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SUMMARY REPORT ON SCIENTIFIC INTEGRITY


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Founded in 1901, the National Institute of Standards and Technology (NIST) is a
non-regulatory federal agency within the U.S. Department of Commerce. NIST's
mission is to promote U.S. innovation and industrial competitiveness by
advancing measurement science, standards, and technology in ways that enhance
economic security and improve our quality of life. NIST carries out its mission
through four cooperative programs: the NIST Laboratories, conducting research
that advances that nation's technology infrastructure and is needed by U.S.
industry to continually improve products and services; the Baldrige Performance
Excellence Program, which promotes performance excellence among U.S.
manufacturers, service companies, educational institutions, health care
providers, and nonprofit organizations, conducts outreach programs, and manages
the annual Malcolm Baldrige National Quality Award which recognizes performance
excellence and quality achievement; the Hollings Manufacturing Extension
Partnership, a nationwide network of local centers offering technical and
business assistance to smaller manufacturers; and the Technology Innovation
Program, which provides cost-shared technologies that address critical national
and societal needs.

In accordance with the Memorandum of December 17, 2010, from the Director of the
Office of Science and Technology Policy, NIST is currently working to update its
relevant policies, including through revision of NIST Administrative Manual
(NIST Manual), to more broadly address issues of Scientific Integrity. Relevant
policies currently in effect are summarized below.

I.  Foundation of Scientific Integrity in Government

NIST has in place a number of policies and procedures to ensure the integrity of
the scientific and technological information it develops and disseminates to the
public. Those policies and procedures include rigorous internal peer review of
any published scientific and technological information.

The NIST Manual sets forth policies and defines responsibilities that apply to
the communication of NIST technical program results by staff members, guest
researchers, research associates, and others who participate in the performance
of NIST technical programs. Those NIST Manual policies and procedures explicitly
apply to technical publications in all media including (but not limited to)
hardcopy print media and machine-readable media (magnetic disk, magnetic tape,
electronic storage devices, CD-ROM, and other forms of optical storage of
information), and photographic film, as well as to all transmittals of new
findings from NIST technical programs regardless of the means of communication,
e.g., communication of new findings by telephone, telefax, direct electronic
data transfer, videotape, or other special means.

Thus, for example, the NIST Manual explains that all NIST technical
communications are derived from the technical activities of its employees and
supported by the technological records (e.g., research notebooks) they maintain.
It is NIST policy that all NIST employees engaged in research and development
activities are responsible for maintaining a thorough and accurate record of
their work by keeping a research notebook following internal Operating Unit (OU)
policies.

Recognizing that scientific data at NIST are increasingly generated, stored and
reported digitally, the NIST Leadership Board established a Scientific Data
Lifecycle Management Working Group in December of 2009, to study the collection,
storage, use, repurposing and preservation of NIST's digital scientific data.
Composed of scientists and managers from across the Institute, the NIST Working
Group was formed as a response to a report by the Interagency Working Group on
Digital Data (IWGDD) operating under the Committee on Science of the National
Science and Technology Council (NSTC). The IWGDD report, entitled "Harnessing
the Power of Digital Data for Science and Society,"1 called attention to the
need for Federal research organizations to establish scientific data management
policies, and underscored the risks of failing to do so. In carrying out its
charter, the NIST Working Group also considered that the Administration has
promoted a higher level of transparency, accessibility, and citizen engagement
with the work products and operations of all Federal agencies. These factors
served as the impetus to review and suggest improvements to NIST's management of
digital data. The NIST Working Group is expected to issue its final report and
recommendations in the second quarter of 2011.

All official writing (as defined in Departmental Administrative Order DAO 219-1)
must be reviewed by an internal Editorial Review Board, and approved for
publication in accordance with procedures defined in the NIST Manual. The
Editorial Review Boards at NIST are responsible for the final review and
approval of all technical manuscripts produced by NIST.

There are two NIST Editorial Review Boards, which are Standing Committees of
NIST and are responsible to the Director: (1) The Washington Editorial Review
Board (WERB) is responsible for the review and approval of technical manuscripts
prepared by authors and coauthors at Gaithersburg; and (2) The Boulder Editorial
Review Board (BERB) is responsible for the review and approval of technical
manuscripts prepared by authors and coauthors at Boulder. All NIST technical
manuscripts must be reviewed and approved by the responsible division chief with
the originating OU before the manuscript is submitted to the appropriate NIST
editorial Review Board.

According to the NIST Manual, Editorial Review Board decisions that do not
approve publications are accompanied by recommendations to the author(s) that,
if accepted, will result in approval; if such recommendations are not accepted,
the authors may seek resolution of the issues through direct discussions with
the Chairperson of the Editorial Review Board. After all other remedies have
been exhausted, the Editorial Review Board decision may be appealed through the
responsible OU Director to the NIST Director. If a decision by an Editorial
Review Board is overruled by the NIST Director, the Editorial Review Board must
be informed.

The NIST Manual also contemplates that NIST employees may publish "nonofficial"
manuscripts subject to prior review to ensure that the government has neither
proprietary nor regulatory interest.

The NIST Manual expresses NIST policy to strive to publish openly, widely, and
promptly the results of all technical programs. Therefore, it is noted that
agreements to perform technical work for other organizations (which would
include other Federal agencies) must include a provision that addresses the
publication of such results either by NIST or by the sponsoring organization,
and that any provision for the delay of publication beyond three months after
the completion of the technical work, or any provision that would otherwise
limit publication, requires the approval of the responsible NIST OU Director.

Under NIST Policy, NIST reports of work sponsored by other Federal agencies,
regardless of the form they take or the media used, are subject to the same
quality control requirements as all other technical reports of NIST. These
requirements include the procedures for review and approval specified in the
NIST Manual.

NIST affirmatively encourages excellence in published research through the
performance payout process of the NIST Personnel Management Demonstration
Project or through the SES performance bonus process, as appropriate. NIST
awards available to recognize exceptional authorship or editorship through the
Incentive Awards Program include the Department of Commerce Gold and Silver
Medal Awards, the NIST Edward Uhler Condon Award, the NIST Samuel W. Stratton
Award, and the Special Act of Service Award.

NIST recognizes the importance attached to authorship of scientific and
technical publications. Under NIST policy, the decision to include a staff
member as an author (or not) is usually made at the group level and is based on
a truly substantial and professional contribution. Mere administrative
supervision of the work is not a sufficient qualification for authorship.   

A key element of Scientific Integrity relating to scientific and technical
research has to do with statements of uncertainty associated with measurement
results. As the nation's primary Federal laboratory charged with advancing
measurement science, standards, and technology, NIST has long recognized the
critical role of rigorously applied uncertainty principles in the credibility of
reported research, and especially of research that may underpin policy.

According to long-standing published NIST policy, a measurement result is
considered complete only when accompanied by a quantitative statement of its
uncertainty. NIST policy requires uncertainty statements, and also requires that
a uniform approach to expressing measurement uncertainty be followed. To ensure
that uncertainty statements are consistent with each other and with
international practice, the NIST policy adopts the approach to expressing
measurement uncertainty recommended by the International Committee for Weights
and Measures (CIPM).   

In accordance with its policy regarding uncertainty statements, the NIST Manual
specifically addresses Statements of Uncertainty Associated with Measurement
Results. In addition, NIST's published Technical Note 1297, "Guidelines for
Evaluating and Expressing the Uncertainty of NIST Measurement Results," is made
available without cost for the benefit of the scientific community and the
general public.

In addition, since 1959, the National Research Council (NRC) has assessed the
technical merit, relevance, and quality of NIST's laboratory programs in the
context of NIST's mission. The NRC review is independent, technically
sophisticated, and extensive. Half of the NIST Laboratories are reviewed each
year, which permits increased technical exchange between NIST scientists and the
expert review panels (one for each of the NIST Laboratories). Each panel
deliberates their findings in a closed session panel meeting and prepares a
report summarizing its assessment findings. Panel members are selected by the
NRC from leaders in industry, academia, non-profit organizations, and other
federal agencies and government laboratories. The Laboratory Assessments Board
of the National Academies oversees the NRC assessment activities.   

Typical reviews by NRC panels of NIST Laboratories include assessment of the
degree to which NIST Laboratory programs in measurement science, standards, and
services achieve their stated objectives and fulfill the mission of the NIST
Operating Unit; assessment of the technical merits and scientific caliber of the
current NIST Laboratory programs relative to comparable programs worldwide; and
assessment of the alignment between NIST Laboratory R&D efforts and those
services and other mission critical deliverables for which that Laboratory is
responsible.

II. Public Communications

It is the policy of NIST to comply with Departmental Administrative Order, DAO
219-1, with respect to its Public Communications. DAO 219-1 is available on the
Department of Commerce's website at
http://www.osec.doc.gov/opog/dmp/daos/dao219_1.html, and incorporated into the
corresponding NIST Manual subchapter on Public Communications.

III. Use of Federal Advisory Committees

NIST has nine Federal Advisory Committees (FACs), of which five are tasked with
giving technical and scientific advice. NIST's primary advisory committee, the
Visiting Committee on Advanced Technology (VCAT), is charged to "review and make
recommendations regarding general policy for [NIST], its organization, its
Budget, and its programs, within the framework of applicable national policies
as set forth by the President and the Congress."

The Information Security and Privacy Advisory Board (ISPAB), advises NIST, the
Secretary of Commerce, and the Director of the Office of Management and Budget
"on information security and privacy issues pertaining to Federal government
information systems, including thorough review of proposed standards and
guidelines developed by NIST."

The Advisory Committee on Earthquake Hazards Reduction (ACEHR) acts in the
public interest to advise NIST on trends and developments in the science and
engineering of earthquake hazards reduction, the effectiveness of the NIST
program in carrying out NIST's activities under section 103(a)(2) of the
National Earthquake Hazards Reduction Program (NEHRP) Reauthorization Act of
2004, the need to revise the program, and the management, coordination,
implementation, and activities of the Program.

NIST's newest FAC, the NIST Smart Grid Advisory Committee (SGAP), provides input
to NIST on Smart Grid "standards, priorities and gaps," and on the overall
direction, status and health of the Smart Grid implementation by the Smart Grid
industry, including identification of issues and needs. SGAP input is used to
help guide Smart Grid Interoperability Panel activities and also assist NIST in
directing research and standards activities.

NIST makes the recruitment process transparent for all of its FACs, soliciting
public recommendations through its web site and through notice in the Federal
Register2. NIST FAC member biographies are made available to the public through
the pertinent NIST FAC web site (see, e.g., http://www.nist.gov/director/vcat/,
which presents biographies for current VCAT members, and also lists all VCAT
members since 1901).

NIST FAC members are selected on a clear, standardized basis, in accordance with
applicable Department of Commence guidance. Members of NIST FACs are selected on
the basis of established records of distinguished service in their professional
community and their knowledge of issues relevant to the FAC. Further, NIST makes
every effort to selected FAC members such that the FAC will reflect the wide
diversity of technical disciplines and competencies involved, and will come from
a cross section of organizations.

NIST will make Conflict of Interest waivers granted to NIST FAC members publicly
available except when prohibited by law, and no NIST FAC reports,
recommendations or products are subject to revision by NIST or any other agency
of the Federal government.

IV. Professional Development of Government Scientists and Engineers

The concept of professional development is part of the very fabric of NIST,
reflected in everything from the agency's name, to the provisions of its
enabling statute, to the NIST statement of Core Values:

NIST's CORE VALUES:

 * People: We value and support an inclusive, engaged, and diverse workforce
   capable of fulfilling the NIST mission.
 * Integrity: We are objective, ethical, and honest.
 * Customer focus: We anticipate the needs of our customers and are committed to
   meeting or exceeding their expectations.
 * Excellence: We expect world-class performance and continuous improvement in
   all we do.

NIST's Guest Researcher program brings literally thousands of scientists and
engineers, from academia, industry and government, to the Institute to work
side-by-side with NIST employees on cutting edge science. The NIST Graduate and
Post-Doctoral Fellowship programs have brought many hundreds of young
scientists, at the start of their careers, to the Gaithersburg and Boulder
campuses. The NIST culture is, in large part, a culture premised on professional
development.

Publication in NIST technical publications and peer-reviewed scientific journals
is considered in yearly performance evaluations of NIST scientists, who are
encouraged to present the results of their research at professional meetings of
their peers. NIST actively supports the participation of its scientists and
engineers as members of editorial boards of professional and scholarly journals.

NIST, consistent with Department of Commerce policy, allows its scientists and
engineers to receive honors and awards for their research, counting among its
ranks three Nobel Laureates in Physics3, a MacArthur Fellowship "Genius Grant"
winner, a National Medal of Science winner, a number of members of the National
Academies, and recipients of Presidential Early Career Awards for Scientists and
Engineers (PECASE), the highest honor bestowed by the U.S. Government on science
and engineering professionals in the early stages of their independent research
careers. NIST actively supports its employees' participation in professional
societies, committees, and task forces. Through its collaborations with academic
institutions, NIST encourages its scientists and engineers to work actively with
their professional colleagues, and NIST employees hold joint academic
appointments through, for example, JILA with the University of Colorado, and the
Joint Quantum Institute with the University of Maryland.

NIST, along with NOAA, is working with the Department of Commerce to find ways,
consistent with applicable laws, to reduce and remove barriers for its
scientists and engineers to serve as officers or on governing boards of
non-governmental non-profit organizations. 

--------------------------------------------------------------------------------

1http://www.nitrd.gov/about/harnessing_power_web.pdf

2 See, e.g., NIST's July, 2010 "Request for Nominations of Individuals for
Appointment to Nine Existing NIST Federal Advisory Committees."

3 In 2006, NIST's Nobel Prize Winners converged on the Hill to express to
Congress their views on the importance to the nation of Science Policy: Dr. John
Hall, Dr. William Phillips and Dr. Eric Cornell.

Created June 3, 2016, Updated November 21, 2019


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