11 FAM 820
Scientific Integrity
(CT:POL-63; 03-30-2018)
(Office of Origin: L/M)
11 FAM 821 Purpose
(CT:POL-56; 06-13-2013)
a. Science and technology play an increasingly
important role in U. S. foreign policy. The Department of State is committed
to preserving scientific integrity across domestic offices and U.S. missions
abroad, and advocates for similar policies with bilateral and multilateral
partners.
b. This subchapter describes the Departments
scientific integrity policy, and is intended to guide and serve as a resource
when questions arise. To ensure a foundation of scientific integrity, this
policy covers the use of science in the decision-making process, communication of
scientific and technological information, the use of Federal advisory
committees, the selection of candidates for scientific positions, and the
professional development of scientists, engineers, and employees who manage
scientific and technical portfolios. It also describes mechanisms and
procedures to prevent and report compromises of scientific integrity.
c. This subchapter implements the principles described
in the White Houses March 9, 2009 memorandum in accordance with the guidelines
laid out in the White House's Office of Science and Technology Policy (OSTP)
December 17, 2010 memorandum. See 11 FAM 822.
11 FAM 822 Authorities
(CT:POL-51; 04-16-2012)
a. Presidential Memorandum, dated
March 9, 2009, on Scientific Integrity: This memorandum laid out the
following principles for scientific integrity within the executive branch:
(1) The selection and retention of candidates for
science and technology positions in the executive branch should be based on the
candidate's knowledge, credentials, experience, and integrity;
(2) Each agency should have appropriate rules and
procedures to ensure the integrity of the scientific process within the agency;
(3) When scientific or technological information is
considered in policy decisions, the information should be subject to
well-established scientific processes, including peer review where appropriate,
and each agency should appropriately and accurately reflect that information in
complying with and applying relevant statutory standards;
(4) Except for information that is properly restricted
from disclosure under procedures established in accordance with statute,
regulation, Executive Order, or Presidential Memorandum, each agency should
make available to the public the scientific or technological findings or conclusions
considered or relied on in policy decisions;
(5) Each agency should have in place procedures to
identify and address instances in which the scientific process or the integrity
of scientific and technological information may be compromised; and
(6) Each agency should adopt such additional
procedures, including any appropriate whistleblower protections, as are
necessary to ensure the integrity of scientific and technological information
and processes on which the agency relies in its decision making or otherwise
uses or prepares.
b. Memorandum from Dr. John Holdren,
Assistant to the President for Science and Technology, dated December 17, 2010:
This memorandum directed executive agencies to develop policies that address
the foundations of scientific integrity in government, public communications,
the use of Federal advisory committees, and professional development of
government scientists and engineers.
11 FAM 823 subchapter Definitions
(CT:POL-63; 03-30-2018)
Compromise of scientific integrity:
Compromises of scientific integrity include but are not limited to:
(1) Using scientific studies or data to inform the
decision making process that are not representative of the current state of
scientific knowledge and research (for example because they lack peer review,
utilize poor methodology, or contain flawed analyses);
(2) Misrepresenting the underlying assumptions,
uncertainties, or probabilities of scientific findings or attempting to
suppress or alter scientific or technical findings (including, but not limited
to, those performed by U.S. Government scientists) during any step of the
decision making process; or
(3) Altering, or misrepresenting scientific or
technological findings in public communications.
ESTH: Acronym that refers
collectively to environment, science, technology, and health topics.
Official: Speaking, writing, or
teaching is official (and automatically of official concern) when conducted in
connection with Department employment, or in any capacity represents the
Department of State (see also 3 FAM 4170 and 10 FAM 130).
Of official concern: Activities
or topics that may reasonably be interpreted as relating to the current
responsibilities, interests, programs, or operations of the Department of
State; and current U.S. foreign policies, which reasonably may be expected to
affect the foreign relations of the United States (see also 3 FAM 4170 and 10 FAM 130). Activities or topics that do
not meet this definition are of no official concern.
Peer review: A process by which
scientific research proposals or scientific findings are reviewed by other
scientists with relevant backgrounds or expertise. The peer review process
serves as a mechanism to identify meritorious research projects, to promote
quality control by rejecting unsubstantiated findings or conclusions, and to
identify methodological flaws, although it does not guarantee that data or
findings are free of biases, mistakes, or other errors.
Scientific data: Data obtained
through the scientific method, observation, research, and technical analysis
that are testable, verifiable, and repeatable, or contain measures of
uncertainty.
Unofficial: Speaking, writing, or
teaching is unofficial when conducted in a private capacity outside U.S.
Government property, work hours, or orders. An activity can be unofficial but
still be of official concern (see also 3 FAM 4170 and 10 FAM 130).
11 FAM 824 Policy
11 FAM 824.1 The Role of Science in
Diplomacy and Development
(CT:POL-51; 04-16-2012)
a. Science plays a key role in informing policy,
including foreign policy, and is a key aspect of sound, fact-based decision
making. The Department of State is committed to science-based policy making,
and to increasing international collaboration to advance global scientific
knowledge.
b. Policies that strengthen the role of science and
technology in innovation support U.S. scientific capabilities. These policies
also support U.S. foreign policy objectives of enhancing global security,
promoting and sustaining democratic states through improved governance,
increasing economic and social development, and fostering public outreach to
foreign audiences. For example, the underlying values of scientific
integritymerit review, reproducible results, and data that are openly
published and transparentreflect U. S. goals for promoting democracy and good
governance.
c. Science and technology play key roles in fostering
the ideas and innovations that will solve shared global challenges. New
technologies are essential to address the climate, energy, health, food,
citizen security, connectivity, and natural resource challenges facing the
world. Equally, every countrys competitiveness, development, prosperity,
national security, and stability require participation in the globally
interconnected knowledge-based economy of the 21st century and the
international scientific community.
11 FAM 824.2 Applicability
(CT:POL-56; 06-13-2013)
a. The Department of States scientific integrity
policy applies to all Civil Service and Foreign Service employees, political appointees,
fellows, interns, contractors, and locally employed staff who:
(1) Incorporate scientific information in the
decision-making process;
(2) Communicate science and technology policy or
scientific topics;
(3) Serve on or select members of advisory panels that
address issues of a scientific or technical nature (see also 11 FAM 813.2);
(4) Manage or support portfolios that include
environment, science, technology, and health (ESTH) or engineering;
(5) Evaluate proposals for grants, foreign assistance,
contracts, cooperative agreements for ESTH related activities;
(6) Facilitate scientific cooperation between
government, academic, private institutions or nongovernmental or civil society
organizations; or
(7) Develop positions on ESTH issues in bilateral and
multilateral negotiations.
b. The Departments scientific integrity policy does
not amend or supersede the provisions of Federal statutes or regulations,
including standards of conduct and avoidance of conflicts of interest (see, for
example, 5 CFR 2635.1); nor does it supersede other Department policy guidance,
including other FAM provisions, unless expressly stated herein.
c. This scientific integrity policy is not intended
to, and must not be interpreted to, limit, constrain, or guide the gathering or
analysis of intelligence.
11 FAM 824.3 Scientific Integrity
in the Decision-Making Process
(CT:POL-56; 06-13-2013)
a. When feasible, appropriate, and consistent with the
law, individuals working for the Department of State should ensure that the
underlying assumptions, uncertainties, and probabilities of scientific or
technical data are taken into account and communicated during the
decision-making process.
b. When scientific or technological information is
considered in policy decisions, the information should be representative of the
current state of the science, evidence-based, and when feasible, appropriate,
and consistent with law, and subject to well-established scientific processes
such as peer review.
c. It is Department of State policy that no attempts
are to be made to alter or suppress the use of scientific or technological
findings in the decision-making process, and individuals working for the
Department should ensure that this standard is achieved.
11 FAM 825 Communication of scientific
and technological information
11 FAM 825.1 Official Statements
(CT:POL-63; 03-30-2018)
All communication of scientific topics, policies, and
research to the media or general public in official capacity must be cleared
through the Bureau of Public Affairs according to the guidelines of 3 FAM 4170 and 10 FAM 130.
11 FAM 825.2 Role of the
Departments Public Affairs Offices
(CT:POL-63; 03-30-2018)
In accordance with Department procedures, public affairs
offices may decide to proceed or not to proceed with proposed interviews or
other public information-related activities that are of official concern (refer
to the policies and procedures in 3 FAM 4170 and 10 FAM 130).
Individuals working for the Department of State should ensure that no attempts
are made to alter, misrepresent or suppress the use of scientific or
technological findings in public communications. Disputes that arise from
decisions to proceed or not proceed with proposed interviews or other public
information-related activities should be resolved according to the provisions
of 11 FAM 828.
11 FAM 825.3 Content of Public
Outreach Materials
(CT:POL-51; 04-16-2012)
When public diplomacy or public affairs activities
incorporate ESTH topics, their content should be representative of
well-established scientific processes, and when possible and appropriate,
utilize peer-reviewed material.
11 FAM 825.4 Material Prepared in
an Employees Personal Capacity
(CT:POL-63; 03-30-2018)
All unofficial speaking, writing, or teaching activities
on scientific topics, policies, and research that are of official concern must
be approved by public affairs offices according to the guidelines of 3 FAM 4170 and
require a disclaimer. Unofficial activities on matters clearly not of official
concern do not require review (see also 3 FAM 4174
and 10 FAM 130).
11 FAM 825.5 Press Inquiries
(CT:POL-63; 03-30-2018)
a. In the context of existing Department policy for
making statements to the press (10 FAM 122), the
Department will ensure that the authorized spokesperson responding to media
requests about the scientific and technological dimensions of the Departments
work is articulate and knowledgeable, and can, in an objective and nonpartisan
way, describe these dimensions to the media and the American people and/or
refer to appropriate U.S. technical agencies.
b. If a Department employee is contacted directly by a
member of the press about the scientific or technological dimensions of his or
her work, he or she should refer them to the appropriate bureau contact for
public affairs (see also 3 FAM 4170 and 10 FAM 130).
c. A Department employee may speak to the media or the
public about scientific and technological matters based on his or her official
work pursuant to the policies and procedures included in 3 FAM 4170 and 10 FAM 130.
11 FAM 825.6 Right of Review
(CT:POL-51; 04-16-2012)
Scientists at other Federal agencies have the right to
review documents that rely substantially on data they collected, analyses they
performed, or the results of their research, to ensure that the science has
been accurately interpreted and represented.
11 FAM 826 Federal advisory committees
(CT:POL-51; 04-16-2012)
The Department of State uses Federal Advisory Committees
to obtain advice on foreign policy matters. Guidance for matters of a
scientific or technical nature is in 11 FAM 813.2.
11 FAM 827 Selection and professional
development of government scientists and engineers
(CT:POL-63; 03-30-2018)
It is the policy of the Department of State to:
(1) Ensure that the selection of candidates for
scientific positions is based primarily on their scientific and technical
knowledge, credentials, experience, and integrity;
(2) Encourage employees entering into positions that
include ESTH to enroll in courses and attend seminars and workshops related to
these issues such as those offered by the Foreign Service Institute;
(3) Encourage and support, where possible, employees
with technical backgrounds to stay current in their fields when such efforts
advance the Departments mission by providing access to scholarly journals and
supporting participation in short courses or attendance at technical
conferences;
(4) Encourage participation in professional societies
and other organizations to enhance professional development, especially when
such participation advances the Departments mission. Department employees may
serve as editors or editorial board members of scholarly journals and
participate in committees and task forces if there is no conflict of interest
or appearance thereof, and Department legal and ethical requirements are met.
Additionally, Department employees should work with the Bureau of Public
Affairs to establish whether or not the use of a disclaimer is necessary;
(5) Allow scientists who are employed as Civil Service
or Foreign Service employees, political appointees, fellows, interns,
contractors, and locally employed staff (LES) to publish in scientific journals
and present at public or professional meetings provided they follow the
guidelines in 3 FAM 4174;
and
(6) Recognize the achievements of its employees and
allow them to receive awards and honors for research and discoveries.
11 FAM 828 Preventing and Reporting
Mechanisms
(CT:POL-56; 06-13-2013)
a. To ensure a culture of scientific integrity and
prevent its compromise, employees are encouraged to raise questions about
scientific integrity with their colleagues or immediate supervisor as they
arise.
b. Use the following mechanisms to address instances where
scientific integrity is compromised:
(1) Reporting up the chain of command;
(2) The Civil Service and Foreign Service Grievance
Systems according to 3 FAM 4700 and 3 FAM 4400, respectively;
(3) The Dissent Channel according to 2 FAM 070; and
(4) Reporting to the Office of Inspector General in
accordance with 1 FAM 053.2-5.
c. Under these scientific integrity guidelines, the
Department will continue to comply with the requirements of the Whistleblower
Protection Act of 1989 (WPA), Public Law 101-12, and its expanded protections
enacted by Public Law 103-424. The Department must also continue to comply
with all Department WPA regulations, rules, and policies (see 3 FAM 4329).
11 FAM 829 Unassigned