SPIE policies and reporting

SPIE has established a confidential reporting system for all meeting participants to raise concerns about possible unethical or inappropriate behavior within our community. Complaints may be filed by phoning toll-free to +1-888-818-6898 from within the United States and Canada or by using the form at www.spie.ethicspoint.com.

When at an SPIE event, you may contact any SPIE staff with concerns. If you feel that you are in immediate danger, please dial the local emergency number for police intervention.

Effective Date: 7 December 2018
Supersedes: 15 October 2013

Scope

This policy applies to everyone who participates in SPIE activities; all employees, participants at SPIE events, and people who serve in a volunteer capacity for SPIE, including without limitation, any board member, conference or committee chair, and instructor.

It is SPIE policy that all employees, volunteers, and participants are entitled to respectful treatment. Any form of bullying, discrimination, harassment, sexual or otherwise, is unacceptable and will not be tolerated. This policy applies to all locations and situations where SPIE business is conducted and to all SPIE-sponsored activities and events.

The Board of Directors and SPIE management expect all individuals to be treated with respect and dignity and will not tolerate any form of harassment based on age, gender or gender orientation, sexual orientation, marital status, religion, disability, veteran status, genetic information, national origin, or race. SPIE will not tolerate harassment of, or retaliation against, individuals who take actions to report, oppose or correct behavior that violates this policy or who participate in investigations or other enforcement actions by state or federal agencies charged with enforcing anti-discrimination laws.

Definitions

• Bullying is the ongoing abuse and intentional mistreatment of one or more vulnerable persons or groups by a more powerful individual or group. Bullying consists of repeated verbal (name-calling, verbal attacks), physical (use of physical force or aggression), and/or social behavior (ostracism, exclusion, spreading rumors) that causes physical or psychological harm or interferes with the person's ability to participate in SPIE activities. Being "more powerful" may include being physically bigger or stronger, having more social status, or having influence over someone's employment or professional advancement.
• Discrimination is the unjust or prejudicial treatment of categories of people based on personal attributes such as age, gender or gender orientation, sexual orientation, marital status, religion, disability, veteran status, genetic information, national origin, or race.
• Harassment consists of unwanted, unwelcomed, and uninvited behavior that demeans, threatens, or offends another and results in a hostile environment. Harassing behavior includes, but is not limited to, the use of epithets, derogatory comments or slurs, assault, stalking, impeding or blocking movement, threats of violence, offensive touching, any physical interference with normal work or movement, and visual insults, such as derogatory images, posters, or cartoons. Harassment is often (but not always) based upon personal attributes such as age, gender or gender orientation, sexual orientation, marital status, religion, disability, veteran status, genetic information, national origin, or race.
• Sexual harassment consists of harassing behavior based upon sex, gender, or sexual orientation. Sexual harassment includes unwelcome sexual advances, requests for sexual favors, lewd comments or images, or other verbal, visual or physical conduct of a sexual nature where such conduct creates an unreasonable, intimidating, hostile, or sexually offensive environment and may interfere with the target's professional performance.
• Retaliation consists of negative action or treatment towards someone who has reported bullying, discrimination, or harassment or participated in the investigation of such report. Retaliation may include terminating or demoting a reporting employee, excluding a reporting individual from work or professional activities, injuring a reporting individual's professional or personal reputation, or unjustly demeaning a reporting individual's work. Retaliation can be used as a method of bullying or harassment, but more importantly retaliation creates an environment that discourages victims and bystanders from reporting offensive behavior and is prohibited. Examples of tangible actions include, but are not limited to, hiring, firing, promotion, demotion, reassignments involving a substantial decrease in responsibilities or opportunities for promotion, advancement or compensation.

Personal responsibility

Individuals may be unaware that their conduct is offensive and are often willing to correct their behavior if so informed. If you experience or witness bullying, discrimination, or harassment, and feel empowered to do so, you are encouraged to immediately inform the individual that their comments or behavior are unwelcome.

However, SPIE understands that direct communication is not possible or advisable in every situation. Please note that you are not required to directly address or confront a person engaged in offensive behavior. If you do not feel comfortable addressing the violator, or if the violator continues the behavior after being advised that their conduct is unwelcome, you should report the incident.

You are also encouraged to write down as many relevant details as you can recall (e.g., names, dates, times, locations, behavior or statements made, etc.), which can be helpful in investigation of the incident.

Management responsibility

SPIE directors, supervisors, Board Members, and conference and committee chairs have a heightened responsibility to monitor the work environment and behavior of employees, members and volunteers for compliance with this policy, and to report inappropriate behavior, cooperate with the investigation, and provide input when appropriate. SPIE management must investigate allegations of bullying, discrimination or harassment, take appropriate disciplinary action, and ensure steps are taken to assure retaliation does not occur.

Reporting procedure

1. An individual who believes they have been the object of, have observed, or know of conduct violating this policy, is encouraged to promptly report the incident(s) to the human resources director, director of administration, CEO, COFO, the SPIE president, or if onsite at an SPIE event, report to any SPIE staff member. Incidents may also be reported by calling the 24-hour SPIE reporting hotline at 1-888-818-6898 or online at www.spie.ethicspoint.com.
2. It is difficult for SPIE to act on anonymous reports of bullying, discrimination, or harassment, however they will still be investigated to the extent possible. SPIE is very sensitive to the potential ramifications of making a report and will maintain your confidentiality to the extent possible except where doing so would compromise another person's rights or the SPIE ability to conduct a thorough investigation. In such cases, SPIE will limit disclosure only to that information necessary to ensure proper investigation and compliance with procedures.
3. Upon receiving a report of misconduct, SPIE will conduct a prompt, thorough investigation, which will include speaking with all 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.
4. An investigation will be led by the SPIE director of human resources, working in conjunction with the CEO, COFO, and/or the SPIE president. SPIE may seek other legal or professional counsel as needed prior to recommending a decision and any follow-up actions.
5. SPIE employees asked to participate in investigations will be informed of the confidentiality requirements for the circumstances of each investigation. Employees who violate directions regarding confidentiality will be subject to disciplinary action.

Disciplinary action

1. SPIE may take any disciplinary action it deems appropriate in response to a violation of this policy, which may include suspension or ejection from an SPIE activity or event without refund or recompense or, for SPIE employees, disciplinary action up to and including termination of employment. Serious or repeated offenses may result in more significant consequences such as being banned from participation in future SPIE events or volunteer activities, contacting the violator's employer, termination of SPIE membership or employment, filing a report with law enforcement, etc. as applicable.
2. If the claimant or the person about whom the complaint was made, is not satisfied with the handling of a report or action taken, they should bring their concerns to the attention of the president of SPIE.

No retaliation will be taken or tolerated against anyone who makes a good faith report of bullying, discrimination, or harassment to SPIE. 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 director of human resources, director of administration, CEO, COFO, the SPIE president, or if onsite at an SPIE event, report to any SPIE staff member. Incidents may be reported by calling the 24-hour SPIE reporting hotline at +1-888-818-6898 or online at www.spie.ethicspoint.com. Any reports of retaliation will be investigated similarly to complaints of harassment.

Individuals have the right to report conduct which they believe violates federal or state anti-discrimination laws to governmental agencies who are charged with enforcing such laws. Individuals have 300 days from the date the conduct occurred to file a charge with the Equal Employment Opportunity Commission (federal) or six months to file a charge with the Washington State Human Rights Commission (state).

For any question about this policy please contact the SPIE Human Resource Director, Sarah Wills, sarahw@spie.org.

SPIE is committed to providing a harassment- and discrimination-free experience for everyone at our events, an experience that embraces the richness of diversity where participants may exchange ideas, learn, network, and socialize in the company of colleagues in an environment of mutual respect.

SPIE does not tolerate harassment of event participants, attendees, exhibitors, speakers, volunteers, contractors, service providers, venue staff, or SPIE staff. This code of conduct applies to all SPIE meeting-related events, including those sponsored by other organizations but held in conjunction with SPIE events, in public or private facilities.

In addition, SPIE Members and authors of SPIE publications must adhere to the SPIE guidelines for ethical publishing.

Expected behavior

• Treat everyone with respect and consideration, valuing a diversity of views and opinions Be mindful of your surroundings and of your fellow participants
• Alert SPIE staff if you notice a dangerous situation, someone in distress, or someone being harassed

Unacceptable behavior

• Physical or verbal abuse of any kind
• Unwanted sexual advances, jokes, or comments
• Other examples of unacceptable behavior include, but are not limited to, unwelcome slurs, jokes or verbal, graphic, or physical conduct relating to an individual's race, color, religious creed, sex, national origin, ancestry, citizenship, age, gender or sexual orientation; verbal comments or electronic communication that reinforces social structures of domination (such as related to gender, gender identity and expression, sexual orientation, disability, physical appearance/size, race, age, religion, nationality) or other offensive, non-inclusive remarks; and deliberate intimidation, stalking or following others, verbal abuse, aggressive verbal confrontations, and threats of violence and disruptive behavior
• Disruption of talks at oral or poster sessions, in the exhibit hall, or at other events organized by SPIE at the meeting venue, hotel or other SPIE-contracted facilities including those sponsored by other organizations but held in conjunction with SPIE events, in public or private facilities

Consequences

• SPIE staff or venue security guards may take any action deemed necessary and appropriate, including immediate removal from the meeting without warning or refund
• SPIE reserves the right to prohibit attendance at any future meeting

Reporting unacceptable behavior

• If you experience or witness inappropriate behavior, please notify any SPIE staff. If you are unsure whom to contact, go to the Cashier Desk and someone can assist you.
• Or contact the SPIE reporting hotline at 1-888-818-6898 or report online at www.spie.ethicspoint.com
• Anyone experiencing or witnessing behavior that constitutes an immediate threat to someone's personal safety should dial emergency services (911 in the US)

Updated 1 January 2019

Professional behavior

1. Individuals agree to abide by SPIE anti-harassment policy and meetings code of conduct.
2. Real and potential conflict of interest should be avoided and disclosed to all impacted parties when it cannot be avoided.
3. Public statements should be realistic and issued in an objective and truthful manner based on available data.
4. Professional confidentiality should be maintained.
5. Accomplishments, publications, professional honors and titles should be accurately reported.

Research results
The results of research should be recorded and maintained in a form that allows analysis and review. Research data should be immediately available to scientific collaborators. Following publication, the data should be retained for a reasonable period in order to be available promptly and completely for appropriate scientific review. Exceptions may be appropriate in certain circumstances in order to preserve privacy, to assure patent protection or for similar reasons. Fabrication of data or selective reporting of data with the intent to mislead or deceive is an egregious departure from the expected norms of scientific conduct, as is the theft of data or research results from others.

Publication and authorship practices
Authorship should be limited to those who have made a significant contribution to the concept, design, execution or interpretation of the research study. All those who have made significant contributions should be offered the opportunity to be listed as authors. Other individuals who have contributed to the study should be acknowledged, but not identified as authors. The sources of financial support for the project should be disclosed.

Plagiarism constitutes unethical scientific behavior and is never acceptable. Proper acknowledgment of the work of others used in a research project must always be given. Further, it is the obligation of each author to provide prompt retractions or corrections of errors in published works.

All collaborators share some degree of responsibility for any paper they coauthor. Some coauthors have responsibility for the entire paper as an accurate, verifiable, report of the research. These include, for example, coauthors who are accountable for the integrity of the critical data reported in the paper, carry out the analysis, write the manuscript, present major findings at conferences, or provide scientific leadership for junior colleagues.

Coauthors who make specific, limited, contributions to a paper are responsible for them, but may have only limited responsibility for other results. While not all coauthors may be familiar with all aspects of the research presented in their paper, all collaborations should have in place an appropriate process for reviewing and ensuring the accuracy and validity of the reported results, and all coauthors should be aware of this process. Every coauthor should have the opportunity to review the manuscript before its submission. All coauthors have an obligation to provide prompt retractions or correction of errors in published works. Any individual unwilling or unable to accept appropriate responsibility for a paper should not be a coauthor.

Collaborations are expected to have a process to archive and verify the research record; to facilitate internal communication and allow all authors to be fully aware of the entire work; and respond to questions concerning the joint work and enable other responsible scientists to share the data. All members of a collaboration should be familiar with, and understand, the process. It should be recognized that honest error is an integral part of the scientific enterprise. It is not unethical to be wrong, provided that errors are promptly acknowledged and corrected when they are detected.

Peer review
Peer review provides advice concerning research proposals, the publication of research results and career advancement of colleagues. It is an essential component of the scientific process.

Peer review can serve its intended function only if the members of the scientific community are prepared to provide thorough, fair and objective evaluations based on requisite expertise. Although peer review can be difficult and time-consuming, scientists have an obligation to participate in the process. Privileged information or ideas that are obtained through peer review must be kept confidential and not used for competitive gain.

Reviewers should disclose conflicts of interest resulting from direct competitive, collaborative, or other relationships with any of the authors, and avoid cases in which such conflicts preclude an objective evaluation.

Conflict of interest
There are many professional activities of scientists and engineers that have the potential for a conflict of interest. Any professional relationship or action that may result in a conflict of interest must be fully disclosed.

When objectivity and effectiveness cannot be maintained, the activity should be avoided or discontinued.

Definitions

Plagiarism
SPIE defines plagiarism as the reuse of someone else's prior ideas, processes, results, or words without explicit attribution of the original author and source. Unauthorized use of another researcher's unpublished data or findings without permission is considered to be a form of plagiarism even if the source is attributed. SPIE considers plagiarism in any form, at any level, to be unacceptable and a serious breach of professional conduct.

Disputes about authorship
SPIE considers it the professional responsibility of all authors to ensure that the authorship of submitted papers properly reflects the contributions and consent of all authors. Proper authorship representation is generally a matter for the involved parties to resolve.

Duplicate submission
SPIE does not allow or sanction duplicate or concurrent submissions of a paper to more than one peer-reviewed journal. SPIE journal guidelines state explicitly that "papers should describe the original work of the authors that has not been previously published in a refereed journal and is not currently under consideration for publication elsewhere." Duplicate submission abuses the resources of all affected journals, including the valuable time of editors, reviewers, and staff, and is unprofessional and unacceptable.

Duplicate publication
Duplicate publication in more than one peer-reviewed journal, which may be verbatim publication or publication of essentially the same paper, is a serious breach of professional conduct with potentially severe ethical and legal consequences. Prior publication or preliminary publication in a conference proceedings or similar publication or research report is allowed by SPIE provided that information is disclosed to the journal editor and the submission complies with SPIE copyright and journal submission policies.

Fabrication or misrepresentation of data or results
Fabrication of data or selective reporting of data with the intent to mislead or deceive is an egregious departure from the expected norms of scientific conduct, as is the theft of data or research results from others. SPIE considers any incidence of fabrication or misrepresentation to be an extremely serious breach of professional conduct, with potentially severe ethical and legal consequences.

Inquiry and investigation

Discovering possible misconduct
There are several ways that SPIE may learn about incidences of possible publishing misconduct, either before or after publication of a work, including discovery as part of the publication review process, receipt of a direct communication alleging publication misconduct, or discovery in the course of internal review and preparation. Readers or authors who report allegations of misconduct should provide as much detail as possible, including copies of papers or documentation, known background information, etc. Anonymous allegations may not be considered. Unsubstantiated or frivolous complaints will not be considered.

Basic principles
If the editor and/or staff of an SPIE publication learns that an author may have acted improperly, which may include but is not limited to any of the circumstances defined above, then the editor and/or staff shall initiate an investigation of the alleged misconduct.

• All inquiries will be handled promptly and fairly.
• All parties connected to the allegation will be given the opportunity to respond.
• Appropriate confidentiality will be maintained.

SPIE Publication Ethics Committee
The SPIE Publications Ethics Committee is responsible for developing and monitoring policies and guidelines related to publishing ethics, advising journal editors and staff in matters pertaining to possible violations, and assisting with investigations of alleged violations.

Investigating/enforcing body
The body responsible for investigating/enforcing publishing misconduct may be the editor of the journal or conference proceedings, the SPIE Publication Ethics Committee, the chair of the SPIE Publications Committee, the SPIE CEO, the SPIE director of publications, or any combination of the above, depending on the publication(s) involved and the nature of the allegation. SPIE will determine the appropriate investigating/enforcing body.

Investigative process
The investigative process depends on the type of allegation and how it is discovered. Various information gathering and review steps may be taken, such as appointment of an independent review committee. In such cases it may be necessary to disclose specific details of the matter to other parties. In all cases every effort will be made to keep details of the investigation confidential to those involved and those with a need to know.

In all cases, the concerned parties will be informed of the allegation and given an opportunity to respond within 14 days. If no response is received within that time, a decision may be rendered based on known information. Additional steps may be taken at the discretion of the investigating/enforcing body. The following sections give general guidelines related to an investigation of each type of misconduct defined above. Each case is unique and therefore may require a unique approach, as determined by the investigating/enforcing body.

Plagiarism: Plagiarism may be discovered by an author or researcher whose work has been plagiarized or published without consent, by a third party who is familiar with a prior work such as a reviewer or a reader, or by an editor. In cases alleging plagiarism, the investigating/enforcing body will obtain source documents and testimony and determine the validity of the allegation and extent of plagiarism. There are varying degrees of plagiarism warranting different consequences and corrective action, listed below from most to least serious:

1. Verbatim or nearly verbatim copying or translation of a full paper(s), or the verbatim or nearly verbatim copying or translation of a significant portion(s) of another paper(s).
2. Disclosing unpublished data or findings without permission, even if attributed.
3. Uncredited verbatim or nearly verbatim copying or translation of individual elements of another paper(s).
4. Uncredited paraphrasing of pages or paragraphs from another paper(s).
5. Credited verbatim copying or translation of a major portion of a paper without clear delineation (e.g., quotes or indents)

The degree of corrective action will be commensurate with the degree of plagiarism.

Disputes about authorship: The investigating/enforcing body will encourage the concerned parties to resolve the dispute themselves. If the matter is not resolved in this way, the investigating/enforcing body will evaluate the claim to determine whether the matter is within or outside SPIE's purview and an appropriate course of inquiry and investigative action.

Duplicate submission: If duplicate submission to a peer-reviewed journal is suspected or discovered at any time between submission and publication of a paper, the investigating/enforcing body will attempt to contact the other publication(s) to which the paper has been submitted or published to verify the occurrence of duplicate submission and to inform the editor of the other journal(s). If duplicate submission is confirmed, the paper will be immediately rejected. Additional sanctions may be warranted. An attempt will be made to coordinate corrective actions with the editor(s) of the other publication(s).

Duplicate publication: If duplicate publication in peer-reviewed journals is suspected, the investigating/enforcing body will confirm this by assessing the similarity and determining the paper's publication history. An attempt will be made to coordinate corrective actions with the editor(s) of the other publication(s).

Fabrication or misrepresentation of data or results: Investigations of this type of alleged or suspected misconduct require significant expertise and due diligence and also may have serious legal implications in addition to scientific implications. The investigation may involve the SPIE president and Executive Committee and may result in legal action.

Consequences and corrective actions
If a finding of misconduct is determined, SPIE shall initiate corrective and/or disciplinary actions. The investigating/enforcing body will notify the individual(s) that corrective and/or disciplinary actions are being reviewed by SPIE. The named individual(s) shall be given the opportunity to respond within 30 days to the recommended corrective and/or disciplinary actions.

There are several possible corrective and/or disciplinary actions. Depending on the degree of misconduct, one or all may be applied:

• Notice of violation in the appropriate publication
• Publication of an erratum
• Removal of a published paper from the SPIE Digital Library with notice of reason
• Rejection and return of papers in review and publication queues
• Prohibition from publishing in the specific publication or any SPIE publication for a period of time commensurate with the severity of misconduct and prior history of the author(s)
• Prohibition from other forms of participation with SPIE
• Repeat offenders subject to increased penalty

No later than 90 days after notifying the individual(s) named in the recommendation, SPIE will issue a final determination of corrective and/or disciplinary action(s) to be taken.

Use of human subjects and animals
SPIE expects journal authors to observe internationally accepted principles and practices related to the ethical conduct of research involving the use of human subjects or animals. A brief statement must be included in the manuscript identifying the institutional oversight or licensing body that approved the studies. For studies involving human subjects, a statement must also be included confirming that informed consent was either obtained from all subjects or this requirement was waived by the oversight body.

Committee on Publication Ethics (COPE)
SPIE is a member of the Committee on Publication Ethics (COPE). About COPE (https://publicationethics.org/about): "COPE is committed to educate and support editors, publishers and those involved in publication ethics with the aim of moving the culture of publishing towards one where ethical practices becomes the norm, part of the publishing culture. Our approach is firmly in the direction of influencing through education, resources and support of our members alongside the fostering of professional debate in the wider community."

SPIE acknowledges IEEE and the American Physical Society (APS) for permission to use portions of their ethics and plagiarism guidelines in this document.