Standards of ethical conduct

Adopted by the Regents of the University of California, May 2005

PURPOSE

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.

APPLICABILITY

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, theStandards 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:
 1. The Faculty Code of Conduct
2. Academic Personnel Policy Manual
3. The Faculty Handbook
4. Personnel Policies for Staff Members
5. Policies Applying to Campus Activities, Organizations and Students
6. Policy on Sexual Harassment and Procedures for Responding to Reports of Sexual
Harassment
7. University policies on nondiscrimination and affirmative action
8. 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) :

1. Cash, and other assets whether tangible or intangible; real or personal property;
2. Receivables and other rights or claims against third parties;
3. Intellectual property rights;
4. Effort of University personnel and of any non-University entity billing the University for
effort;
5. Facilities and the rights to use of University facilities;
6. The University's name;
7. University records, including student and patient records; and
8. 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 Protection Policy).