, local, Tribal, or territorial
government mandates, such as tax data, vital records,
other statistical data, and Social Security
Administration earnings and employment reports, to
ensure governmental and non-governmental researchers
can use Federal data to assess and evaluate the
effectiveness and equitable delivery of policies and to
suggest improvements. In implementing this provision,
heads of agencies shall:
(i) Make these data available by default in a machine-readable format and
in a manner that protects privacy and confidential or classified
information, and any other information protected from disclosure by law;
[[Page 8849]]
(ii) Publish an agency data plan that provides a consistent framework for
data stewardship, use, and access. If publishing such a plan is not
feasible, then the head of the agency shall publish guidelines outlining
how the data were collected, metadata on data use, any limitations on data
use, and ways for researchers to provide feedback on data shared;
(iii) Follow the mandates of the Information Quality Act (section 515 of
Public Law 106-554) in assessing and making available to researchers
information on the quality of the data being provided; and
(iv) Where possible, provide such data disaggregated by gender, race,
ethnicity, age, income, and other demographic factors that support
researchers in understanding the effects of policies and programs on equity
and justice.
(e) The Director of OMB shall review whether
guidance to agencies on implementation of the
Information Quality Act needs to be updated and
reissued.
(f) Heads of agencies shall review and
expeditiously update any agency policies, processes,
and practices issued or published since January 20,
2017, that prevent the best available science and data
from informing the agency's evidence-based and
iterative development and equitable delivery of
policies and programs.
Sec. 6. Agency Chief Science Officers and Scientific
Integrity Officials. (a) Within 120 days of the date of
this memorandum, the heads of agencies that fund,
conduct, or oversee scientific research shall, to the
extent consistent with applicable law, designate a
senior agency employee for the role of chief science
officer, science advisor, or chief scientist (``Chief
Science Officer''), who shall:
(i) Serve as the principal advisor to the head of the agency on scientific
issues and ensure that the agency's research programs are scientifically
and technologically well-founded and conducted with integrity; and
(ii) Oversee the implementation and iterative improvement of policies and
processes affecting the integrity of research funded, conducted, or
overseen by the agency, as well as policies affecting the Federal and non-
Federal scientists who support the research activities of the agency,
including scientific-integrity policies consistent with the provisions of
this memorandum.
(b) Because science, facts, and evidence are vital
to addressing policy and programmatic issues across the
Federal Government, the heads of all agencies (not only
those that fund, conduct, or oversee scientific
research) shall designate expeditiously a senior career
employee as the agency's lead scientific-integrity
official (``Scientific Integrity Official'') to oversee
implementation and iterative improvement of scientific-
integrity policies and processes consistent with the
provisions of this memorandum, including implementation
of the administrative and dispute resolution processes
described in section (3)(c)(iii) of this memorandum.
For agencies with a Chief Science Officer, the
Scientific Integrity Official shall report to the Chief
Science Officer on all matters involving scientific-
integrity policies.
(c) To the extent necessary to fully implement the
provisions of this memorandum, heads of agencies may
designate additional scientific-integrity points of
contact in different offices and components, who shall
coordinate with the agency's Scientific Integrity
Official in implementing the agency's scientific-
integrity policies and processes.
(d) Heads of agencies should ensure those
designated to serve in the roles described in this
section, along with their respective staffs, are
selected based on their scientific and technological
knowledge, skills, experience, and integrity, including
experience conducting and overseeing scientific
research and utilizing scientific and technological
information and data in agency decision-making,
prioritizing experience with evidence-based, equitable,
inclusive, and participatory practices and structures
for the conduct of scientific research and the
communication of scientific results.
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(e) The Director or a designee of the Director
shall regularly convene Chief Science Officers and
Scientific Integrity Officials to encourage the
discussion and expansion of effective scientific-
integrity policies and practices among agencies.
Sec. 7. Scientific Advisory Committees. (a) Within 90
days of the date of this memorandum, heads of agencies
shall review their current and future needs for
independent scientific and technological advice from
Federal advisory committees, commissions, and boards.
The review should include an evaluation of those
advisory bodies established by law, and should consider
both current and anticipated needs.
(b) This review shall assess which Federal
scientific and technological advisory committees should
be rechartered or recreated to ensure that relevant and
highly qualified external experts, with proper
safeguards against conflicts of interest, can
contribute to critical Federal regulations and other
agency actions and decision-making. The review shall
also identify any agency policies, processes, or
practices that may currently prevent or inhibit
relevant and highly qualified external experts from
serving on such committees.
(c) In conducting this review, heads of agencies
shall take steps to review the membership of scientific
and technological advisory committees and, as
appropriate and consistent with applicable law, ensure
that members and future nominees reflect the diversity
of America in terms of gender, race, ethnicity,
geography, and other characteristics; represent a
variety of backgrounds, areas of expertise, and
experiences; provide well-rounded and expert advice to
agencies; and are selected based on their scientific
and technological knowledge, skills, experience, and
integrity, including prioritization of experience with
evidence-based, equitable, inclusive, and participatory
practices and structures for the conduct of scientific
research and the communication of scientific results.
(d) Upon completion of their 90-day review, heads
of agencies shall provide a summary report to the
Director and the Director of OMB with recommendations
on which Federal scientific and technological advisory
committees should be rechartered or recreated in
accordance with subsection (b) of this section; which
scientific and technological advisory committees should
be prioritized for membership appointments to ensure
they provide well-rounded and expert advice reflecting
diverse perspectives, in accordance with subsection (c)
of this section; and which agency policies, processes,
or practices, if any, should be updated to encourage
relevant and highly qualified external experts to serve
on such committees.
Sec. 8. General Provisions. (a) Nothing in this
memorandum shall be construed to impair or otherwise
affect:
(i) the authority granted by law to an executive department or agency, or
the head thereof; or
(ii) the functions of the Director of the Office of Management and Budget
relating to budgetary, administrative, or legislative proposals.
(b) This memorandum shall be implemented consistent
with applicable law and subject to the availability of
appropriations.
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(c) This memorandum is not intended to, and does
not, create any right or benefit, substantive or
procedural, enforceable at law or in equity by any
party against the United States, its departments,
agencies, or entities, its officers, employees, or
agents, or any other person.
(Presidential Sig.)
THE WHITE HOUSE,
Washington, January 27, 2021
[FR Doc. 2021-02839
Filed 2-9-21; 8:45 am]
Billing code 3295-F1-P