Enforcement Policy and Procedures Code of Ethics and Code of Conduct
Enforcement Policy & Procedures
Code of Ethics and Code of Conduct
The Society for Biomaterials (“SFB” or the “Society”) expects all student, associate, and full members (“Members”), recipients of SFB honors or awards (“Awardees”), and meeting attendees (“Attendees”) to meet commonly held standards of professional ethics, conduct, and scientific integrity. In the rare cases in which Members, Awardees, or Attendees no longer meet this expectation, the following guidelines and procedures are to be followed. This Policy sets forth the only rules for processing possible violations of SFB’s Code of Ethics and Code of Conduct. This policy is not a formal legal process and the procedures described are designed to operate without the assistance of attorneys.
I. Scope
SFB will, in its sole discretion, consider enforcing the Code of Ethics against Members, Awardees and/or Attendees in cases of proven scientific misconduct or serious breaches of professional ethics. Enforcement may include, but is not limited to, suspending or terminating membership, revoking awards, and restricting privileges associated with participation in SFB-sponsored publications, technical sessions, meetings, events, or other activities. All requests for SFB to consider enforcing the Code of Ethics (“Enforcement Requests”) will be handled in accordance with the procedures set forth in Section III below.
Serious breaches of professional ethics include, but are not limited to, violations of the mandatory standards of conduct set forth in SFB’s Code of Ethics; SFB’s Code of Conduct; violations of the law; and/or any other violations deemed by SFB to be prejudicial to the Society’s interests. This policy and the Code of Ethics cover professional activities wherever they take place, including academic buildings, laboratories, professional meetings, or any such professional settings. This policy includes interactions with colleagues, subordinates, students, teaching or research assistants, venue or administrative staff, or anyone else with whom Members or Awardees interact as part of their professional activities.
All Enforcement Requests must be submitted in writing together with documentation of an investigative report detailing the findings, sanctions, or actions taken by an independent organization or agency, including but not limited to an institute of higher learning, funding agency, Federal Government’s Office of Research Integrity, other state or federal governmental agencies, publisher, company, professional society, or SFB itself. A finding by SFB itself could be the basis for an Enforcement Request, but only if the finding results from an investigation into alleged misconduct at an SFB-sponsored event or activity. For example, if SFB investigates and finds evidence of misconduct at a Society meeting, the ensuing investigative report and adverse finding by SFB could form the basis for an Enforcement Request. A public announcement of the information in a report, or actions that have been taken, may be submitted. Media reports alone may not be sufficient to support an Enforcement Request. SFB will only consider disciplinary requests within four years of publication of the report or announcement of the finding, sanction, or action, and will not consider Enforcement Requests against deceased Members, Awardees or others.
SFB will not serve as an independent investigative body for claims of professional misconduct taking place at other institutions or professional settings. Please refer to SFB’s Code of Conduct for information on the rules SFB uses to address such conduct concerns.
II. SFB Ethics Committee
A. Authority. SFB’s Bylaws, Article II, Section 3, govern Member and Awardee discipline. Section 3 states in the pertinent part that “SFB will, in its sole discretion, consider enforcing the Code of Ethics and Code of Conduct against Members, Awardees and/or Attendees in cases of proven scientific misconduct or serious breaches of professional ethics. Enforcement may include, but is not limited to, suspending or terminating membership, revoking awards, and restricting privileges associated with participation in SFB-sponsored publications, technical sessions, meetings, events, or other activities.”
B. Purpose. The SFB Council (the “Council”) recognizes that when Members and/or Awardees engage in conduct that violates the Code of Ethics or Code of Conduct, such conduct may be prejudicial to the Society’s interests. Accordingly, and pursuant to the SFB Bylaws, an SFB Ethics Committee (the “Ethics Committee”) is constituted and authorized to receive, process, and make recommendations with respect to Enforcement Requests in accordance with this policy. The specific responsibilities of the Ethics Committee are set forth below in Section III. The Ethics Committee will act in good faith, exercise honest judgment in furtherance of SFB’s interests, and avoid conflicts of interest pursuant to SFB’s Conflict of Interest Policy.
C. Composition. The Ethics Committee generally will be comprised of four individuals: SFB’s Past President and Chair of the President's Advisory Committee, SFB’s Executive Director (“Executive Director”), and two additional members identified from the President's Advisory Committee. If none of the President's Advisory Committee is available to serve due to a conflict of interest or another reason, SFB’s President shall nominate alternate individual(s) to the Ethics Committee for the Council’s consideration; the Council shall appoint replacement members to the Ethics Committee in those situations. If a real or perceived conflict of interest prevents SFB’s Executive Director from serving on the Ethics Committee, the President shall have the discretion to name a replacement.
III. Procedures
A. Written Enforcement Request and Supporting Documents Required. All Enforcement Requests must be made in writing using a standard Enforcement Request Form. Completed forms will be received by SFB, which may be reached for questions at info@biomaterials.org. In all steps of these procedures, the requestor’s identity generally will not be revealed except as may be required by a court of competent jurisdiction or as otherwise required to comply with SFB’s legal obligations.
Every Enforcement Request must include an investigative report and/or public announcement of findings or actions taken (or links thereto) from a credible body such as the Federal Government’s Office of Research Integrity, other federal or state agencies, a professional organization or society, an academic institution, a court of law, SFB itself, or an admission of misconduct by the individual in question.
Enforcement Requests may only be made by SFB Members and must include detailed information about the sources used to enable verification of information. In addition, the Member must agree in writing to maintain the confidentiality of the matter until its conclusion at SFB.
B. Confidential Review and Deliberations. During each phase of its review and deliberations, SFB will only consider the evidence provided in support of the Enforcement Request Form. SFB will not conduct its own investigation of alleged Code of Ethics violations beyond the information presented in the Enforcement Request Form, provided by the respondent, or otherwise available publicly (such as publications or court records). SFB will strive to maintain the confidentiality of all matters covered by these procedures and will use its discretion to limit disclosure on a need-to-know basis.
Step 1: Preliminary Review. SFB Chair of the President’s Advisory Committee in consultation with SFB’s Executive Director will conduct a preliminary review to determine if the Enforcement Request is substantive, has adequate documentation, and complies with these procedures. As a result of this review, the Enforcement Request will either be dismissed or forwarded with all supporting documentation to the Ethics Committee for further consideration and processing. The requestor’s name and identifying information will be redacted before sharing. In either case, the Executive Office will notify the requestor of its decision, and it will maintain, and submit to Council annually, an anonymized log of all Enforcement Requests.
Upon receipt of an Enforcement Request, the President’s Advisory Committee has the discretion to evaluate the need for interim action pending a final decision by Council. See paragraph 4 below for additional information.
Step 2: Ethics Committee Review. The Chair will convene an Ethics Committee to review violations and make recommendations to the President’s Advisory Committee. Upon receipt of an Enforcement Request and supporting documents, the Ethics Committee will manage further review of the request pursuant to these procedures, culminating with a recommendation to the President’s Advisory Committee and Council about any potential enforcement action. The Ethics Committee will remain active until a recommendation has been made, and this work may continue past the end of an Ethics Committee member’s term. (See Section II above for information on the composition and responsibilities of the Ethics Committee.)
a. Timing. Initial review of the complaint by the Chair of the President’s Advisory Committee in consultation with the Executive Director with determination if it meets the standard of code violation and documentation to warrant further deliberation will be made within 45 days of receipt of complaint. While the Ethics Committee is not bound by a specific timeline, it will make a reasonable effort to review and process Enforcement Requests in an expeditious, fair manner in accordance with the guidelines that follow.
b. Notice of Complaint to Respondent. The Respondent (i.e., the person reported to have engaged in misconduct) will be given written notice of the Enforcement Request so that they have an opportunity to respond to the complaint. Notice will consist of sending the Respondent a copy of the Enforcement Request Form (redacted to prevent disclosure of the requestor’s name and identifying information) with delivery receipt and applicable supporting documents. The Respondent will be invited to respond and also will be offered the option to relinquish their status as a Member and/or Awardee.
c. Response Deadline. The Respondent shall have thirty (30) calendar days from the date of receipt of Notice [we need info, here, about how Notice will be sent to the Respondent; i.e. so that its receipt is trackable] to provide a written response to the Ethics Committee. If a Respondent fails to provide a response or request a timely extension, the Committee may proceed without their participation. Lack of timely response will not be grounds for appeal.
d. Deliberations. After the deadline for responses has passed, the Ethics Committee will consider the Enforcement Request Form, supporting documentation, and any response. The Ethics Committee may also consider any pertinent information of public or official record. As part of its deliberations, the Ethics Committee will discuss and consider whether the Respondent’s Conduct is prejudicial to SFB’s interests and, if so, what disciplinary action would be appropriate, up to and including suspending or revoking awards, membership status, and/or the privilege of participating in SFB-sponsored publications, technical sessions, meetings, events, or other activities.
e. Recommendation to the President’s Advisory Committee. At the conclusion of its deliberations and vote, the Ethics Committee shall, within a reasonable time, provide the President’s Advisory Committee with a written report and recommendation. The report shall include the redacted Enforcement Request Form, supporting documentation, and any response. The report will also include a succinct explanation justifying the Ethics Committee’s recommendations on what disciplinary action, if any, is deemed appropriate. The President’s Advisory Committee will vote to accept or reject the Ethics Committee’s recommendations and forward the complaint to Council with any amendment deemed appropriate. In the event that the President’s Advisory Committee votes not to proceed with a Council deliberation, SFB’s Executive Director will notify the Requestor and Respondent of the decision.
Step 3: Final Decision by Council. Upon receipt of the President's Advisory Committee recommendation and report, Council will determine via majority vote whether disciplinary action is warranted and, if so, what form it will take. Council’s decision shall be final and there is no appeal. SFB will strive to maintain the confidentiality of all matters covered by these procedures and will use its discretion to limit disclosure on a need-to-know basis. After the decision is made, Council will direct SFB’s Executive Office to seek legal counsel to ameliorate any concerns before notifying the Requestor and Respondent of the final decision, and to take appropriate steps to implement it. Any decision involving a Fellow of Biomaterials Science and Engineering will be forwarded to The International Council of Fellows of Biomaterials Science and Engineering.
- Discretionary Interim Action. Upon receipt of an Enforcement Request, the Chair of the President’s Advisory Committee in consultation with the Executive Director will determine whether interim action is appropriate to prevent the possibility of further harm pending a final decision by the Council. Examples of interim action may include suspension from committee service, restricted access to SFB events, or suspension of member benefits. The President’s Advisory Committee shall review such recommendations and take such interim action in its sole discretion. In reaching a decision regarding interim action, the committee will reasonably balance SFB’s legitimate interest with the Respondent’s right to due process, fairness, and confidentiality. If the Council decides not to enforce the Code of Ethics against a Respondent that has been subject to interim action, SFB will restore any status or privileges that have been removed as part of any interim action to the extent reasonably possible.
- Records. SFB shall maintain all official records developed pursuant to this Policy in accordance with SFB records retention and destruction practices. All other records including, but not limited to, records and notes of Ethics Committee members and Council shall be destroyed after the closure of any case. The Executive Director will prepare an annual report of the number of complaints and decisions to be provided to the President and Chair of the President’s Advisory Committee for review.
Duly Adopted: May 29, 2024
CLICK HERE FOR THE ENFORCEMENT REQUEST FORM.
We gratefully acknowledge the Geological Society of America for content for this policy.