Standards
of Ethical Conduct
Adopted by The Regents of the University
of California, May, 2005
Pursuit of the University of California mission of teaching,
research and public service requires a shared commitment to
the core values of the University as well as a commitment
to the ethical conduct of all University activities. In that
spirit, the Standards of Ethical Conduct are a statement
of our belief in ethical, legal and professional behavior
in all of our dealings inside and outside the University.
The Standards of Ethical Conduct apply to all members
of the University community, including The Regents, Officers
of The Regents, faculty and other academic personnel, staff,
students, volunteers, contractors, agents and others associated
with the University. Organizationally, the Standards
apply to campuses, the National Laboratories, the Office of
the President, the Division of Agriculture and Natural Resources,
campus organizations, foundations, alumni associations and
support groups.
1.
Fair
Dealing
Members of the University community are expected to conduct
themselves ethically, honestly and with integrity in all dealings.
This means principles of fairness, good faith and respect
consistent with laws, regulations and University policies
govern our conduct with others both inside and outside the
community. Each situation needs to be examined in accordance
with the Standards of Ethical Conduct. No unlawful
practice or a practice at odds with these standards can be
justified on the basis of customary practice, expediency,
or achieving a "higher" purpose.
2.
Individual
Responsibility and Accountability
Members of the University community are expected to exercise
responsibility appropriate to their position and delegated
authorities. They are responsible to each other, the University
and the University's stakeholders both for their actions and
their decisions not to act. Each individual is expected to
conduct the business of the University in accordance with
the Core Values and the Standards of Ethical Conduct,
exercising sound judgment and serving the best interests of
the institution and the community.
3.
Respect for Others
The University is committed to the principle of treating
each community member with respect and dignity. The University
prohibits discrimination and harassment and provides equal
opportunities for all community members and applicants regardless
of race, color, national origin, religion, sex, gender identity,
pregnancy, physical or mental disability, medical condition
(cancer-related or genetic characteristics), ancestry, marital
status, age, sexual orientation, citizenship, or status as
a covered veteran. Further, romantic or sexual relationships
between faculty responsible for academic supervision, evaluation
or instruction and their students are prohibited. The University
is committed to creating a safe and drug free workplace. Following
is a list of the principal policies and reference materials
available in support of this standard:
- The Faculty Code of Conduct
- Academic Personnel Policy Manual
- The Faculty Handbook
- Personnel Policies for Staff Members
- Policies Applying to Campus Activities, Organizations
and Students
- Policy on Sexual Harassment and Procedures for Responding
to Reports of Sexual Harassment
- University policies on nondiscrimination and affirmative
action
- Campus, laboratory and Office of the President Principles
of Community
The University's health sciences enterprises are committed
to the ethical and compassionate treatment of patients and
have established policies and statements of patient rights
in support of this principle.
4.
Compliance with Applicable Laws and Regulations
Institutions of higher education are subject to many of the
same laws and regulations as other enterprises, as well as
those particular to public entities. There are also additional
requirements unique to higher education. Members of the University
community are expected to become familiar with the laws and
regulations bearing on their areas of responsibility. Many
but not all legal requirements are embodied in University
policies. Failure to comply can have serious adverse consequences
both for individuals and for the University, in terms of reputation,
finances and the health and safety of the community. University
business is to be conducted in conformance with legal requirements,
including contractual commitments undertaken by individuals
authorized to bind the University to such commitments.
The Office of the General Counsel has responsibility for
interpretation of legal requirements.
5.
Compliance with Applicable University Policies, Procedures
and Other Forms of Guidance
University policies and procedures are designed to inform
our everyday responsibilities, to set minimum standards and
to give University community members notice of expectations.
Members of the University community are expected to transact
all University business in conformance with policies and procedures
and accordingly have an obligation to become familiar with
those that bear on their areas of responsibility. Each member
is expected to seek clarification on a policy or other University
directive he or she finds to be unclear, outdated or at odds
with University objectives. It is not acceptable to ignore
or disobey policies if one is not in agreement with them,
or to avoid compliance by deliberately seeking loopholes.
In some cases, University employees are also governed by
ethical codes or standards of their professions or disciplines
- some examples are attorneys, auditors, physicians and counseling
staff. It is expected that those employees will comply with
applicable professional standards in addition to laws and
regulations.
6.
Conflicts of Interest or Commitment
Employee members of the University community are expected
to devote primary professional allegiance to the University
and to the mission of teaching, research and public service.
Outside employment must not interfere with University duties.
Outside professional activities, personal financial interests,
or acceptance of benefits from third parties can create actual
or perceived conflicts between the University's mission and
an individual's private interests. University community members
who have certain professional or financial interests are expected
to disclose them in compliance with applicable conflict of
interest/conflict of commitment policies. In all matters,
community members are expected to take appropriate steps,
including consultation if issues are unclear, to avoid both
conflicts of interest and the appearance of such conflicts.
7.
Ethical Conduct of Research
All members of the University community engaged in research
are expected to conduct their research with integrity and
intellectual honesty at all times and with appropriate regard
for human and animal subjects. To protect the rights of human
subjects, all research involving human subjects is to be reviewed
by institutional review boards. Similarly, to protect the
welfare of animal subjects, all research involving animal
subjects is to be reviewed by institutional animal care and
use committees. The University prohibits research misconduct.
Members of the University community engaged in research are
not to: fabricate data or results; change or knowingly omit
data or results to misrepresent results in the research record;
or intentionally misappropriate the ideas, writings, research,
or findings of others. All those engaged in research are expected
to pursue the advancement of knowledge while meeting the highest
standards of honesty, accuracy, and objectivity. They are
also expected to demonstrate accountability for sponsors'
funds and to comply with specific terms and conditions of
contracts and grants.
8.
Records: Confidentiality/Privacy and Access
The University is the custodian of many types of information,
including that which is confidential, proprietary and private.
Individuals who have access to such information are expected
to be familiar and to comply with applicable laws, University
policies, directives and agreements pertaining to access,
use, protection and disclosure of such information. Computer
security and privacy are also subject to law and University
policy.
Information on the University's principles of privacy or
on specific privacy laws may be obtained from the respective
campus or laboratory information privacy office.
The public right to information access and the individual's
right to privacy are both governed by state and federal law,
as well as by University policies and procedures. The legal
provisions and the policies are based upon the principle that
access to information concerning the conduct of the people's
business is a fundamental and necessary right of every person,
as is the right of individuals to privacy.
9.
Internal Controls
Internal controls are the processes employed to help ensure
that the University's business is carried out in accordance
with these Standards, University policies and procedures,
applicable laws and regulations and sound business practices.
They help to promote efficient operations, accurate financial
reporting, protection of assets and responsible fiscal management.
All members of the University community are responsible for
internal controls. Each business unit or department head is
specifically responsible for ensuring that internal controls
are established, properly documented and maintained for activities
within their jurisdiction. Any individual entrusted with funds,
including principal investigators, is responsible for ensuring
that adequate internal controls exist over the use and accountability
of such funds. The University has adopted the principles of
internal controls published by the Committee of Sponsoring
Organizations (COSO) of the Treadway Commission.
10.
Use of University Resources
University resources may only be used for activities on behalf
of the University. They may not be used for private gain or
personal purposes except in limited circumstances permitted
by existing policy where incidental personal use does not
conflict with and is reasonable in relation to University
duties (e.g. telephones). Members of the University community
are expected to treat University property with care and to
adhere to laws, policies and procedures for the acquisition,
use, maintenance, record keeping and disposal of University
property. For purposes of applying this policy, University
resources is defined to include but not be limited to
the following, whether owned by or under the management of
the University (for example, property of the federal government
at the National Laboratories):
- Cash, and other assets whether tangible or intangible;
real or personal property;
- Receivables and other rights or claims against third parties;
- Intellectual property rights;
- Effort of University personnel and of any non-University
entity billing the University for effort;
- Facilities and the rights to use of University facilities;
- The University's name;
- University records, including student and patient records;
and
- The University information technology infrastructure.
11.
Financial Reporting
All University accounting and financial records, tax reports,
expense reports, time sheets and effort reports, and other
documents including those submitted to government agencies
must be accurate, clear and complete. All published financial
reports will make full, fair, accurate, timely and understandable
disclosures as required under generally accepted accounting
principles for government entities, bond covenant agreements
and other requirements. Certain individuals with responsibility
for the preparation of financial statements and disclosures,
or elements thereof, may be required to make attestations
in support of the Standards.
12.
Reporting Violations and Protection from Retaliation
Members of the University community are strongly encouraged
to report all known or suspected improper governmental activities
(IGAs) under the provisions of the Policy on Reporting
and Investigating Allegations of Suspected Improper Governmental
Activities (Whistleblower
Policy). Managers and persons in supervisory roles are
required to report allegations presented to them and to report
suspected IGAs that come to their attention in the ordinary
course of performing their supervisory duties. Reporting parties,
including managers and supervisors, will be protected from
retaliation for making such a report under the Policy for
Protection of Whistleblowers from Retaliation and Guidelines
for Reviewing Retaliation Complaints (Whistleblower
Retaliation Policy).
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