Cornell
University Policy Library -- Policy 4.6
ENTITIES AFFECTED BY THIS POLICY
Cornell University expects all executive officers, faculty, staff, student employees, and others, when acting on behalf of the university, to maintain the highest standard of ethical conduct.
The university's commitment to the highest standard of ethical conduct is an integral part of its mission to "foster initiative, integrity and excellence, in an environment of collegiality, civility and responsible stewardship." That commitment upholds the reputation of the university, both locally and globally, and encourages compliance with applicable laws and regulations.
| University Policies | Other Documents |
| Campus Code of Conduct | 1991 Federal Sentencing Guidelines |
| Conflicts Policy | Anti-Kickback Act of 1986 |
| Conflict of Interest and Conflict of Commitment (Ethical Questions and Dilemmas for Faculty Members) | Foreign Corrupt Practices Act |
| Faculty Council of Representatives Resolution on Romantic and Sexual Relationships Between Students and Staff | NSF Requirements, Misconduct in Science |
| Faculty Handbook | OFPP Act, Procurement Integrity |
| Personnel Policy #112: Special Employment Circumstances | |
| Personnel Policy #701: Conflict of Interest | |
| Personnel Policy #711: Conflict of Commitment | |
| President's Statement on Affirmative Action | |
| University Policy 3.1, Accepting University Gifts | |
| University Policy 3.6, Financial Irregularities | |
| University Policy 4.6, Standards of Ethical Conduct | |
| University Policy 5.1, Responsible Use of Electronic Communications | |
| University Purchasing Manual |
Direct any general questions about the Standards of Ethical Conduct
Policy to your department's administrative office. If you have questions
about specific issues, call the following offices:
| Subject | Contact | Telephone |
| Academic Misconduct | Dean of Faculty | (607) 255-4843 |
| Business Matters | Vice President for Financial Affairs | (607) 255-6240 |
| Financial Matters | University Audit Office | (607) 255-9300 |
| Personnel Matters | University Human Resource Services | (607) 255-8370 |
| Other Student, Employee, Faculty, or Volunteer Inquiries | Dean of Faculty | (607) 255-4843 |
| Judicial Administrator | (607) 255-4680 | |
| University Counsel | (607) 255-5124 | |
| University Ombudsman | (607) 255-4321 | |
| Research Matters | Vice Provost for Research | (607) 255-7200 |
If you feel your questions have not been answered or you wish to remain anonymous you may file a report through Cornell University's Hotline.
These definitions apply to these terms as they are used in this policy.
| Abuse of Power | Wrongful use of a position of authority to influence employees, students, colleagues, or volunteers (e.g., coercion to participate in activities or decision making in violation of laws, regulations, or policies). |
| Conflict of Commitment | A situation in which an employee's additional employment or other activity, whether internal or external to the university, interferes with his or her performance in the primary appointment at the university. |
| Conflict of Interest | A situation in which an individual or any of his or her family has an existing or potential financial or other material interest that impairs or might appear to impair the individual's independence and objectivity of judgment in the discharge of responsibilities to the university. A conflict of interest also arises when an individual evaluates the work or performance of a person with whom he or she is engaged in a romantic or sexual relationship. This is true whether the parties involved in the relationship are faculty, student, or staff members. see "Appendix C" for more specific information regarding romantic and sexual relationships between students and staff members). |
| Ethical Conduct | Behavior conducted according to university's "Statement of Ethical Conduct" and this policy. |
| Financial Irregularity | An intentional misstatement, omission, or failure to disclose information related to financial transactions that is detrimental to the interests of the university, including embezzlement, fraud, or falsification of records; to misappropriate assets. |
| Fraud | An intentional act of misrepresentation, dishonesty, trickery, or deceit (including the concealment or suppression of truth), designed to obtain information or assets without approval. |
| Intellectual Property | Property of an intellectual nature belonging to an individual or entity, including but not limited to proprietary information that is protected by a patent, copyright, or non-disclosure agreement. |
| Kickback | The act of accepting a payment to improperly obtain or reward with favorable treatment in connection with either a contract or subcontract relating to a prime contract. |
| Misconduct | Cheating, falsification, fabrication, misappropriation, plagiarism, or other practice that seriously deviates from those commonly accepted as proper. |
| Stewardship | The management of tangible and intangible assets of the university. |
University executive officers, faculty, staff, student employees, and others acting on behalf of the university should not commit acts contrary to these standards or support the commission of such acts by others.
A practice will not be condoned on the grounds that it is "customary," "easy," or "expedient" if it does not meet these standards of ethical conduct; condoning such practices may compromise the integrity and reputation of the university. If you are asked to act against these standards, you should decline. You are empowered to say something such as the following: "University policy doesn't allow me to do this. Please discuss this matter further with..." or "I'm uncomfortable with what you've asked me to do and I'd like to discuss the matter with..." If you act in good faith, the university will act to protect you from being disciplined or suffering reprisal for making such a statement.
Further, members of the university community are expected to assume personal responsibility and accountability for their actions by maintaining these standards. In an effort to ensure that employees are adequately informed of the university's expectations, all employees will be asked to read a Statement of Ethical Conduct (see the "Appendix A" Section of this document).
Listed below are some of the areas where frequent ethical questions arise, and some general principles of ethical conduct:
2. If you cannot address the situation in this manner, you may contact the university office responsible for your area of concern.
3. If it appears that there may have been a violation of ethical conduct, report it to the appropriate university office (e.g., Audit, University Counsel), or report it through Cornell University's Hotline.
The major responsibilities each party has in connection with the university's
Standards of Ethical Conduct Policy are as follows:
| College Dean / Vice President | Ensure that department
chairs and unit managers are aware of the need for complete compliance
with the Statement of Ethical Conduct.
Report suspected violations to appropriate university personnel (see the "Reporting a Violation" segment of this document). |
| Department/Unit Manager | 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 university personnel (see the "Reporting a Violation" segment of this document) to protect both the alleged violator and the indi- vidual reporting a suspected violation. |
| University Audit | Investigate alleged policy violations and determine whether a violation has occurred, and whether action is required. |
| University Counsel | Provide advice to individuals who believe that a violation may have occurred |
| You | Conduct university-related activities according to the Statement of Ethical Conduct. |
For a printable version of this statement click here.
2. The governing board will be knowledgeable about, and exercise reasonable oversight over, the implementation and effectiveness of the compliance program. High-level personnel will aim to provide the organization with an effective compliance program and be assigned oversight responsibility. Individuals with operating responsibility for the compliance program will report periodically to high-level personnel and, as appropriate, to the governing board, or a subgroup thereof, on the effectiveness of the program.
3. The organization will use reasonable efforts not to include within its substantial authority personnel any individual whom the organization knew, or should have known, has engaged in illegal activities or other conduct inconsistent with an effective compliance program.
4. The organization will take reasonable steps to communicate periodically its standards and procedures, and other aspects of the compliance program, to the governing board, the organization's employees and agents through training programs and dissemination of information appropriate to such individuals' roles and responsibilities.
5. The organization will take reasonable steps so that the compliance program is followed including monitoring and auditing to detect criminal conduct, evaluating periodically the effectiveness of the program, and providing and publicizing a system whereby criminal conduct may be reported without fear of retaliation.
6. The program will be promoted and enforced consistently through appropriate incentives, and appropriate disciplinary measures for engaging in, or failing to take reasonable steps to prevent or detect, criminal conduct.
7. The organization will take reasonable steps to respond appropriately to criminal conduct and to prevent recurrence, including making any necessary modifications to its compliance program.
Romantic or sexual relationships between students and persons in positions of authority compromise the relationship between students and the University. No member of the University community should simultaneously be romantically or sexually involved with a student whom he or she teaches, advises, coaches, or supervises in any way. Individuals in such positions of authority must not allow these relationships to develop or continue.
In unusual circumstances the supervising dean* of the person in a position of authority may grant an exemption from this policy when full severance of the University relationship would create undue academic or financial hardship for the student.
*The supervising dean will mean the Dean of the School or College of the staff member's primary appointment, the Dean of the Graduate School in the case of graduate students, the Vice Provost for Research for staff members holding appointments in centers, and the Vice President for Student and Academic Services for staff members holding appointments in that division.