Keuka College Code of Ethics
Officially Adopted Sept. 30, 2006
Includes Conflicts Policy
Introduction
Society entrusts institutions of higher learning with the critical charge of education, and with this charge comes a great responsibility for the institution to create an appropriate environment for learning. Board members, faculty, administration, and staff have a responsibility to achieve and maintain a high standard of ethical practice both for maintaining the integrity and public confidence of the institution and for the mentoring of tomorrow’s leaders. Our behavior reflects both on the institution and on the higher education profession as a whole. As a matter of fundamental principle, Keuka College and its representatives should adhere to the highest ethical standards simply because it is the right thing to do. All employees, subcontractors and volunteers shall acquire the knowledge necessary to maintain compliance with all laws, rules and regulations applicable to the conduct of business at Keuka College. Certain employees have a fiduciary responsibility, as the college is the steward of student, grant, loan, and donor funds, and these employees shall fulfill their fiduciary responsibility with a duty of care and in accordance with regulations and student and donor expectations and direction. Ethics, however, involves more than merely complying with the law or policy manuals, it is about doing what is right.
Statement of Values
Keuka College is responsible for nourishing the kind of values within its students, which will carry them through life. Thus, Keuka College must lead by example, and the conduct of all representatives of Keuka College should be characterized by integrity, dignity and respect for others, and they should expect and encourage the same conduct in others. For a further listing of the college’s values, see The Keuka Plan, dated 2001-2002 and the Keuka Record (page 1).
Guiding Principles
Keuka is Student-Centered
Students are the foundation of our community and the reason for our existence, and all decisions should be weighed with this principle in mind.
Keuka promotes Equality
Everyone—without exception—will be treated with respect and dignity.
Keuka Fosters Quality in its Mission and Goals
Academic excellence is not an empty slogan, and all those associated with the college have a moral obligation to strive for this goal.
Keuka Promotes a Supportive Living and Learning Community
A community that works together for the common good helps create an environment for optimal learning.
Supportive Working Environment
A community that promotes cooperation and collaboration helps to create an environment for optimal satisfaction and productivity.
Experiential
The above values and principles serve to guide members of the Keuka community, to fulfill that important responsibility with which we have been entrusted, and to encourage a professional and supportive environment by which all interactions and business dealings with Keuka College will be measured.
Application of Ethical Principles
Although acknowledging that rules and policies are important and necessary to the performance of any organization, organizational ethics depends largely on the individual and his or her character and integrity. It is impossible to elucidate every possible situation or contingency that an employee might face; when in doubt, the action in question should be considered and evaluated with the college’s Guiding Principles in mind.
Relationships of Employees
Every effort should be made “to treat others as you would prefer to be treated,” and although this principle is not exhaustive, it is a good place to begin.
1) Sexual Harassment or any other form of harassment shall not be tolerated, and employees shall report any known sexual or other unlawful or unwelcome harassment. Such behavior is at odds with the environment that Keuka is trying to promote.
2) If and when interpersonal conflict arises, every effort should be made to address the conflict with the Guiding Principles of the College in mind.
Conflicts of Interest
A conflict of interest may be defined as a situation in which an employee or Trustee of Keuka College is involved in a potentially conflicting relationship involving the college and outside interests. This situation may lead others to suspect that the employee might act selfishly and/or not in the best interests of the college. Every effort should be made by all employees to avoid such relationships, and any perceived conflicts should be appropriately disclosed to the employee’s superior or manager.
1) Representatives of the College will avoid directly or indirectly soliciting or receiving any gift, whether in the form of money, services, loan, travel, entertainment, hospitality, thing or promise or any other form, under circumstances in which it could reasonably be inferred that the gift was intended to influence, or could reasonably be expected to influence in the performance of duties, or was intended as a reward for any official action on his/her part. Employees should at all times adhere to the principle of “Do no Harm” when it comes to potential conflicts of interest.
2) The employee shall avoid engaging in, soliciting, negotiating for or promising to accept private employment, or rendering services for private interests when such employment or service creates a conflict with, or impairs the proper discharge of his/her responsibilities and duties to the institution.
Please refer to the Keuka College Conflict of Interest Policy for specific details and examples.
Confidentiality and Reporting
In an information-rich organization such as Keuka College, it is essential to recognize the important principle of confidentiality, and to respect the privacy of all employees and students. It is also important to recognize that the college has a responsibility to disclose certain information in an appropriate manner.
1) All employees should protect against the release, revision or misuse of confidential information. Further, such information, acquired in the course of performing his/her duties shall not be used to further personal interests. When in doubt whether the information is protected by the laws and principles of confidentiality, the employee should contact his or her supervisor, the Human Resources Office, the Ethics Officer, or the Audit Committee of the Board of Trustees.
2) All “Whistleblower” information is deemed confidential, and employees are encouraged to become familiar with the whistleblower policy and the procedures for reporting organizational malfeasance. (NOTE: The college has not formally adopted a whistleblower policy, but is expected to do so within a year)
3) Keuka College will disclose all legal and appropriate information about the institution. Informational data, such as the Form 990, is available upon request. All financial and institutional reports and surveys will be complete and accurate in all respects.
Fiduciary Matters
Every effort should be made by all employees to recognize the ethical boundaries in matters of money and property.
1) Employees shall prevent the use of college owned equipment, vehicles, materials, or property for any individual’s personal convenience or profit.
2) Employees should report any falsification of data, timekeeping, employment application information, employee reimbursement requests, or other records.
3) Employees shall use sick time according to policy and avoid abusing the benefit. Excessive absenteeism, tardiness, or absences without notice are not acceptable
Distribution and Communication of the Code of Ethics
A copy of this code of ethics will be provided to every Board of Trustee member and all employees of the college, and it is hoped that the code will provide helpful guidance. Periodic seminars and discussion groups will be held to assist in the familiarization of the Code and one’s responsibilities. New employees shall be provided a copy at time of hire.
Scope of this Code
The Code of Ethics is a general policy that outlines ethical principles, not an exhaustive treatise that attempts to cover each and every circumstance. For further information, contact the Human Resources office
In addition, more specific Codes of Ethics adopted by national, regional or specific groups (e.g., National Association of Student Financial Aid Administrators, National Association of College Admission Counseling, National Association of College & University Business Officers, National Committee on Planned Giving, National Association of Educational Buyers, and the American Association of University Professors) are also endorsed by Keuka College and provide a more detailed set of recommended practices for specific issues.
KEUKA COLLEGE CONFLICTS POLICY
Article I – The Primary Commitment to the College
Introduction
Trustees, executive officers, deans, directors, faculty and staff all serve the educational and public purposes to which Keuka College is dedicated. Accordingly, all such individuals of the College community have a clear obligation to conduct the affairs of the College in a manner consistent with those purposes and to make all decisions on the basis of a desire to promote the best interests of the institution and the highest ethical standards.
This statement recognizes and affirms the settled tradition and expectation that members will conduct their relationships with each other and the College with candor and integrity.
These policies and procedures will permit members of the trustees, faculty, staff and administration to identify, evaluate and correct or remove real, apparent and potential conflicts of interest and commitment. The appearance that a conflict may be present may be as important as the reality. Accordingly, the first essential step in all of the procedures set forth below is disclosure and discussion.
A. Employees and Trustees
One is considered to have a conflict of interest when he or she or any of his or her family or associates (to his or her present knowledge) either (1) has an existing or potential financial or other material interest which impairs or might appear to impair the individual’s independence and objectivity of judgment in the discharge of responsibilities to the College, or (2) may receive a financial or other material benefit from knowledge of information confidential to the College.
The family of an individual includes his or her spouse, parents, siblings, children and any other blood relative if the latter resides in the same household. An associate of an individual includes any person, trust, organization or enterprise (of a business nature or otherwise) with respect to which the individual or any member of his or her family (1) is a director, officer, employee, member, partner, or trustee, or (2) has a significant financial interest or any other interest which enables him or her to exercise control or significantly influence policy.
B. Faculty
Faculty who accept full-time appointments have a primary commitment which includes teaching scheduled classes, being available to students and colleagues outside the classroom, serving departmental, and college committees, and otherwise meeting the changing needs of the College.
C. Staff
In the case of staff members, commitments of time and the expectations attached to such positions are more explicitly defined, and therefore the likelihood of conflicting external activities are reduced. Nevertheless, the College expects that staff members also will recognize the possibility that their external activities, commitments and interests may have adverse effects on the performance of their College obligations.
D. Part-Time Appointees
Faculty and staff members who hold part-time appointments commonly will have major obligations and commitments, not only to the College, but also to one or more outside agencies. The potential for conflict may be significant. Accordingly, part-time employees are expected to exercise special care in disclosing and fulfilling their multiple obligations.
E. Trustees and Executive Officers
Trustees and executive officers of the College are fiduciaries and owe special duties of care and loyalty to the institution as a whole and must keep the College’s interests paramount to all others.
Article II – Categories of Conflicts
While employed or associated with the College, the activities of employees must include interactions with many external agencies. Predictably, some external relationships will have the potential to create conflicts of interest or commitment, or the appearance thereof. In many situations these conflicts will be apparent and can be resolved by disclosure. Actual conflicts fall into two categories.
A. Conflict of Interest
Typically, a conflict of interest may arise when one has the opportunity to influence the College’s business, administrative, academic or other decisions in ways that could lead to personal gain or advantage of any kind.
B. Conflict of Commitment
A conflict of commitment arises when one undertakes external commitments which burden or interfere with one’s primary obligations and commitments to the College.
C. Examples of Conflicts
It is difficult to specify precisely what constitutes an objectionable conflict in all situations. Illustrative examples are given in Attachment A to assist in understanding where and how such conflicts may arise. As stated earlier, in most circumstances, conflicts can be resolved by appropriate disclosure.
Article III – Conflict Disclosure and Avoidance
Everyone is expected to evaluate and arrange their external interests and commitments in order to avoid compromising their ability to carry out their primary obligations to the College. First of all, conflicts should be avoided or resolved through the exercise of individual judgment or discretion.
Full disclosure of the circumstances surrounding a real or potential conflict should be made prior to making the commitment or initiating the activity, which poses the possible conflict.
A. Members of the Faculty and Support Staff of Instruction
Disclosure should be made to the College and Trustees in such form and manner as the Provost may prescribe. The division chairs may act as a representative of the Provost for the purpose of receiving and evaluating such information. Disclosure shall be sufficiently detailed to permit an accurate and objective evaluation. Each member has an obligation to cooperate fully in the review of the pertinent facts and circumstances. The Provost shall make a determination, which resolves and removes or discloses the conflict or appearance of conflict.
Discussions with the department chair and/or Provost should include consideration of whether an individual’s role in an external agency needs to be declared or made known to other members of the College community to protect confidentiality or to guard against the transfer of privileged information. If such disclosure is necessary, it should be made by the department chair to faculty and staff who may be affected.
B. Members of the Staff
Disclosure should be made to the college in such form and manner as the Vice President of Finance and Administration may prescribe. Members involved in the following duties must be particularly conscious of possible conflicts or the appearance of such conflicts: the procurement, exchange or sale of goods, services or other assets, the negotiation or formation of contracts or other commitments affecting the assets or interests of the institution, the handling of confidential information and the rendition of professional advice to the College. Disclosure shall be sufficiently detailed to permit an accurate and objective evaluation. Each member has an obligation to cooperate fully in the review of the pertinent facts and circumstances. The Vice President of Finance and Administration shall make a determination, which resolves and removes or discloses the conflict or appearance of conflict.
C. Trustees and Executive Officers of the Corporation
BYLAWS – BOARD OF TRUSTEES (Adopted October 20, 2001 & Revised March 6, 2004)
ARTICLE XVI – Conflicts of Interest
A Trustee shall be considered to have a conflict of interest if (a) such trustee has existing or potential financial or other interests which impair or might reasonably appear to impair such member’s independent, unbiased judgment in the discharge of his/her responsibilities to the College, or (b) such trustee is aware that a member of his/her family (which for purposes of this paragraph shall be a spouse, parents, siblings, children, and any other relative if the latter reside in the same household as the trustee), or any organization in which such trustee (or member of his/her family) is an officer, director, employee, member, partner, trustee, or controlling stockholder, has such existing or potential financial or other interests. All trustees shall disclose to the board any possible conflicts of interest at the earliest practicable time. No trustee shall vote on any matter, under consideration at a board or committee meeting, in which such trustee has a conflict of interest. The minutes of such meeting shall reflect that a disclosure was made and that the trustee having a conflict of interest abstained from voting. Any trustee who is uncertain whether he/she has a conflict of interest in any matter may request the Board or committee to determine whether a conflict of interest exists, and the board or committee shall resolve the question by majority vote.
Article IV – Resolution of Conflicts Involving Faculty and Support Staff
A. Initial Disclosure
In the event that disclosure reveals a real or apparent conflict, the Provost or VP of Finance and Administration shall review the facts and attempt to resolve the matter informally with the faculty or staff member.
In the event that the member objects to the resolution by the Provost or VP of Finance and Administration, the matter shall be referred to the Committee on Conflicts (see Section V).
Article V – College Committee on Conflicts
A. Purpose
A College Committee on Conflicts shall be established which shall be appointed by the President and which shall serve as a College resource with respect to matters involving the general subject of conflicts of interest and commitment, the oversight and implementation of the Keuka College Conflicts Policy, and the identification and resolution of specific conflicts of interest.
B. Composition
The Committee on Conflicts (COC) shall be co-chaired by the Provost and the Executive Vice President, and shall include not less than five additional members appointed by the President, including faculty representation. Members shall serve three-year staggered terms. The College’s retained counsel shall serve as an advisor to the Committee.
C. Duties
1. The COC shall provide assistance requested by any College individual(s) that addresses potential conflict of interest and situations.
a. The Provost or Vice President of Finance and Administration shall provide the COC with a copy of any unresolved conflict of interest or disclosure statement which reveals a real or apparent conflict of interest or commitment, together with his/her recommended resolution of such conflict.
2. The COC shall at the request of the Provost, Vice President of Finance and Administration or an appropriate administrative officer or a faculty or staff member, provide advice regarding a potential conflict of interest or commitment. If a faculty, administrative or staff member objects to the resolution of a conflict pursuant to Article IV (A), he/she may seek the advice of the COC.
3. The COC shall maintain an ongoing awareness of college procedures, practices, and standards with regard to conflict of interest and commitment with a view to assuring consistency with the terms of the College’s Conflicts Policy. It shall carry on whatever dialogue is necessary with college deans and directors or administrative officers to insure that its knowledge is sufficiently current and complete. It shall also insure that a proper balance is maintained between confidentiality and understanding of its operations and standards.
4. The COC shall maintain an awareness of externally imposed conflict of interest requirements, and shall provide advice and recommendations to the Provost and Vice President of Finance and Administration on any related policy matter.
5. The COC may recommend to the President changes to the College’s Conflicts Policy.
6. The COC shall perform such additional functions as may be assigned from time to time by the President.
7. The COC will report biennially to the President and Audit Committee of the Board of Trustees on matters within its jurisdiction.
D. Procedures:
1. The COC shall establish its own procedures, consistent with this policy, and may make use of subcommittees to carry out its various functions.
2. In the case of activities subject to applicable governmental regulations on conflict of interest, the requirements of such governmental regulations shall apply and supplement and/or, to the extent inconsistent herewith, supersede the provisions of this and other Articles of the College’s Conflicts Policy. In that event, applicable reporting procedures and other substantive and procedural requirements will be adhered to.
ATTACHMENT A
The following commentary and examples are intended to provide guidance in the identification of conflicts of interest or commitment. The list does not cover all possible situations, which might involve an actual or apparent conflict of interest. It is intended to be illustrative only.
General Considerations:
Individuals involved in business ventures as owner, operator, or major investor must be alert to the possibility that a conflict may arise. If the enterprise does no business with the College, only the area of conflict of commitment is likely to be involved.
If the enterprise does business with the College, or might do business with the College, one is expected to disclose that fact. Generally, there will be no conflict if one is not in a position to influence the College with respect to the business of the enterprise in which the individual holds an interest.
One may not review, approve, or administratively control contracts when the contract is between the College and a company in which the member has a substantial financial interest or when the contract is with a member of the employee’s immediate family or when a member of the employee’s immediate family is an employee of the contractor and directly involved with activities included under the contract or has a substantial interest in the contractor.
No gifts or accommodations of any nature may be accepted by individuals of the College, when to do so could possibly place them in a prejudicial or embarrassing position, interfere in any way with the impartial discharge of their duties to the College or reflect adversely on their integrity or that of the College. Subject to this restriction, one may accept modest gifts, meals, entertainment and other normal social amenities so long as such amenities are not extravagant under the circumstances, and are not perceived to be intended to influence the member.
Permissible Activities:
The following activities are clearly permissible and do not require disclosure as an actual or potential conflict under the terms of this policy.
Example 1 – Acceptance of royalties or publication royalties or honoraria for commissioned papers and lectures even where such works are based on materials developed pursuant to College duties such as teaching course or conducting research.
Example 2 – Services to outside educational, professional scientific, artistic, cultural, civic, business or other organizations, which enhance the value of the member to the College and do not adversely affect one’s primary commitment to the College.
Apparent Conflicts Requiring Prior Disclosure and Resolution:
The following activities have the potential to create conflicts of interest of commitment and should be reviewed and disclosed prior to being undertaken.
Upon full disclosure, the College may approve a transaction or affiliation, provided no conflict of interest is involved and further provided that the individual furnishes an annual statement indicating compliance with the College’s Conflict of Interest Policy. The College shall disapprove the transaction or affiliation, if a conflict of interest is involved which cannot be resolved or removed.
Example 3 – Situations where one directly or indirectly leases, rents, trades or sells real or personal property to the College.
Example 4 – Situations where one possesses a substantial interest in or participates in the profits of any organization that deals or seeks to deal with the College. Participation through stockholdings, mutual funds and similar vehicles is not a conflict unless the stocks of the organization held by the individual constitute a substantial holding (20% or greater
Example 5 – Situations where an individual accepts appointment as an officer or director or serves in any management capacity in an external commercial, industrial, business or financial organization or profit-making enterprise which deals or seeks to deal with the College.
Example 6 – Situations where one, while serving in a position at Keuka College is concurrently engaged to teach a course or otherwise make a substantial contribution to the instruction or educational services offered by another entity. Instructional activities performed in the course of normal faculty sabbatical leave, which are routinely subject to disclosure and approval processes, are not meant to be covered by this example.
Example 7 – Situations where one makes substantial use of College resources (e.g. studios, computer technology, research, technical or support staff) in developing and/or teaching a course to be offered by another entity, unless approved in advance by the College.
Example 8 – Situations where an individual, without permission, utilizes the name of the College or one of its programs in connection with the promotion, marketing, or sale of a product or service in such a way as to imply College sponsorship, e.g. “The Keuka College Book of ….”
Example 9 – Situations where an individual, as part of an arrangement with an entity unaffiliated with Keuka, agrees to any limitations on his/her performance of teaching or other instructional duties for the College (e.g. through agreements containing exclusive provider, non-competition or right of first refusal clauses).
Possible Conflicts:
Conflict is possible, even if unlikely, in situations such as those listed in the following examples, and one should give careful consideration to the possibility that a conflict exists. In many cases the potential for conflict can be removed by disclosure.
Example 10 – Relationships that might enable individuals to influence Keuka’s interactions with outside organizations in ways that may lead to personal gain, to the taking of improper advantage by anyone, or the improper diversion of College assets from the primary missions of the College, including the time and talents of its faculty and staff.
Example 11 – Situations in which an individual, while serving as a consultant to an external organization has access to unpublished, privileged information from a colleague that has potential commercial value and wishes to provide that information to the external organization.
Example 12 – Situations where an individual directs students into a research area or other activity from which the member intends to realize personal financial gain. A conflict may arise if students are directed to areas of lesser scientific or scholarly merit to enhance the potential for monetary gain or if the financial potential exists only for the individual.
Example 13 – Situations where an individual is asked to assume executive or managerial positions with outside organizations that might seriously divert one’s attention from College duties, or create other conflicts of loyalty.
Example 14 – Disclosure or use for personal profit of unpublished information coming from College research or other confidential College sources, or assisting outside organizations by giving them access to such information except as may be authorized by official College policies.
Example 15 – Situations where one is invited to advise or serve in an organization doing business the general area of the member’s College responsibility or which is related to that field.
Example 16 – Situations where one is offered a position on a board of an organization that has contracts with the college.
Example 17 – Situations where one is involved in independent business ventures as owner, operator or major investor, particularly if the corporation is doing business with the College.
Example 18 – Situations in which an individual can require others to purchase a product in which the individual has a proprietary interest and from which the individual will receive income. This shall not be taken to apply to professors who require the purchase of their authored textbooks for their students.
Conflicts of Commitment:
Assessment of a conflict of commitment is more difficult than assessment of a conflict of interest. Generally, such conflicts will be apparent in the failure of individuals to discharge fully the role and duties expected of them.
- Commitments that involve frequent or prolonged absence from the College on non-College business.
- Commitments that engage a substantial portion of the time one is expected to spend in College related activities and which thereby dilutes the amount or quality of participation in the instructional, scholarly or administrative work of the College.