This page reflects the Code of Conduct for the Subaru Hyper-Suprime Survey (HSC) Collaboration which was adopted by the HSC Executive Board on May 17, 2021. This Code of Conduct was written by the Subaru HSC Code of Conduct working group.
Table of Contents
- HSC Code of Conduct
- Implementation of the Code of Conduct
- HSC Survey Collaboration Meetings
- HSC Survey Collaboration Ombudsperson Policy
HSC Code of Conduct1
The HSC Survey Collaboration is a large collaboration with members from diverse backgrounds. We strive for an inclusive and respectful environment for collaboration members independent of their background, age, and stage or path of career. Collaboration members should pay particular attention to interactions with students and postdoctoral researchers.
Members of the HSC Survey Collaboration should treat each other with equity and respect, regardless of personal attributes including but not limited to: (alphabetically) age, disability, ethnicity, gender, gender expression, gender identity, lactation, nationality, physical appearance, political affiliation, pregnancy, race, religion, sexual orientation, and status as a caregiver (including as a parent).
HSC Survey Collaboration does not tolerate verbal, non-verbal or physical harassment of any kind. Behaviours and language acceptable to one person may not be to another. Members must make every effort to ensure that words and actions communicate respect for others. In particular, sexual harassment is not tolerated in HSC Survey Collaboration, including, but not limited to, inappropriate verbal and physical conduct, unwelcome sexual advances, and requests for sexual favours.
Bullying in any form, including, but not limited to, physical bullying, verbal abuse, disparagement, intimidation, exclusion, spreading personal rumours, is not tolerated in the HSC Survey Collaboration.
Members of the collaboration must perform research in a well-documented and ethically sound manner. Falsification of data or results, plagiarism, violations of the terms of the HSC Survey Collaboration policy document, taking credit for others’ work, or any other scientific misconduct will not be tolerated. Members are expected to be familiar with, and abide by, their home institution’s codes and policies on good research practice/research integrity and research misconduct. Any allegations of research/scientific misconduct may be referred to the member’s employing institution for investigation.
Implementation of the Code of Conduct
All HSC Survey Collaboration members are expected to abide by this Code of Conduct; in particular, their membership status will be contingent on agreement to its terms. HSC Survey Collaboration members are granted membership privileges at the discretion of the HSC Survey Collaboration Executive Board, and such privileges may be revoked by the Board, or its delegates, upon reasonable grounds, including but not limited to violations of this Code of Conduct.
Any member of HSC Survey Collaboration with a concern about a violation of the Code of Conduct for HSC Survey Collaboration-related work may make a formal complaint to the HSC Survey Collaboration Executive Board Chair or, if unsure of whether they wish to do so, may contact one of the HSC Survey Collaboration Ombudspersons for confidential consultation under the HSC Survey Collaboration Ombudsperson Policy (see below).
In the case of a formal complaint, the HSC Survey Collaboration Executive Board Chair will designate two members of the Executive Board to hear both sides of the complaint, and if appropriate, consult witnesses. The HSC Survey Collaboration Executive Board Chair is responsible for ensuring the timely resolution of any formal complaints2. If the grievance process could affect normal working group activities, relevant working group chairs will be notified of the investigation in confidence. If the complaint is upheld, the Executive Board will have a range of actions at their disposal to remedy the situation, up to and including removal of membership status. In addition, the Executive Board reserves the right to remove such status without formal investigation based on sanction or censure by the member’s department, institution, or professional society for activity that constitutes a violation of the HSC Survey Collaboration Code of Conduct or places HSC Survey Collaboration members at risk. The Executive Board will communicate the existence and outcome of any investigation only to the complainant(s), the respondent(s) and (if relevant) working group chairs.
If the Code of Conduct violation relates to the Executive Board Chair or a member of the Executive board, this should be reported to any other member of the Executive Board. The Executive Board will then convene an independent committee who will be afforded the power to investigate (including decisions about informing the working group chairs of the investigation in confidence, if required) and make recommendations to the Executive Board for resulting actions.
Retaliation toward a member who pursues any of these options, or toward anyone assisting either in the Ombuds process or in the investigation of a formal complaint, is a violation of this Code. In no circumstance does the HSC Survey Collaboration Code of Conduct supplant laws or institutional policies or requirements to which members of HSC Survey Collaboration or home institutions are subject, including reporting requirements these individuals or entities may have. It is understood that HSC Survey Collaboration members may report allegations of violations to home institutions, government agencies, or local authorities for investigation per applicable laws, regulations, and policies. The HSC Survey Collaboration Ombudspersons are available for confidential consultation about any HSC Survey Collaboration-related issue or concern (see the HSC Survey Collaboration Ombudsperson Policy below for further details).
This Code of Conduct shall not be construed as creating any employer-employee, joint venture, partnership, duty, trust, obligation to pay, or other relationship between HSC Survey Collaboration, its member institutions, home institutions, or members, including HSC Survey Collaboration Executive Board. Although HSC Survey Collaboration encourages all members to abide by this Code of Conduct, HSC Survey Collaboration remains a voluntary member body, and members and their affiliated institutions waive any and all claims, liabilities, or damages against HSC Survey Collaboration, member institutions, home institutions, and HSC Survey Collaboration members involved in implementing the Code of Conduct arising from the enforcement of, or failure to enforce this Code of Conduct.
HSC Survey Collaboration Meetings
The HSC Code of Conduct remains in force when HSC Survey Collaboration members come together in person (or on teleconference calls) for meetings, although some aspects of it become more relevant. The Meeting Code of Conduct highlights considerations related to professional behavior and communications. All attendees at HSC Survey Collaboration-sponsored meetings or any working group meetings must agree to the Meeting Code of Conduct at registration. HSC Survey Collaboration in-person meetings will have two Meeting Contact Persons 3 to support compliance with the Meeting Code of Conduct. The role and function of the Meeting Contact Persons is outlined in the HSC Survey Collaboration Meeting Contact Person Policy below.
HSC Survey Collaboration Meeting Code of Conduct
The HSC Survey Collaboration and the local organizers are committed to conducting meetings that are productive and enjoyable for everyone. HSC Survey Collaboration will not tolerate harassment of participants in any form and has adopted a Meeting Code of Conduct (Meeting CoC) as part of the HSC Survey Collaboration CoC. By attending any HSC Survey Collaboration meeting, either in person or on a teleconference, you agree to:
- Behave professionally. Exclusionary or offensive comments or jokes related to personal attributes are not appropriate.
- Personal attributes covered by this policy include but are not limited to (alphabetically): age, disability, ethnicity, gender, gender expression, gender identity, lactation, nationality, physical appearance, political affiliation, pregnancy, race, religion, sexual orientation, and status as a caregiver (including as a parent). Unacceptable behavior includes, but is not limited to, sustained disruption of talks or other events, unwelcome physical contact, sexual attention or innuendo, intimidation, stalking, and recording of an individual without consent. Consent for photography may be assumed only when the subject is giving a talk during an HSC Survey Collaboration meeting.
- Communicate appropriately. Aim for a professional audience including people of many different backgrounds. Sexual language and imagery are not acceptable.
- Be kind. Do not insult or put down other meeting participants.
All participants are empowered to request that undesirable behavior be stopped. Participants asked to stop any behaviour inconsistent with this Meeting CoC are expected to comply immediately. Each HSC Survey Collaboration in-person meeting and teleconference call will have two designated Meeting Contact Persons 4 with the authority to take action up to and including requiring an attendee to leave the meeting. The HSC Survey Collaboration Meeting Contact Person Policy provides details of their role and function. In addition, any participant who wishes to discuss a violation of the Meeting CoC can speak, in confidence, to the Ombudspersons under the HSC Survey Collaboration Ombudsperson Policy, and/or institute a formal complaint with the Executive Board Chair or Deputy Chair as outlined in the HSC Survey Collaboration CoC Implementation section.
HSC Survey Collaboration Meeting Contact Person Policy
For each in-person HSC Survey Collaboration (or working group) meeting or teleconference call (HSC Survey Collaboration-sponsored, organized, or funded), two persons are designated as Meeting Contact Persons. Their role is to support compliance with the HSC Survey Collaboration Meeting Code of Conduct (Meeting CoC) and to take action to resolve harmful situations. In addition, any participant who wishes to discuss a violation of the Meeting CoC can speak in confidence to the Ombudspersons under the HSC Survey Collaboration Ombudsperson Policy, and/or institute a formal complaint with the Executive Board Chair or Deputy Chair as outlined in the HSC Survey Collaboration CoC in the Implementation section.
The Meeting Contact Persons are available to meeting participants who are experiencing conflicts or disputes as part of the HSC Survey Collaboration meeting activities. The Meeting Contact Person will work together with the participants who consult them to identify options for managing and resolving disputes and conflicts. This includes providing advice and support, and taking action as needed to defuse a harmful situation, up to and including requiring the offender to leave the meeting.
The organisers of each meeting will provide nominations for the Meeting Contact Persons to the Executive Board which will be responsible for ratifying the appointment of the Meeting Contact Persons. The authority to act is afforded to the Meeting Contact Persons by the HSC Survey Collaboration Executive Board and is in place throughout all meeting sessions and activities, including informal gatherings. It may not be possible for both Meeting Contact Persons to be present at all sessions comprising a meeting, but at least one Meeting Contact Person will be present at every plenary session (or equivalent) and both Meeting Contact Persons will be available for consultation on every day of the meeting. They will not be members of the Executive Board. They will have a strong understanding of HSC Survey Collaboration policies and their authority to act as Meeting Contact Persons under these policies, and will report their actions directly to the Executive Board Chair. All Meeting Contact Person decisions are final and are not subject to appeal.
HSC Survey Collaboration Ombudsperson Policy
The HSC Survey Collaboration has two Ombudspersons who are available to members of HSC Survey Collaboration5. The role of the Ombudspersons is to provide informal, confidential, non-judgmental, impartial, and independent advice and arrange mediation for HSC Survey Collaboration members for the purposes of dispute resolution. Confidentiality is a privilege of the Ombudspersons; the only circumstances in which there may be an exception to confidentiality is if the Ombudsperson is concerned that there is an imminent risk of serious harm, or if required by law in the applicable jurisdiction to anonymously report credible evidence of fraud, waste, or abuse concerning the use of government funds. As such, communications with an Ombudsperson do not constitute formal notice to HSC Survey Collaboration or the individual’s institute. If the individual would like to start formal proceedings, the Ombudsperson can provide guidance on the HSC Survey Collaboration process and referrals for institutional processes. The HSC Survey Collaboration process for formal complaints is outlined in the HSC Survey Collaboration Code of Conduct Implementation section.
There are two HSC Survey Collaboration Ombudspersons to provide a choice of whom to speak with. The Ombudspersons are available to HSC Survey Collaboration members who are experiencing conflicts or disputes as part of their HSC Survey Collaboration activities. The Ombudspersons will work together with the members who consult them to identify options for managing and resolving disputes and conflicts. This includes providing advice and support, referring individuals to appropriate resources, organizing informal mediation, and ensuring that the Executive Board Chair is made aware of any systemic issues in the collaboration.
The Executive Board appoints the Ombudspersons for a term of 3 years, with the option of renewal. Due consideration will be given to the diversity of the candidates. The HSC Survey Collaboration Ombudspersons will have a strong understanding of its organizational structure. They will not hold any other leadership positions within the collaboration and will report only to the Executive Board Chair. The Ombudspersons will have relevant experience and preferably have undertaken relevant training provided by their home institutions or from appropriate training sources (although the latter part is not essential).
The HSC Survey Collaboration has chosen to adopt the role and function of the Ombudsperson as expressed by the International Ombudsman Association, IOA (with some additions and edits for gender neutrality)6:
The Collaboration Ombudsperson Role and Function
The primary duties of a collaboration ombudsperson are (1) to work with individuals and groups in the collaboration to explore and assist them in determining options to help resolve conflicts, problematic issues or concerns, and (2) to bring systemic concerns to the attention of the collaboration for resolution. A collaboration ombudsperson operates in a manner to preserve the confidentiality of those seeking services, maintains a neutral/impartial position with respect to the concerns raised, works at an informal level of the collaboration, and is independent of formal collaboration structures. Successfully fulfilling that primary function in a manner consistent with the IOA Standards of Practice requires a number of activities on the part of the ombudsperson while precluding others.
Activities and functions most frequently undertaken by an ombudsperson include, but are not limited to:
- Listens and understands issues while remaining neutral with respect to the facts. The ombudsperson doesn’t listen to judge or to decide who is right or wrong. The ombudsperson listens to understand the issue from the perspective of the individual. This is a critical step in developing options for resolution.
- Assists in reframing issues and developing and helping individuals evaluate options. This helps individuals identify the interests of various parties to the issues and helps focus efforts on potential options to meet those interests.
- Guides or coaches individuals to deal directly with other parties, including the use of formal resolution resources of the collaboration. An ombudsperson often seeks to help individuals improve their skill and their confidence in giving voice to their concerns directly.
- Refers individuals to appropriate resolution resources. An ombudsperson may refer individuals to one or more formal collaboration resources that can potentially resolve the issue.
- Assists in surfacing issues to formal resolution channels. When an individual is unable or unwilling to surface a concern directly, the ombudsperson can assist by helping give voice to the concern and/or creating an awareness of the issue among appropriate decision-makers in the collaboration.
- Facilitates informal resolution processes. An ombudsperson may help to resolve issues between parties through various types of informal mediation.
- Identifies new issues and opportunities for systemic change for the collaboration. The unique positioning of the ombudsperson serves to provide unfiltered information that can produce insight to issues and resolutions. The ombudsperson is a source of detection and early warning of new issues and a source of suggestions of systemic change to improve existing processes.
What an ombudsperson does not do: Because of the informal, neutral, confidential and independent positioning of an ombudsperson in a collaboration, they typically do not undertake the following roles or activities:
- Participate in formal investigations or play any role in a formal issue resolution process
- Serve in any other collaboration role that would compromise the neutrality of the ombudsperson role
- Receive notice for the collaboration
- Make binding decisions or mandate policies
- Create or maintain records or reports for the collaboration
- Provide representation or legal advice
Working group members
The Subaru HSC Code of Conduct working group members who contributed to this document are Surhud More (chair), Rachel Mandelbaum, Hironao Miyatake, Michael Strauss, Yasushi Suto.
1: The HSC Code of Conduct is based on the LSST:UK Professional conduct policies which is in turn based on the LSST DESC Code of conduct v1.1, which in turn was adapted from the London CoC, itself derived from documents by Software Carpentry, PyCon, and Geek Feminism. Following the example in those documents, this document is licensed for re-use according to Creative Commons License CC0 1.0. Go back
2: In case of a formal complaint, Appendix B (b) of the IAU Code of Conduct may be used as guidance (wherever relevant) for the investigation procedure to be followed. The investigation committee will ideally be set up within a month of the complaint being received, and the investigation be ideally completed within a six month period. In case of complex cases, these timelines could potentially be extended by the Executive Board. Go back
3: By default, the chair of the Local Organizing Committee along with a LOC member will act as contact persons for in-person meetings. For the working group meetings/teleconference calls, the working group co-chairs will act as the contact persons. Go back
4: For teleconference calls related to working group meetings, the (co-)chairs of the working group will assume this responsibility by default. Go back