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NASA Ball NASA
Policy
Directive
NPD 1920.1A
Effective Date: December 06, 2023
Expiration Date: December 06, 2028
COMPLIANCE IS MANDATORY FOR NASA EMPLOYEES
Printable Format (PDF)

Subject: Scientific and Research Integrity

Responsible Office: Office of the Chief Scientist



1. POLICY


It is NASA's policy that its workforce, as well as external entities that review proposals for or receive NASA funding to support research and development projects or that advise the Agency, maintain the highest standards of scientific and technical integrity in compliance with applicable Federal laws, Agency directives, and regulations. These standards include selecting the most meritorious NASA research and development activities through open and fair competition, peer review, and other appropriate merit review processes, and avoidance of actual and perceived conflicts of interest; openly sharing results and methods not subject to classification or privacy standards; disclosing assumptions and biases in sharing and applying scientific information and data; acting honestly and transparently in using and serving on advisory committees and in engaging in professional development activities; upholding and promoting a robust and inclusive scientific environment that is free from all forms of discrimination; and proposing, selecting, performing, reviewing research, or reporting research results free of fabrication, falsification, or plagiarism.

2. APPLICABILITY

a. Scientific and technical integrity standards will apply to all activities in all research, including, but not limited to, basic research, applied research, and technology development projects, including space flight and analog projects that are carried out internally or via grants, contracts, cooperative agreements, or other mechanisms, such as partnership agreements.

b. This directive is applicable to NASA Headquarters (HQ) and NASA Centers, including Component Facilities, and Technical and Service Support Centers. This language applies to the contractors, grant recipients, or parties to agreements only to the extent specified or referenced in the appropriate contracts, grants, or agreements. This language also applies to Special Government Employees, temporary employees, detailees under the Intergovernmental Personnel Act and other agreements, and volunteers.

c. The applicability of this NPD to the Jet Propulsion Laboratory (JPL), a Federally Funded Research and Development Center, is being assessed by NASA. This applicability statement will be updated as necessary when that assessment is completed.

d. This directive, together with relevant Federal and Agency laws, regulations, and directives, sets a minimum standard expected for scientific and technical integrity by external entities who review proposals for or receive NASA funding to support research and development projects or that advise the Agency. It does not negate any standards to which external entities are held by their home institutions, and which may be more stringent.

e. In this directive, all mandatory actions (i.e., requirements) are denoted by statements containing the term "shall." The terms: "may"" or "can" denote discretionary privilege or permission, "should" denotes good practice and is recommended, but not required, "will" denotes expected outcome, and "are/is" denotes descriptive material.

3. AUTHORITY

The National Aeronautics and Space Act, 51 U.S.C. ยง 20113.

4. APPLICABLE DOCUMENTS AND FORMS

a. National Science and Technology Council, "A Framework for Federal Scientific Integrity Policy and Practice."

b. NASA Guidelines for Promoting Scientific and Research Integrity.

5. RESPONSIBILITY

a. The NASA Deputy Chief Scientist shall:

(1) Serve as the NASA Agency Research Integrity Officer (RIO) and the HQ Center RIO.

(2) Lead an annual internal review to ensure NASA has appropriate scientific and technical integrity standards in place.

(3) Develop, maintain, and ensure public access to the reference handbook, "NASA Guidelines for Promoting Scientific and Research Integrity," available through the NASA Technical Reports Server (NTRS) and issued with the concurrence of the Office of General Counsel (OGC) and the Office of the Chief Health and Medical Officer (OCHMO), Office of Research Assurance (ORA). The handbook outlines NASA's scientific, ethical, and technical integrity policies, protocols, and resources.

(4) Appoint an Agency Deputy RIO and an RIO at each Center.

(5) Work with NASA Mission Directorates, Associate Administrators, NASA Center Directors, the JPL Director, and the heads of other NASA offices to ensure that NASA's workforce and external entities affiliated with NASA research and development are informed of NASA's scientific, ethical, and technical integrity policies and protocols including those for the protection of research subjects.

(6) Refer to the OGC and the Inspector General (IG), and/or OCHMO ORA, as applicable, about any potential conflicts reported to the Office of the Chief Scientist between applicable Federal laws, regulations, and policies (including existing NASA directives and procedural requirements) and the scientific integrity policies of any institutions whose employees are serving as NASA proposal reviewers or research and development funding recipients.

(7) Communicate this policy to the Director of the White House Office of Science and Technology Policy.

(8) Conduct a review of this policy every two years. If amended, the revised policy shall be communicated to the Director of the White House Office of Science and Technology Policy no later than 30 days after adoption.

b. Mission Directorate Associate Administrators, Center Directors, the JPL Director, and the heads of NASA Offices shall:

(1) Assist the Center RIO in implementation of their duties listed below.

(2) Provide guidance to Mission Directorate and/or Center staffs to cooperate with the Center RIO in performance of their duties.

(3) Consult with the Agency RIO in case of a disagreement with the Center RIO.

(4) Develop and maintain processes to ensure that NASA's workforce as well as external entities who review proposals for or receive NASA funding to support research and development projects are informed of and agree to comply with NASA's scientific and technical integrity policies and protocols.

(5) Report all instances of alleged research misconduct to the Center RIO and instances of alleged research misconduct at HQ to the Agency RIO.

c. The Center RIO shall:

(1) Engage proactively with Center staff on research integrity by having regular meetings, maintaining open lines of communication, and reporting any changes in policy or best practices.

(2) Work with organizational leadership, the OGC, the IG, OCHMO ORA, and Agency and Center Ombudsperson to investigate any suspected instances of research and/or scientific misconduct at the Center, as appropriate.

(3) Investigate any suspected instances of research and/or scientific misconduct at the Center.

(4) Evaluate and adjudicate, in coordination with management, as appropriate/required, research integrity allegations at the Center.

(5) Work with management and/or staff to take steps to prevent further misconduct following a reported incident, and to gather and preserve any and all information/data related to the alleged misconduct for the investigation.

(6) Consult with management, the Office of the Chief Human Capital Officer, OCHMO, or other offices as needed on appropriate actions if warranted by an investigation.

(7) Report any possible violations of law or potential conflicts of interest to the OGC and the IG.

(8) Report annually to the Agency RIO regarding any research misconduct at the Center and provide lessons learned.

(9) Assist in future policy development related to the conduct of research.

(10) Inform the Agency RIO, and refer to the OGC and the IG, of any potential conflicts reported between applicable Federal laws, regulations, and policies (including NASA directives and procedural requirements) and the scientific and technical integrity policies of any institutions whose employees are serving as NASA proposal reviewers or research and development funding recipients.

d. Mission Directorate and Center Staff shall:

(1) Fulfill the responsibilities for scientific and technical integrity ascribed to them by applicable Federal laws, regulations, and policies (including NASA directives and procedural requirements), per the NASA handbook, "NASA Guidelines for Promoting Scientific and Research Integrity".

(2) Provide support, as requested, for the Agency RIO-led annual internal review to ensure NASA has appropriate scientific and technical integrity standards in place.

(3) Actively manage or eliminate real or perceived conflicts of interest if they arise.

(4) Report all instances of real or perceived research misconduct to the Center RIO.

e. NASA employees conducting scientific research shall:

(1) Become informed about and comply with NASA's scientific and research integrity policies and protocols, per the NASA handbook, "NASA Guidelines for Promoting Scientific and Research Integrity," available through NTRS.

(2) Actively manage real or perceived conflicts of interest should they arise or recuse themselves from participation.

(3) Actively maintain and promote a safe, inclusive, and robust research and scientific environment that is free from all forms of discrimination.

(4) Report all instances of alleged research misconduct to the Center RIO.

6. DELEGATION OF AUTHORITY

The NASA Administrator may delegate the responsibilities listed in paragraph 5a if no Deputy Chief Scientist or Acting Deputy Chief Scientist is in place.

7. MEASUREMENT/VERIFICATION

The Office of the Chief Scientist's annual review of NASA's scientific integrity policy (NPDs, NPRs) and any new requirements from internal or external stakeholders will determine compliance with this policy. This policy shall be reviewed every two years by the RIOs.

8. CANCELLATION

NPD 1920.1, Scientific Integrity, dated December 12, 2017.

/s/ Bill Nelson
Administrator

ATTACHMENT A. DEFINITIONS

Research Misconduct. Research misconduct means fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results, but does not include honest error or differences of opinion, per the Office of Science and Technology Policy's Federal research misconduct policy, 2000, 65 FR 76260.

Scientific and Research Integrity. Scientific and Research integrity is the adherence to principles of honesty, objectivity, and transparency; professional practices; and ethical behavior when conducting, managing, using the results of, and communicating about science and scientific activities. Inclusivity and protection from inappropriate influence are hallmarks of scientific integrity.

ATTACHMENT B. REFERENCES

B.1 American Innovation and Competitiveness Act of 2017, Pub.L. 114-29, (2017).

B.2 Research Misconduct,14 CFR pt. 1275.

B.3 Federal Policy on Research Misconduct, 65 FR. 76260.

B.4 NPD 1080.1, Policy for the Conduct of NASA Research and Technology.

B.5 NPD 1150, Federal Advisory Committee Act (FACA) Committees.

B.6 NPD 2200.1, Management of NASA Scientific and Technical Information.

B.7 NPR 1080.1, Requirements for the Conduct of NASA Research and Technology Development.

B.8 NPR 2200.2, Requirements for Documentation, Approval, and Dissemination of Scientific and Technical Information.

B.9 NPR 7120.8, NASA Research and Technology Program and Project Management Requirements.

B.10 NPR 8910.1D, Care and Use of Animals.

B.11 NASA Guidebook for Proposers Responding to a NASA Research Funding Announcement.

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None.

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