1. GUIDING PRINCIPLES AND RATIONALE
Integrity and professional conduct are fundamental to scientific advancement. SPIE cannot flourish without the respectful and equitable treatment of all those engaged within its communities. As citizens of the global community of science, professionals in optics and photonics share responsibility for its welfare. The members and constituents of SPIE occupy positions of authority within their fields, and that authority is accompanied by ethical responsibilities.
Integrity in the conception, conduct, and communication of SPIE programs and activities reflects not only on the reputations of individuals and their organizations, but also on the image, reputation, and credibility of SPIE. Failure to uphold ethical principles harms the Society, scientific credibility, the well-being of individuals, and the broader optics and photonics community.
All SPIE members will support the mission of the Society: “SPIE partners with researchers, educators, and industry to advance light-based research and technologies for the betterment of the human condition.”
SPIE derives its authority and strength from its members and expects everyone who participates in an SPIE program or activity to commit to the highest ethical and professional conduct as outlined in The SPIE Code of Conduct (The Code).
SPIE fosters and supports a safe and professional environment to learn, conduct research, and communicate science with integrity, respect, fairness, and trustworthiness. Adherence to The Code holds everyone accountable to promoting ethical behavior and an ethical environment at SPIE events and activities.
The Code of Conduct applies to all SPIE constituents while participating in an SPIE program or activity. SPIE programs and activities include events, publications, awards, honors and recognition, student programs, governance programs, and all appointed, elected, and volunteer positions. SPIE fosters an environment free from harassment and unlawful discrimination at our events, designed to enable information exchange, education, networking, and community building with colleagues in an environment of mutual respect.
2. RESPONSIBILITIES AND EXPECTATIONS AT SPIE EVENTS AND ACTIVITIES
All who participate in SPIE programs and activities are expected to maintain an environment that allows the SPIE community to flourish through respectful, inclusive, and equitable treatment of others, embrace the free expression and exchange of scientific ideas, and promote equality of opportunity and fair treatment for their colleagues.
SPIE constituents must comply with all applicable laws and regulations where SPIE business is conducted and adhere to all SPIE policies.
Expected Behavior
While participating in an SPIE program or activity, SPIE constituents are expected to:
Communications
SPIE constituents have a responsibility to serve the public interest and further advance scientific and technical knowledge. Ensure public comments made in connection with SPIE programs and activities are made with care and accuracy.
Environment
SPIE provides an environment for the optics and photonics community to remain current with developments in their field, learn with and engage others, and maintain and improve expertise. SPIE Constituents are responsible for creating and upholding a safe, open, supportive, and professional environment for learning, conducting, and communicating science and technology with integrity, respect, fairness, and trustworthiness.
SPIE values diverse participation and provides a supportive environment that protects the rights of all people to pursue the advancement of optics and photonics. SPIE will support members of groups that have historically been excluded or discouraged from scientific fields. SPIE does not allow its constituents to engage in unlawful discrimination during SPIE programs and activities. SPIE encourages its constituents to participate in efforts designed to recognize and counteract bias at all SPIE events and activities.
SPIE constituents are expected to treat each other with respect and consideration and create a welcoming, collegial, inclusive, and professional environment.
3. SPIE VOLUNTEER LEADERSHIP RESPONSIBILITIES AND EXPECTATIONS
SPIE recognizes leaders in the optics and photonics community through several mechanisms, including Officers, Directors, and Advisors serving on the SPIE Board, Governance Committee Chairs, Members, and Advisors, Conference chairs and program committee members, SPIE Student Chapter officers, Journal Editors-in-Chief and Associate Editors, SPIE Press Series Editors, and recipients of all SPIE awards and honors.
Volunteer leaders are expected to uphold and promote the Code of Conduct and its foundational principles in all aspects of professional conduct. They shall:
Volunteer leaders are encouraged to create and support opportunities for professional growth and development for other members of the community and promote participation and engagement from all segments of the optics and photonics community.
SPIE reserves the right to revoke or limit the privilege of participating in a leadership role in Society activities. All leadership activities are made at the discretion of the SPIE Board of Directors or Executive Committee within the limits of the Bylaws and applicable law.
4. SPIE CONTENT AND PUBLICATIONS
All who participate in the creation, presentation, and/or publication of content submitted to SPIE, as well as those involved in the review and publication process, are expected to adhere to the Guidelines for Ethical Publishing. Publications include, but are not limited to presentations, books, journals, journal articles, conference proceedings, papers, abstracts, posters, and presentation recordings on SPIE websites (including the Digital Library) as well as in print form.
SPIE publishes materials in service to the global optics and photonics community and will only participate in publication behaviors that are ethical and scientifically rigorous. SPIE is a member of the Committee on Publication Ethics (COPE), the purpose of which is to educate and support editors, publishers, and those concerned with publication conduct: https://publicationethics.org/about/our-organisation
5. ANTI-HARASSMENT POLICY
The SPIE Anti-Harassment Policy can be found here: SPIE Anti-Harassment Policy
6. PROCESS FOR REPORTING, INVESTIGATING COMPLAINTS, AND CONSEQUENCES
This section outlines ways to report potential violations of the SPIE Code of Conduct, the process for evaluating reports, and the consequences for violations.
Any SPIE Constituent can report potential violations of the SPIE Code of Conduct. Anyone experiencing or witnessing behavior that constitutes an immediate threat to someone's personal safety should dial emergency services (911 in the USA). Potential violations should be reported through the following channels:
• SPIE Reporting Hotline: 1-888-818-6898 or spie.ethicspoint.com
• Any current SPIE Officer or Director of the Board
• Any SPIE staff member
• Any Editor-in-Chief or Press Series Editor for publication conduct violations.
It is difficult for SPIE to act on anonymous reports, however, every report will be investigated to the extent possible. SPIE is very sensitive to the potential ramifications of making a report and will maintain the reporter’s confidentiality to the extent consistent with due process and the need to investigate and inform the accused with specificity of the nature of the complaint. SPIE will limit disclosure to investigative bodies and only to the information necessary to ensure proper investigation.
SPIE will not retaliate against those who, in good faith, report behavior that violates The Code. These provisions also apply to those who participate in investigations or other enforcement actions taken to address violations of The Code.
Complaints must be reported within: (i) 60 days of the date of alleged violation; or (ii) 60 days from when discovery of the alleged violation is first made in circumstances where such discovery could not have reasonably been made sooner through no fault of the complainant, whichever is later.
Complaints will be routed to:
• Appropriate senior SPIE staff when immediate action is required, such as event disturbances. Senior SPIE staff are authorized to formulate appropriate remedies to the situation such as warnings or immediate ejection from the event.
• The Publication Conduct subcommittee (publication violations)
• The Audit Committee (financial fraud)
• The CEO (concerns staff or general complaints)
• The Executive Committee (concerns the CEO)
https://spie.org/about-spie/about-the-society/spie-policies-and-reporting
If a violation warrants escalation to a formal investigation, it will be sent to the Executive Committee who will follow the steps listed below.
1. Charges and Evidence: The Executive Committee will solicit charges and evidence from the reporting individuals.
2. Review: The Executive Committee will review the submitted materials and decide whether to move forward or dismiss the charges.
3. Notification: The Executive Committee will notify the accused constituent of the charges against them via registered certified letter and/or encrypted electronic messaging service and provide them 15 days to respond.
4. Rebuttal: If the accused chooses to appeal the preliminary decision, they may do so in writing to the Executive Committee, with any new, contradictory information that may back up their case, including written statements from others.
5. Final Decision and Recommendation: The Executive Committee will evaluate the evidence and make findings of fact on the essential points at issue. This process may include speaking with parties with knowledge of the incident, including the reporting individual, the alleged victim (if different from the reporting individual), any known witnesses, and the alleged offender. SPIE may seek other legal or professional counsel as needed prior to recommending a decision and any follow-up actions. The Executive Committee will vote on the decision, they will consider and vote separately on any action to be taken. Revocation of membership requires approval by a two-thirds vote of the SPIE Board.
6. Notification and Action: The CEO will notify the accused constituent, all reporting parties, and any alleged victims of the decision made by the Executive Committee, including any consequences, via commercial courier.
SPIE may take disciplinary action in response to a violation of the Code of Conduct, including suspension or ejection from an SPIE activity or event without warning, refund, or recompense; banning from future SPIE events; revocation of SPIE awards and honors; termination of SPIE membership; contacting the violator's employer; or filing a report with law enforcement.
SPIE will not take any retaliatory action against anyone for raising a good faith conduct concern, for making a good faith report of a potential violation of the Code of Conduct, or assisting or cooperating in an investigation into a possible violation. Individuals who believe they have been retaliated against in violation of this provision or who have witnessed or know of such retaliation should report this information to the SPIE President or the SPIE Reporting Hotline: 1-888-818-6898.
Constituents found in violation of the Code of Conduct may bring their concerns to the SPIE President.
Appendix A: Process for Policy Changes and Governing Body
Changes to the Code of Conduct can only be made by a majority vote of the SPIE Board of Directors.