1. Purpose and Scope. The USGS has a unique legacy as the producer of long-term datasets for multiple uses, many of which are geographically extensive. The value of these datasets is dependent on USGS scientists describing and documenting the methods used to collect data and making these data accessible in information products. Proper documentation and broad dissemination ensure that USGS data and research can be interpreted appropriately, carry with them appropriate metadata, and meet the highest scientific standards of excellence.

This chapter establishes policy for planning and conducting data collection and research to ensure that scientific goals are achievable and are appropriate to the mission of the USGS, methods proposed have a reasonable likelihood of achieving the desired results, and, where appropriate, methods conform to accepted standards and procedures.

2. References.

A. SM 502.1 - Fundamental Science Practices: Foundation Policy
B. SM 502.3 - Fundamental Science Practices: Peer Review
C. SM 502.4 - Fundamental Science Practices: Review, Approval, and Release of Information Products
D. Bureau Program Planning Web site (internal only)
E. 432-1.S1 - USGS General Records Disposition Schedule
F. USGS, Guidelines for Ensuring the Quality of Information Disseminated to the Public
G. SM 500.20 - Cooperative Research and Development Projects with Private Sources

3. Definitions.

A. Documentation. Data collected for publication in databases or reports, regardless of the manner in which they are published (such as USGS reports, journal articles, and Web pages) must be documented to describe the methods or techniques used to collect, process, and analyze data (this requirement includes computer modeling software and tools produced by USGS); the structure of the output; description of accuracy and precision; standards for metadata; and methods of quality assurance. This documentation can be embedded in the information product or references provided to other published works.

B. Metadata. Documentation of data that describes how, when, and by whom a particular set of data were collected and how the information is formatted. Established national and international metadata standards should be used; for example, those for geospatial data of the Federal Geographic Data Committee (see http://www.fgdc.gov).

C. Project. Defined by the Bureau Program Planning process as a body of work that is tailored to fit a well-defined scientific problem or support function that is focused on a specific subject, issue, and/or geographic region. A project should be of manageable size; have a well-constructed work plan or set of work plans (including staffing, budget, and objectives); consist of a set of interrelated tasks that support the defined problem or function; and have specific goals, measures, and well-defined outcomes. Projects may have more than one funding source. Financial data for projects are recorded in the Federal Financial Systems in one or more accounts. This definition also applies to administrative support services. Projects and their descriptions are entered into the current established project planning system.

D. Proposal. A detailed description of the problem, what issues will be addressed, interested parties or stakeholders, and objectives of the study; a proposal may include a work plan(s). In some instances a proposal is preceded by a "pre-proposal" that briefly (1-3 pages) describes an idea for possible work, including a statement of the problem and why it should be addressed, who has an interest in this problem or the result of the work, and how the problem might be addressed. Approval is handled through the Bureau planning process.

E. Work Plan. Documents the timeline for the study, lists the discrete tasks that need to be completed to accomplish the objectives, and describes the relationship of discrete tasks to one another, the methods to be used (how they can be explained and defended, including exploring differences in performance, comparability of results, and so on), budget for the study, staffing of the study, anticipated information products and the review and approval process for these products , and the process for managing and archiving scientific records. A work plan can be a component of a proposal that is handled through the Bureau planning process.

4. Policy. USGS data collection and research activities are governed by work plans that are reviewed by appropriate experts and approved at some level higher than the project chief, generally by the Science Center (Cost Center) Manager or equivalent. This policy represents the minimum requirements for a work plan, which can be a component of a proposal that is handled through the Bureau planning process. Individual organizational units may implement more stringent requirements as they deem necessary. In approving work plans, responsible officials ensure the following:

A. Data collection and research activities are carried out in a consistent, objective, and replicable manner that has been vetted through a vigorous and open process of peer review to ensure that the best possible results are achieved and that there are no weaknesses or errors in data or conclusions (see SM 502.3).

B. Standard USGS methods are employed for distinct research activities that are conducted on a frequent or ongoing basis and for types of data that are produced in large quantity. Methods must be documented to describe the performance of the method and the quality assurance procedures applied. When scientific reason justifies the use of alternative or experimental methods, such methods are documented (see Documentation) and the rationale for their use is clearly stated. The establishment and publication of standard USGS methods should be based on a collaborative process with the relevant Associate Director(s) as final authority.

C. Methods and techniques used to conduct data collection and research activities are published in information products (see SM 1100.1 and SM 1100.3) that are easily accessed and are available in a manner that enhances the scientific reputation of the Bureau and best serves the whole public, rather than the interest or benefit of any special group, corporation, or individual, exclusive of information developed through Cooperative Research and Development or Technical Assistance Agreements that may be protected from dissemination for up to 5 years (see SM 500.20).

D. Data collected by the USGS and techniques used by USGS scientists should utilize or reference national and international standards and protocols where they exist and when they are relevant and appropriate. For datasets of a given type, and where national or international metadata standards exist, these data are indexed with metadata that facilitates access and integration.

E. Anticipated information products that will result from the work are explicitly discussed and, in the instance of products where scientists from multiple USGS offices will be coauthors, the question of how products will be peer reviewed is addressed, making clear the mechanism that will ensure the right mix of disciplinary perspectives and through which organizational alignment, generally that of the senior USGS author, information products will be approved (SM 502.3 and SM 502.4).

5. Responsibilities. Planning and conducting data collection and research in the USGS is the inherent responsibility of every individual engaged in these activities on behalf of the USGS. Specific responsibilities in establishing and executing this policy are defined as follows:

A. Associate Directors. Associate Directors set policy for the planning and conduct of USGS science and have final authority for the establishment and publication of standard USGS methods.

B. Regional Directors. Regional Directors execute the policies and practices detailed in this chapter and are accountable for the compliance of those within their line authority.

C. Science Center Managers. Science Center (Cost Center) Managers or their equivalent approve work plans. Managers consult with one another regarding multiorganization information products that may be produced and how these products will be reviewed and approved.

D. Project Scientists. USGS scientists develop work plans before beginning a project that are consistent with this policy and its definitions, are reviewed by appropriate experts, and are approved at some level higher than the project chief.

E. Geospatial Information Office. The Geospatial Information Office maintains the policy documents and procedures that pertain to USGS Fundamental Science Practices.