Overview

Full Code of Conduct

3. Reporting Mechanisms

We are thankful for the voice and courage of anyone who reports a code of conduct violation. Your voice helps keep our environment safe for all participants. We encourage you to use this reporting mechanism for anything you see that may be creating an unsafe environment or be in violation of the code of conduct, no matter how big or small the issue and no matter who is involved. We are committed to keeping the environment safe, supportive and productive.

Outlined below are the reporting mechanisms available to you through both UC San Diego and through the CAICE 2022 Summer Campaign Ethics Committee. 

Briefly you can report conduct violations to any of the following:

• the CAICE summer campaign Ethics Committee (Submission form link)
• a supervisor or instructor 
• the Director of CAICE, Prof Kimberly Prather (kprather@ucsd.edu)
• the Office for the Prevention of Harrassment and Discrimination (Title IX office) https://ophd.ucsd.edu

Retaliation

Any retaliation for reporting violations will NOT be tolerated. Retaliation is a serious offense, it is unlawful and violates UC San Diego policy. UC San Diego policy protects whistleblowers from retaliation

Incidents that violate Title IX or UC San Diego Policy

Incidents that violate Title IX or UC San Diego Policy should be reported directly to the Office for the Prevention of Harassment and Discrimination.

Please note that all UC San Diego employees who are considered 'Responsible Employees' (which includes everyone except confidential resources) must report any Title IX  violations directly to the Office for the Prevention of Harassment and Discrimination. You can learn more about 'Responsible Employees' here.

Any incidents that violate Title IX which are reported to the Ethics Committee will be immediately reported to the Office for the Prevention of Harassment and Discrimination in accordance with university mandated reporting. Information about the process the university follows after a report is made can be found on the OPHD website.

In addition to reporting Title IX violations to the UC San Diego Office for the Prevention of Harassment and Discrimination, the Ethics Committee will undergo its own process for resolving code of conduct violations, including those that violate Title IX. Any incidents that violate Title IX will be resolved in collaboration with the Office for the Prevention of Harassment and Discrimination. This process is described below.

Incidents that violate the CAICE 2022 Summer Campaign Code of Conduct

Violations of the code of conduct can be reported to the Ethics Committee via 

• CAICE 2022 Summer Campaign Code fo Conduct Violation Reporting Form
• This fillable PDF and sent to any member of the ethics committee. Please only use the fillable PDF if you would like to keep any member(s) of the Ethics Committee from viewing the report and specify this in the report.

Why Written Reports?

Written reports are needed for the Ethics Committee to review and follow up on the violation. Written reports can be submitted by anyone who was told about the incident as well as by the victim or any witnesses.

Confidentiality & Anonymity 

While we cannot guarantee confidentiality, the Ethics Committee will do its best to protect the private information of all involved parties while still abiding by the UC San Diego mandated reporting policies and ensuring transparency in process and consequences. Our goal is to be as transparent as possible while still protecting the anonymity of reporters.

While we do accept anonymous reports, please be aware that the actions the Ethics Committee can take with an anonymous report are very limited. With anonymous reports, we are only able to share a generalized version of the report with all participants. We are not able to take any disciplinary action. 

To support you in making the decision about whether and how to report a violation, we are working with the Ombuds. The Ombuds are a confidential, neutral third party and they are not university mandated reporters. They are available for you to speak with confidentially about any concerns you have. The Ombuds are aware of the CAICE summer campaign and are ready to assist you however they can.

You can get in touch with them here: https://ombuds.ucsd.edu/contact-us/index.html

What Happens Once A Report Is Made to the Ethics Committee?

Throughout this process CAICE is committed to supporting the reporter and the reporting party will be kept informed at every step of the process. 

1. As soon as possible, and not longer than 48 hours after the report is made, the Ethics Committee will reach out to the person who made the report, acknowledge that the report has been received and ask if there is anything they need from the Ethics Committee while the matter is investigated.  

• • For serious violations the committee may intervene immediately. (Example: move office / workspace or suspend access to facilities of the perpetrator) 
  • This action will be communicated to the reporter, the accused person and the accused person’s supervisor, if applicable
  • If the Ethics Committee receives a report about a violation that took place before the 2022 summer campaign (ie last year) it will pass the report on to the CAICE Management Team. The Ethics Committee will not take further action.

2. Within a week the next steps will be outlined. This process will include the Ethics Committee:
    
   
   • Reaching out to the person who filed the report 
   • Reaching out to anyone else who was there 
   • Reaching out to the person accused
   • General information gathering

3. If needed, the Ethics Committee will engage an additional, pre-determined Student and Postdoc Ethics Committee representative in their discussion using a fully anonymized report.

4. The Ethics Committee then proposes next steps to the reporter and seeks agreement - adjustments will be made until both parties agree.

5. The Ethics Committee then proposes any consequence to the CAICE Management Team for approval - adjustments will be made until both parties agree. Any changes will also be communicated to the reporter and agreement sought before moving forward.

6. Next steps and consequences, if any, are enacted
   • For transparency and to prevent future violations a fully anonymized discussion of the situation and consequences will be communicated to all participants.

7. Home institutions and supervisors of the perpetrator are notified of the violation and consequences, if they have not already been contacted. If applicable, funding agencies for the perpetrator will be notified as required.   

Figure 3: Flow chart showing the process the CAICE 2022 summer campaign ethics committee will take after a report is filed.

Possible Consequences

Sanctions for unacceptable behavior  will be commensurate with the nature and severity of the offense, whether violations have been persistent, and the impact of the offense on any other people involved. Sanctions may include one or more of the following: 

• Warning 
• Probation 
• Restitution 
• Reassignment of work activities 
• Paid or unpaid leave of absence 
• Suspension from UC San Diego/CAICE activities and facilities
• Removal from CAICE/UC San Diego facilities
• Expulsion from CAICE summer campaign
• Termination of affiliation with CAICE

4. Resources

2022 Summer Campaign Ethics Committee 

• CAICE Director of Education, Outreach and Diversity, Dr. Jeanette Starpine (jmcconnell@ucsd.edu)
• Senior Scientist, UC San Diego, Dr. Julie Dinasquet (jdinasquet@ucsd.edu)
• Lead Scientist, Colorado State University, Dr. Paul DeMott (Paul.Demott@colostate.edu)
• CAICE Managing Director, Dr. Chris Lee (leechris@ucsd.edu)
• Lead Scientist, UC Davis, Prof. Chris Cappa (cdcappa@ucdavis.edu)

CAICE Management Team 

• Director, Prof. Kimberly Prather (kprather@ucsd.edu)
• Co-Director, Prof. Vicki Grassian (vgrassian@ucsd.edu)
• Associate Director, Prof. Tim Bertram (timothy.bertram@wisc.edu)
• Managing Director, Dr. Chris Lee (leechris@ucsd.edu)

CAICE Executive Team

• Director of Education, Outreach and Diversity, Dr. Jeanette Starpine (jmcconnell@ucsd.edu)
• Innovation Lead, Prof. Skip Pomeroy (rpomeroy@ucsd.edu)
• Ice nucleation Lead, Dr. Paul DeMott (Paul.Demott@colostate.edu)

Code of Conduct Violation Reporting Form https://docs.google.com/forms/d/e/1FAIpQLSfomcy5M0_qPxsTLRum97XziKYpM4B_3fkNr9H4ud6I5jSHDg/viewform

Code of Conduct Violation Reporting Form (PDF)
https://caice.ucsd.edu/wp-content/uploads/2022/03/CAICE-Code-of-Conduct-Reporting-Form-Fillable-PDF.pdf

Office for the Prevention of Harassment and Discrimination (Title IX Office) https://ophd.ucsd.edu/about/index.html

Office for Equity, Diversity and Inclusion https://diversity.ucsd.edu/

Ombudsperson office https://ombuds.ucsd.edu/

CARE at SARC https://care.ucsd.edu/about/index.html

Anti-racism resources https://diversity.ucsd.edu/anti-racism-resources/index.html

Right To Be Bystander Intervention Training https://righttobe.org/bystander-intervention-training/

Right To Be Bystander Intervention Guide https://righttobe.info/wp-content/uploads/2022/03/cupxhol_print-design_2022update_v2.pdfhttps://righttobe.org/bystander-intervention-training/

UC San Diego Principles of Community https://ucsd.edu/about/principles.html

UC San Diego Commitment to Harassment Free Environment  https://blink.ucsd.edu/sponsor/hr/reaffirm/index.html

UC San Diego Nondiscrimination Statement https://ophd.ucsd.edu/policies-procedures/nps_student.html

UC San Diego Protection of Whistleblowers from Retaliation https://adminrecords.ucsd.edu/ppm/docs/200-14.html

UC San Diego Responsible Employees https://adminrecords.ucsd.edu/ppm/docs/200-14.html

National Science Foundation Office of Equity and Civil Rights https://www.nsf.gov/od/oecr/

National Science Foundation Important Notice No. 144: Harassmentnsf.gov/pubs/issuances/in144.pdf

National Science Foundation ODI Bulletin No. 18-01: Sexual Harassment Reporting  https://www.nsf.gov/od/oecr/docs/odi1801.pdf

5. Definitions

Discrimination means unequal or unfair treatment in professional opportunities, education, benefits, evaluation, and employment (such as hiring, termination, promotion, compensation) as well as retaliation and various types of harassment. Discriminatory practices can be explicit or implicit, intentional or unintentional. Discrimination on the basis of race, color, ethnicity, religion, sex, national origin, age, ancestry, disability, veteran status, sexual orientation, marital status, parental status, gender identify, gender expression and genetic information is prohibited under federal statutes, the University of San Diego Non-Discrimination Policy.

Harassment is a type of discrimination that involves actions, words or physical gestures that could reasonably be perceived to be the cause of another person’s distress or discomfort, or which put the safety of the individual at risk. This includes all behaviors that are unwanted by the recipient, which have the purpose or effect of violating the recipient’s dignity, marginalizing an individual either personally or professionally, or which create an intimidating, hostile, degrading, humiliating or offensive environment. It applies not only to direct interactions, but also other forms of communication including social media. These acts may include epithets, slurs, or negative stereotyping based on gender, race, sexual identity, or other categories, as protected by U.S. federal law. Also included are threatening, intimidating, or hostile acts; stalking; denigrating jokes and displays; or circulation of written or graphic material that denigrates or shows hostility or aversion toward an individual or a group. It becomes unlawful where enduring it becomes a condition of continued employment or when the conduct is severe or pervasive enough that a reasonable person would consider the work environment to be hostile.

Sexual harassment includes any unwanted and/or inappropriate sexual remarks or physical advances, sexual advances, requests for sexual favors, and other verbal or physical harassment of a sexual nature. Sexual harassment violates Title VII of the Civil Rights Act, Title IX of the Education Amendments, and the University of California Policy on Sexual Violence and Harassment.

Bullying is the repeated use of force, threat, or coercion to abuse, intimidate, or purposefully dominate others in the professional environment based on a real or perceived power imbalance. These actions can include abusive criticism, humiliation, the spreading of rumors, physical and verbal attacks, isolation, undermining, and professional exclusion of individuals through any means.

Microaggressions are the everyday verbal, nonverbal, and environmental slights, snubs, or insults which communicate hostile, derogatory, or negative messages to target persons based solely upon their group membership. These messages may invalidate the group identity or experiential reality of targets, marginalize or demean them on a personal or group level, communicate they are lesser human beings, suggest they do not belong, threaten and intimidate, or relegate them to inferior status and treatment. Micro-aggressions are less overt and are often related to discrimination, harassment or bullying, but may also occur in well-intentioned individuals who are unaware that they have engaged in an offensive act or made an offensive statement.

Bias incidents are acts of conduct, speech or expression that target individuals and groups based on certain characteristics such as race, religion, national origin, gender identity, gender expression, age, disability and sexual orientation. Examples of bias incidents include:

• A public speaker who makes homophobic comments about members of the LGBT community.
• Anti-Semitic or Islamaphobic flyers distributed on campus.
• Sexist or racist jokes told in public.
• Verbal insults directed toward a person of color.
• Defaming emails sent to a student cultural organization.

Some bias incidents may violate university nondiscrimination policies, the Student Conduct Code or other university policies. Other acts of bias may either not be severe enough to violate policy or be protected expressions of speech. The protection of freedom of expression, including controversial speech and sometimes even offensive or hurtful words, is vital to a community of teachers and learners. Nevertheless, personal threats or other acts of misconduct violate university policies and those policies will be vigorously enforced. You should report bias incidents so the university can determine if policies have been violated and support persons who feel victimized. UC San Diego strives to maintain a welcoming and inclusive environment free from incidents motivated by bias.

Buddy System using the buddy system means that you do not work alone and that both you and your buddy support and look out for each other.

Title IX No person in the United States shall, on the basis of sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any education program or activity receiving Federal financial assistance.l

Title VII makes it unlawful to discriminate against someone on the basis of race, color, national origin, sex (including pregnancy, sexual orientation, and gender identity) or religion.

Responsible Advising is a collaborative relationship between a student and an academic advisor. The intent of this collaboration is to assist the student in developing meaningful research, educational and career goals that are consistent with personal interests, values and abilities. Advisors provide individualized attention to promote each student's success. An advisor can share knowledge, experience and insight that is beneficial to the student. Some examples of advising include:

• Provide timely research, educational and well-being support to students during the campaign
• Clarify campaign requirements, procedures, and goals as needed
• Assist the student in identifying appropriate resources
• Facilitate relationships between the student and other individuals who may provide assistance
• Uphold the academic standards of CAICE and UC San Diego

6. Appendix

Social Media Policy

Sharing the work that CAICE is engaged in throughout the 2022 Summer is an important part of our outreach and science communication efforts. However, this must be done in a manner that abides by the code of conduct, does not compromise any ongoing experimental work, and is respectful of all involved. CAICE will not be monitoring individual social media accounts, but asks that all participants abide by this code of conduct and report any violations. 

• Do not share unpublished data 
• Do not post someone’s photo without their consent 

Any social media that comes from the main CAICE accounts will also abide by this code of conduct. Plus, all participants will be asked to fill out and sign the media release form, indicating the consent or lack of consent to be photographed and included on CAICE social media and blog posts. 

[Example] Media Release Waiver

I _____________________________ agree/do not agree (circle one) to authorize the Regents of the University of California and their appointed agents to photograph, videotape, audio record, televise, duplicate and/or transfer to present or future technology for the purposes of the CAICE 2022 Summer Campaign public relations and marketing. To promote CAICE we agree

that the Regents of the University of California its authorized agents, employees and assignees may use the photographs, videotapes, and/or audio recordings prepared there from, to produce, exhibit, publish, or distribute in any positive manner as they deem fit. No compensation will be paid for this use. I understand that my name, hometown or country, honors, and photographs may be used or be considered for use, for future CAICE information items, including news releases.

Your Signature ________________________________________ Date _________________

Power Imbalances

At their best, scientific academies are where discovery and learning occur through a combination of diligent work and collaboration. However, the highly competitive and hierarchical structures of academia also create susceptibilities for abuse of power and bullying. The traditional graduate student model of working in a research specialty under the close supervision of a graduate advisor depends on good faith. Qualifications, such as seniority and supervisory capacity, endow certain individuals with greater authority to affect the career outcomes of their colleagues and students. This requires diligence to avoid actions that may be perceived as bribery, coercion, malice, or indifference. Personal favors should never be proposed in exchange for advice, collaboration, or recommendation. Institute employees should act to prevent abuse of power with regards to:

• Letters of support and recommendation. 
• Graduate student and postdoctoral advising.
• Performance review committees.
• Scientific collaborations.