AIAA Ethics

Rodger Williams, Managing Director, Technical Publicationson behalf of Jerry Lutz, Chair, AIAA Ethics CommitteeRegional Leadership Conference15 August 2013

2

Important to Everyone

3

Where do you encounter matters of ethics?

• Publications Prior publication Authorship Copyright infringement Plagiarism Bias in Review Process

• Conferences• Honors and Awards• Member Upgrade Process• Elections/Campaigns• Committee & Section Activities

4

Recent Changes 2011-2012

• Publications Case Could not prove Plagiarism Looked like a Biased Review and Failure of the

Rebuttal Process Finding: Conflict of Interest within the review process Headed to Appeal AIAA’s procedures virtually silent on appeals VP Pubs? Ethical Conduct Panel? Board of

Directors?

5

Ethical Structures circa 2011

• Three member Ethical Conduct Panel (ECP) appointed by President 3-year term 1/3 turnover each year No clear criteria for appointment

• Publications Committee had By-Law coverage to police itself, including imposing sanctions, silent on appeal process

• TAC had internal process but limited authority to act; cases referred to ECP

6

Concerns Emerged

• The ECP procedures not updated since 1988• Code of Ethics dates to 1978• Structure of ECP• Membership and appointment process for ECP• Relationship between Pubs and TAC ethics committees,

other Standing Committees, and ECP (harmonize)• Ethics case processes / appeal processes

7

Recommendations

• ECP becomes larger, stronger, more strategic Ethics Committee (EC) reporting to Board

• Standing Committees (SCs) have the right, but not obligation to develop ethics processes

• Ethics Committee: Sets standards, develops Code of Conduct Approve the ethics processes of the SCs Handles ethics violations when not under an approved SC

process Handles appeals from SC decisions Promotes ethical behavior in the Institute

8

Initial Implementation

• President appointed current ECP members to EC

• Each VP made their nomination to EC• EC updated the Code of Ethics• EC to establish Operational Procedures• EC review Pubs process and develop Standing

Committee guidelines

Where are things today?

10

Current Roster

• 3 Presidential Appointees Jerry Lutz (Chair, 2012-2013)* Robert Walters (Chair, 2013-2014) Mike Bragg (Chair, 2014-2015)

• 8 Vice Presidential Appointees Wayne Hurwitz (Technical Activities, 2015) Laura McGill (Standards, 2016) Williams Oberkampf (Publications, 2016) Michael Plesniak (Public Policy, 2014) Konstantinos Kontis (International, 2016) David Riley (Finance, 2016) Tom Shih (Education, 2014) Charles Vono (Member Services, 2015)

* John Blanton will succeed Jerry Lutz as the next presidential appointee and will serve as chair from 2015-2016.

11

Redrafted AIAA Code of Ethics

• Reviewed codes for peer societies and other organizations.

– American Chemical Society– American Institute of Chemical Engineers– American National Standards Institute– American Society of Civil Engineers– American Society of Mechanical Engineers– Institute of Electrical and Electronics Engineers

• Reviewed by AIAA legal counsel, Hugh Webster• Approved by BoD 9 May 2013

12

Rationale and Premises for New Code

• Code must be positive, concise and easily understood by members

• Code must be implementable and stressed at all levels

• Code must be accompanied by “Practicing Guidelines” for thorough understanding at all member levels and career maturities

• All members must be made aware and held accountable

13

Approved Code of Ethics (1/3)

Members of the AIAA uphold the highest standards of ethical conduct and hereby agree to:

1. Hold paramount the safety, health, and welfare of the public in the performance of their duties;

2. Promote the lawful and ethical interests of AIAA and the aerospace profession;

3. Reject bribery, fraud, and corruption in all their forms;

14

Approved Code of Ethics (2/3)

4. Properly credit the contributions of others, accept and offer honest and constructive criticism of technical work; and acknowledge and correct errors;

5. Avoid harming others, their property, their reputations or their employment through false or malicious statements or through unlawful or otherwise wrongful acts;

6. Issue statements or present information in an objective and truthful manner, based on available data;

7. Avoid real and perceived conflicts of interest, and act as honest and fair agents in all professional interactions

15

Approved Code of Ethics (3/3)

8. Undertake only those tasks for which we are qualified by training or experience, or for which we can reasonably become qualified with proper preparation, education, and training;

9. Maintain and improve our technical and professional competencies throughout our careers and provide opportunities for the professional development of those engineers under our supervision;

10. Treat fairly and respectfully all colleagues and co-workers, recognizing their unique contributions and capabilities.

26

Why Is The New Code Important?

• Previous Code seriously outdated• Penalties for the slightest unethical behavior can

be devastating to professional careers and the workplace in today’s environment

• Key purposes are to protect interest of individual members and AIAA as an organization

• Ethical behavior requires constant awareness and reinforcement

27

Implementation of Code Awareness

• AIAA Code of Ethics article to be published in Aerospace America

• “Code of Ethics” and “Practicing Guidelines” are to be placed on AIAA website

• Briefings by Ethics Committee as necessary• Regions should be accountable for Ethics Code

awareness at Section and Branch Levels• VPs should be accountable for SC Ethics Code

awareness

28

Suggested Implementation at the Section Level

• Provide awareness to membership by: Annual Ethics briefings by Section Chairpersons Newsletter articles at Section and Branch levels New member orientation

• Allegations and issues should be resolved at lowest level possible

• Reflect compliance to implementation and infractions/resolutions in Annual Report

29

Ongoing Efforts

• Draft Operational Procedures (will require Board approval) to cover: Submission of allegations Inquiry/investigation procedures Range of possible sanctions Method of appeal

• Review Existing Standing Committee Ethics Guidelines and Procedures

• Staff to continue communication plan for Code and later Operational Procedures.

30

Complaint Submittal/Resolution Process (1/2)

• EC is operational until formal procedures are approved by the BoD

• Any member or non-member may file a allegation with facts/evidence

• Complaints (irresolvable at lower levels) and other complaints outside existing SC processes are to be submitted to Chair through Ethics Committee Liaison, Rodger Williams

• Complaints must be kept confidential• EC may decline any complaint deemed frivolous,

inappropriate or unjustifiable

31

Complaint Submittal/Resolution Process (2/2)

• If complaint is deemed to have merit, an ad hoc investigative subcommittee will be appointed by the Chair from appropriate members of the EC

• Investigative SC will conduct the investigation and forward findings to Chair and full EC

• EC will provide recommended disposition• EC will provide counsel and guidance to any

member or group upon request

32

Additional Staff Support

• Rodger Williams, Committee Liaison• John Clewett, Administrative Liaison• Emily Springer• Heather Brennan

33