Code of Conduct

Expected behaviors at SIMB-sponsored meetings and/or events by members and non-members alike are:

• Strive to increase the competence and prestige of the profession and practice of the applied microbial sciences and engineering through responsible action and sharing of research results
• Treat all people with dignity, respect and consideration
• Refrain from any form of harassment, discrimination or bullying at SIMB-sponsored events
• Promote honest and ethical conduct, including fair dealing and the disclosure and ethical handling of any actual, potential or perceived conflicts of interest
• Promote compliance with applicable laws, governmental rules and regulations
• Follow any instructions concerning behavior during presentations, including restrictions on photographing and/or filming presentations
• Address any behaviors or issues counter to these expectations immediately but in a professional manner with courtesy and respect

Ethics Review Process

The Society for Industrial Microbiology and Biotechnology (SIMB) members recognize the responsibility of the Society to consider breaches of the Code of Conduct and to recommend appropriate responses. These responses are defined as follows:

The Ethics Review Process is confidential and mandates several discrete steps, as follows:

1. Complaint

Allegations of ethical misconduct must be sent by signed letter or email, marked “Confidential,” directly to the Chair of the Ethics Committee or SIMB Executive Director. This letter should include a description of the alleged behavior, information in support of the allegation, and citation of the portion of the Code of Conduct deemed violated. SIMB members or participants in SIMB-related activities may also report complaints to SIMB’s 703-691-3357 (phone) or ethics@simbhq.org (email). In the event that an individual knowingly provides false or deceptive information in a complaint, SIMB may address such action as a breach of the Code of Conduct.

2. SIMB’s Response to a Complaint

The Chair of the Ethics Committee, together with the Ethics Committee, as appropriate (i.e., less those recused for conflict of interest), shall determine whether the alleged conduct may constitute a violation of the published SIMB Code of Conduct. If it is deemed that the alleged facts would not constitute an ethical or conduct violation, the Chair of the Ethics Committee shall dismiss the complaint at this point and the complainant will be notified.

If a determination is made that the conduct would constitute a potential violation, the Chair of the Ethics Committee shall inform the SIMB President and initiate a review of the complaint. As needed, the Chair of the Ethics Committee will engage additional people with expertise in ethics to investigate the complaint. This panel may consist of SIMB members, or non-SIMB members if the complaint involves SIMB leadership. There must be at least 5 people on the review panel. At this point, the Chair of the Ethics Committee will notify, in writing, the complainant(s) and the accused that an investigation has been initiated. Both parties also are requested to prepare written evidence for presentation to the panel.

3. The Investigative Panel

The panel shall have full authority to investigate the validity of the allegation and of the defense against the allegation. The panel shall provide the accused the opportunity to know and respond fully to the allegations in the complaint. The accused and complainant are expected to cooperate fully with the Investigative Panel. Failure to respond in a timely manner may constitute a failure to cooperate with the investigation and hence a violation of the SIMB Code of Conduct. Failure to cooperate shall not prevent continuation of any proceedings.

The panel may decide to permit the presentation of oral evidence in addition to the written materials that are submitted. However, if the facts forming the basis of the complaint are substantial and verifiable, the matter may be decided solely on the basis of written material. A majority of the panel must agree to the recommended decision and recommended action.

4. Decision by the Ethics Committee

Upon receipt of the report of the investigative panel, a quorum consisting of a majority of the Ethics Committee (less those recused for conflict of interest) will review the entire report. On the basis of the report and its own deliberations, the Ethics Committee will render a decision and report that decision as provided in Section 7 herein. Decision by the Ethics Committee shall be by majority vote. The Ethics Committee’s report must contain a synopsis of the complaint and its investigation, a decision as to whether an ethical violation occurred, and action to be taken by SIMB. If the Ethics Committee decides that no ethical violation has occurred, it can dismiss the complaint. However, if the Ethics Committee decides that an ethical violation has occurred, it must order an action by the SIMB and report its decision as provided herein in Section 7. As appropriate, the Chair of the Ethics Committee will consult with SIMB legal counsel at any stage of the investigation.

5. Ethical Complaints Involving SIMB Leadership

Both the complainant and the accused may provide evidence directly to the Ethics Committee.

The Ethics Committee is authorized to identify and engage the investigative panel, including appointing a panel chairperson, without input from the SIMB Executives or Board of Directors. This panel could be chaired by an individual who has previously served as president or other elected officer of the SIMB and does not have potential bias associated with the ethics complaint. If a viable candidate is not readily identified within this group, a respected person from outside of the SIMB who has experience in scientific ethics will be identified to serve as chair of the independent investigative panel. The chair of the independent investigative panel will appoint four additional people who are SIMB members to comprise the five-member panel. The results of the investigation will be provided to the Ethics Committee for review as specified herein in Section 4.

As appropriate, the Chair of the Ethics Committee will consult with SIMB legal counsel at any stage of the investigation.

6. Timing

To ensure that the panel has adequate time for establishment of the committee and the subsequent investigation, the time from initiation of the ethics investigation, review by the independent investigative panel, review by the Ethics Committee, and provision of a final report by the Ethics Committee should typically be within ninety (90) days.

7. Notification of the SIMB Decision

Upon receipt of the decision from the Ethics Committee, the Chair of the Committee shall inform the President of the SIMB of its decision (or, if the President is recused for a conflict of interest, to the first non-recused officer in the following order President-Elect, Immediate Past President, Secretary and Treasurer) . Then, the Chair shall promptly and in confidence notify all parties in writing of the decision and order of action. If the decision is other than dismissal of the complaint, the notice will inform the accused of the right to appeal and shall provide the parties copies of the reports of the investigative panel and/or the Ethics Committee.

8. Right of Appeal

If the accused wishes to file an appeal, the Chair of the Ethics Committee must receive such appeal within thirty (30) days of the accused’s receipt of notice of the decision. If such notification is not received, the decision of the Ethics Committee will be carried out. The appeal may be based on claims that the decision was incorrect in light of the evidence presented and/or that the investigation procedure was flawed. The Chair of the Ethics Committee must receive arguments supporting the appeal within ninety (90) days of receipt of the notice of decision by the accused.

If an appeal is made, the Chair of the Ethics Committee shall request the BOD appoint an Appeal Committee consisting of a Chair and at least five (5) members, not on the Ethics Committee. The Appeal Committee may consist of SIMB members or those who are not SIMB members. The Ethics Committee will release the entire record to the Appeal Committee.

9. The Appeal Committee

Following review of the entire record, the Appeal Committee will render its decision. The Appeal Committee may reverse the decision of the Ethics Committee and dismiss the complaint, modify the sanction imposed by the decision, sustain the decision of the Ethics Committee, or take such other action as it deems appropriate. Action by the Appeal Committee shall require a majority vote of the Appeal Committee. If the committee is not able to reach a majority decision on the outcome, then the original Ethics Committee decision will be upheld. Denial of the decision of the Ethics Committee by the Appeal Committee may be based on the conclusion that the original decision was not supported by substantial evidence, that the original decision was clearly erroneous, or that due process had not been followed. The Appeal Committee will communicate its decision to the Chair of the Ethics Committee and President of SIMB, and all materials will be returned to the Ethics Committee. The President of SIMB shall promptly notify in writing all parties of the decision and order of action.

10. Implementation of Decisions

The SIMB Ethics Committee Chair will provide an annual ethics summary report to the Board of Directors.

11. Confidentiality

It is essential that all aspects of the investigation of alleged ethical misconduct be treated in a strictly confidential manner. Only the participants will know all elements of the investigation and adjudication, including the fact that an investigation is proceeding. Breach of this confidentiality shall itself be considered ethical misconduct. This confidentiality shall be maintained in perpetuity.

12. Special Event Situations

In the event that harassment, discrimination, bullying, or failure to follow remediating instructions from event organizers occur at SIMB-sponsored events, the SIMB Executive Director, members of the Board of Directors, and members of the Ethics Committee can take immediate action, following a review of the situation. An ad hoc group, consisting of three members of the aforementioned groups, should meet, discuss, and agree on the appropriate action. This action may result in a discussion and warning to the offending party or removal from an event space (e.g., a meeting room or the meeting). This immediate action cannot be appealed by the offending party. The event, the review, and action taken should be documented in writing by the ad hoc group within 2 working days and sent to the SIMB Ethics Committee Chair for review and evaluation, should further action be needed as per the Ethics Review Process outlined in this document. If the accused is a SIMB staff member, the incident will be addressed in accordance with the appropriate SIMB employment policy and procedure.