Statements and Standards of Ethical Conduct

Background

Ethical behavior is a key aspect of all successful organizations. Please see the message from the Executive Vice President of the Research Foundation regarding ethical conduct:

Statement of Ethical Conduct


Statement

The Research Foundation (RF) strives to maintain the highest ethical standards in all of its operations; promotes professional conduct among its employees and anyone acting on behalf of the RF; and ensures a level of accountability appropriate for a world-class organization.


Reason for Statement

The RF is committed to the highest standards of ethical conduct. This commitment is an integral part of its vision, mission and values and will help to ensure compliance with applicable laws and regulations.


Parties Affected by this Statement

The following parties are affected by this statement:


Application of the Standards of Ethical Conduct

Members of the RF Board of Directors, RF employees, and anyone acting on behalf of the Research Foundation (RF) (collectively referred to as "parties"), are expected to assume personal responsibility and accountability for their actions by adhering to the Statement of Ethical Conduct (above) and the Standards of Ethical Conduct described in the next section. Adherence to the Statement and Standards described in this document and to the other policies and procedures of the RF is critical to ensuring that the business of the RF is conducted in an ethical, honest and lawful manner.

Standards of Ethical Conduct

The Standards that follow describe in general three policies that are critical in ensuring the ethical environment at the RF.


Policy on Misconduct in Science

All parties should conduct research in a manner consistent with commonly accepted research practices within the scientific community. Research misconduct includes fabrication, falsification, plagiarism, or other practices that seriously deviate from research practice commonly accepted within the scientific community, but do not include honest misinterpretations or misjudgment of data.

Parties must abide by the Policy on Misconduct in Science that is in effect at their campus location.


Policy on Conflict of Interest

All parties hold positions of trust, and therefore should conduct their activities accordingly. All parties must abide by the Research Foundation's Policy on Conflict of Interest, avoiding conflict between personal and official responsibilities. Any activities should be avoided that impair or clearly appear to impair the ability to perform their duties or affect independence and objectivity of judgment in the discharge of responsibilities to the RF.

The Conflict of Interest Policy includes applicable definitions and a process for reporting a suspected violation. The RF is committed to the protection of both the accused and the accuser in the reporting of any suspected violation of the policy. While it is critical that all parties comply with this policy, we encourage using reasonable judgment in determining if an alleged violation has occurred. An attempt by an individual to discredit another individual through inappropriate use of the policy is not permitted and may be subject to disciplinary action, up to and including termination.

The RF's Conflict of Interest Policy and related procedures can be found on the RF's Web site:

Policy on Fraud

All parties should conduct, process, and report all financial transactions with integrity. Certain transactions that take place in the RF are susceptible to fraud because they involve the handling of cash or other liquid assets, or involve programs with significant risk to the RF's legal status and/or reputation. These transactions and programs should be strictly monitored to ensure consistency with the RF's Fraud Policy.

The Fraud Policy contains applicable definitions and a process for reporting suspected violations. The RF is committed to the protection of both the accused and the accuser in the reporting of any suspected violation of the policy. While it is critical that all parties comply with this policy, we encourage using reasonable judgment in determining if an alleged violation has occurred. An attempt by an individual to discredit another individual through inappropriate use of the policy is not permitted and may be subject to disciplinary action, up to and including termination.

The Fraud Policy and other related policies and procedures can be found on the RF's Web site:

Reporting

All parties should report actual or suspected violations of the standards to appropriate RF personnel, including your manager, supervisor, operations manager, campus human resources office, or the Internal Audit Department at central office.

Retaliation

The Research Foundation will not tolerate retaliation toward or harassment of employees who report actual or possible violations of the Statement and Standards of Ethical Conduct or any other of its policies and procedures. The identity of individuals providing information concerning possible violations, including fraud, will be protected within legal limits. Individuals who take retaliatory action will be subject to discipline, up to and including termination.

Responsibilities

The following are the major responsibilities that each party has in connection with the RF's Statement and Standards of Ethical Conduct.

Step

Action

Board of Directors

  • Ensure that RF officers and vice presidents are aware of the need for compliance with the Statement and Standards.
  • Abide by the Statement and Standards in conducting business for the RF.

Officers of the Corporation

  • Abide by the Statement and Standards in conducting business for the RF.
  • Ensure that vice presidents and managers are aware of the need for compliance with the Statement and Standards.
  • Report suspected violations to appropriate RF personnel.

Principal Investigators Operations Managers Vice Presidents, Assistant Vice Presidents, Directors, Managers/Supervisors, and Anyone acting on behalf of the RF

  • Abide by the Statement and Standards in conducting business for the RF.
  • Encourage and support efforts by employees to perform duties and responsibilities at the highest standards.
  • Ensure that supervisors are promoting excellence in ethical practices through periodic training and daily reinforcement.
  • Report suspected violations to appropriate RF personnel to protect both the alleged violator and the individual reporting a potential violation.

Office of Human Resources

  • Investigates all allegations of workplace harassment and recommends whether action is required.

Internal Audit & Management Advisory Services

  • Provide advice to individuals who believe that a violation may have occurred.
  • Provide support to RF departments in resolving issues related to ethical conduct.

Employees

  • Abide by the Statement and Standards in conducting business for the RF.
  • Perform duties and responsibilities at the highest standards.
  • Report suspected violations to appropriate RF personnel.

Change History

 

 

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