NOAA's Policy on Conflicts of Interest for Peer Review

National Oceanic and
Atmospheric Administration
U.S. Department of Commerce

NOAA Conflict of
Interest Policy for NonGovernment Peer
Reviewers of Influential
Scientific Information
Introduction
In December 2004, the White House Office of Management and Budget (OMB)
issued a Final Information Quality Bulletin for Peer Review (Bulletin) establishing
minimum peer review standards, a transparent process for public disclosure of
peer review planning, and opportunities for public participation.  The OMB
Bulletin, implemented under the Information Quality Act (Public Law 106-554), is
intended to enhance the quality and credibility of the federal government’s
scientific information, and applies to influential scientific information disseminated
on or after June 16, 2005. 
The Bulletin directs federal agencies to adopt or adapt the National Academy of
Sciences’ (NAS) policy for committee selection with respect to evaluating conflicts
of interest when [Note 1] selecting peer reviewers who are not federal

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government employees.[Note 2] The National Oceanic and Atmospheric
Administration (NOAA) has adapted the NAS conflict of interest policy as set forth
below.
Conflict of Interest Policy
It is essential that individuals serving as peer reviewers of influential scientific
information or highly influential scientific assessments that NOAA intends to
disseminate not be compromised by any significant conflict of interest.  For this
purpose, the term "conflict of interest" means any financial or other interest
which conflicts with the service of the individual on the review panel because it
(1) could significantly impair the individual's objectivity or (2) could create an
unfair competitive advantage for any person or organization.  Except for those
situations in which NOAA determines that a conflict of interest is unavoidable and
promptly and publicly discloses the conflict of interest, no individual can be
appointed to review documents subject to the OMB Bulletin if that individual has a
conflict of interest that is relevant to the functions to be performed. 
General Principles
Involves an Interest
The term "conflict of interest" means something more than individual bias.  There
must be an interest, ordinarily financial, that could be directly affected by the work
of the peer reviewers. 
Conflict of interest requirements are objective and preventive.  They are not an
assessment of one's actual behavior or character, one's ability to act objectively
despite the conflicting interest, or one's relative insensitivity to particular dollar
amounts of specific assets because of one's personal wealth.  Conflict of interest
requirements are objective standards designed to eliminate certain specific,
potentially compromising situations from arising, and thereby protect the
individual, other peer reviewers , NOAA, and the public interest.  The individual,

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the other peer reviewers, and NOAA should not be placed in a situation where the
findings and conclusions of a review could be reasonably questioned, and perhaps
discounted or dismissed, simply because of the existence of conflicting interests.
Applies Only to Current Interests
The term "conflict of interest" applies only to current interests.  It does not apply to
past interests that have expired, no longer exist, and cannot reasonably affect
current behavior.  Nor does it apply to possible interests that may arise in the
future but do not currently exist, because such future interests are inherently
speculative and uncertain.  For example, a pending formal or informal application
for a particular job is a current interest, but the mere possibility that one might
apply for such a job in the future is not a current interest.
Potentially Affects the Interests of Others
The term "conflict of interest" applies not only to the personal financial interests of
the individual but also to the interests of others with whom the individual has
substantial common financial interests if these interests are relevant to the
functions to be performed.  Thus, in assessing an individual's potential conflicts of
interest, consideration must be given not only to the interests of the individual but
also to the interests of the individual's spouse and minor children, the individual's
employer, the individual's business partners, and others with whom the individual
has substantial common financial interests.  Consideration must also be given to
the interests of those for whom one is acting in a fiduciary or similar capacity (e.g.,
being an officer or director of a corporation, whether profit or nonprofit, or serving
as a trustee).
Covers a Broad Range of Financial Interests
The term “conflict of interest” as used herein ordinarily refers to financial conflicts
of interest.  In assessing potential conflicts of interest in connection with an
individual’s service as a peer reviewer, particular attention will be given to the
following kinds of financial interests if they are relevant to the functions to be
performed:

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Employment relationships (including private and public sector employment
and self-employment).
Consulting relationships (including commercial and professional consulting
and service arrangements, scientific and technical advisory board
memberships, and serving as an expert witness in litigation).
Stocks, bonds, and other financial instruments and investments including
partnerships.
Real estate investments; patents, copyrights, and other intellectual property
interests.
Commercial business ownership and investment interests.
Service provided in exchange for honorariums and travel expense
reimbursements.
Research funding and other forms of research support.
Financial ties to entities regulated by NOAA, other stakeholders and NOAA
itself.
Limits Access to Confidential Information
During the course of peer review activity for NOAA, the opportunity to have access
to confidential information, if abused or misused, may confer an unfair competitive
advantage.  If an individual during the course of participating in a peer review for
NOAA obtains and uses, or intends to use, confidential information not reasonably
available to the public for the individual’s own direct and substantial economic
benefit, such conduct constitutes a conflict of interest.  The same rule applies if the
individual discloses, or intends to disclose, such information (albeit lawfully) to
other individuals or to organizations in such a manner that a direct and substantial
economic benefit may be conferred on such individuals or organizations.  These
restrictions do not apply to information once it has entered the public domain.
In some situations – for example, access to confidential or proprietary information,
– special limitations on access to and use of such information will be imposed.
 Substantial legal penalties may apply for noncompliance.
addition,this
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individual employed by or associated with a particular organization or enterprise
should not be given access to proprietary information of a competitor or potential
competitor unless appropriate safeguards have been established that reasonably
protect the interests of all parties.  Otherwise, such access may create an unfair
competitive advantage, as well as possible liability for improper disclosure and
use.  For further guidance regarding access to confidential information, contact the
NOAA Office of the General Counsel.
Limits Reviews of One’s Own Work
It is not uncommon for individuals serving as peer reviewers to find that their own
published and professional work, in common with others in the field, is part of the
technical basis and literature for the information being reviewed.  This ordinarily
would not constitute a conflict of interest.  However, an individual should not
serve as a peer reviewer when a critical review and evaluation of the individual’s
own work, or that of his or her immediate employer, is a central purpose of the
review, because that would constitute a conflict of interest, although such an
individual may provide relevant information to the peer reviewers.
Public Statements and Positions
An individual may have become committed to a fixed position on a particular issue
through public statements (e.g., testimony, speeches, interviews), through
publications (e.g., articles, books), through close identification or association with
the positions or perspectives of a particular group, or through other personal or
professional activities.  This would ordinarily constitute a potential source of bias
but not a conflict of interest.  However, in situations where there is some
significant, directly related interest or duty of the individual – e.g., where the
individual is currently president of a professional society that espouses the same
fixed position on the issue – the situation may constitute a conflict of interest. 
Implementation of this Conflict of Interest Policy
Requires Background Information and Confidential Conflict of Interest
Disclosures

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To address questions of conflict of interest, individuals selected to perform peer
review of scientific information subject to the OMB Bulletin are required to submit
certain background information and information regarding conflicts of interest to
NOAA (or the entity commissioned by NOAA to manage the peer review process)
for review.  NOAA has developed a “Background Information and Confidential
Conflict of Interest Disclosure” form for this purpose.
The disclosure of relevant information is a continuing obligation for the duration of
the peer review process for which the “Background Information and Confidential
Conflict of Interest Disclosure” form was prepared.  If during an individual’s period
of service as a peer reviewer it becomes apparent to the individual that there has
been a change in the information disclosed, or that there is new information that
needs to be disclosed, such information must be reported promptly to NOAA or
the entity commissioned by NOAA to manage the peer review process.
Except as otherwise provided herein, specific conflict of interest information
obtained by NOAA, or the entity commissioned by NOAA to manage the peer
review process, from the “Background Information and Confidential Conflict of
Interest Disclosure” form, from amended disclosures, and from the public and
other sources will be held in confidence by NOAA.  Access to such information
within NOAA will be limited to those offices whose proper business requires
access to that information.  Such information will not be released by NOAA, or the
entity commissioned by NOAA to manage the peer review process, except with
the approval of the individual to whom the information pertains, unless release is
required by law.
Requires Public Notice
For peer reviews of information subject to the OMB Bulletin, NOAA will disclose
the names of the reviewers and their affiliation in a report of findings and
conclusions prepared by the peer reviewers.  The report will be posted on the
Department of Commerce Information Quality web site
(http://www.osec.doc.gov/cio/oipr/info_qual.html).  For peer review of highly

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influential scientific assessments, the report will also include the credentials and
relevant experiences of each peer reviewer.  Reviewers shall be notified in advance
regarding the extent of disclosure and attribution planned by the agency.   
Uses Background Information to Make Determinations on Conflicts of Interest
Information obtained from the “Background Information and Confidential Conflict
of Interest Disclosure” forms and from other sources, including the public, will be
used by NOAA in addressing and resolving questions of conflict of interest.
 Except for those situations in which the agency determines that a conflict of
interest is unavoidable and promptly and publicly discloses the conflict of interest,
no individual can be appointed to serve (or continue to serve) as a peer reviewer
for NOAA of information subject to the OMB Bulletin if the individual has a conflict
of interest that is relevant to the peer review to be performed.
A particular individual’s conflict of interest may be determined to be unavoidable
if, for example, the individual’s qualifications, knowledge, and experience are
particularly valuable to the peer review in question and the agency is unable to
identify another individual with comparable qualifications, knowledge, and
experience who does not also have a conflict of interest.  Determinations that a
conflict of interest exists and that a conflict of interest is unavoidable are made
jointly by the NOAA office managing the peer review (or commissioning the entity
to manage the peer review) and the NOAA General Counsel’s office.
Notes:
Note 1: The NAS Policy on Committee Composition and Balance and Conflicts of
Interest can be found at: http://www.nationalacademies.org/coi/index.html. Back to
text.
Note 2: Peer reviewers who are federal employees must comply with applicable
federal ethics requirements.  Back to text.                                                              

Last updated November 5, 2021

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