Code of Ethics

Rutgers Code of Ethics

CODE OF ETHICS: GENERAL CONDUCT *

I. Purpose

To set forth in a comprehensive document a Code of Ethics to govern and guide the conduct of the University's governors, trustees, faculty and staff members.

II. Accountability

Under the direction of the President, the Executive Vice President for Academic Affairs is to ensure compliance with this policy.

III. Policy

A. Requirements:

1. This Code of Ethics shall be applicable to all members of the Boards of Governors and Trustees, officers (President and vice presidents), deans, academic department chairs, administration department heads, faculty and staff members including student employees.

2. Whenever a question arises concerning the implementation and applicability of this Code of Ethics, it is recommended that, prior to active participation, advice be obtained from the department chair or unit head of your school or operating unit and that continuing questions be referred to the appropriate dean, provost, or vice president and ultimately to the University Vice President for Academic Affairs (all of whom may seek the advice, as appropriate, of the University Counsel).

3. Faculty members are subject to University Policy 60.5.8, which provides:

60.5.8A. In carrying out their University responsibilities and professional activities, faculty members may be presented with the opportunity of representing the interests of both the University and other individuals, organizations, or institutions. It is the policy of the University that all faculty members avoid any conflict of interest or appearance of conflict of interest, as defined by the provisions of the New Jersey Conflicts of Interest Law as well as the relevant Regulations and written policies of the University. Whenever a potential for conflict of interest exists, faculty members have an obligation to inform the University of the potential conflict through their department chairs or unit heads and to consult with them to determine whether a conflict of interest actually exists and, if so, what appropriate steps may be required to eliminate the conflict.

60.5.8B. Faculty members must not represent, appear for, or negotiate on behalf of any individuals, organizations, or institutions outside the University in connection with any contract, grant application, cause, proceeding, or other matter pending before the University. Faculty members must not act on behalf of the University in any matter involving outside organizations in which they have decision-making authority or a direct or indirect financial interest that might reasonably be expected to impair objectivity or independence of judgment (ownership or control more than ten percent of the profits, assets, or stock in an outside organization shall automatically be regarded as constituting impairment of objectivity or independence of judgment). Faculty members must also inform the University through their department chairs or unit heads of their association, direct or indirect, with any outside organization with which the University has, or is actively negotiating for, contractual relationships, if that association includes decision making authority or a direct or indirect financial interest that might reasonably be expected to impair objectivity or independence of judgment.

60.5.8C. Faculty members must not use or attempt to use their University positions to secure inappropriate privileges or advantages for themselves or others.

60.5.8D Some examples of conflict of interest are as follows:

(1) Orienting University research, teaching, or other University activity for inappropriate private advantage or, without disclosure to the University, to serve the needs of outside individuals, organizations, or institutions with which the faculty member is associated for financial gain.

(2) Transmitting, without disclosure to and approval by the University, to outside individuals, organizations, or institutions with which the faculty member is associated for financial gain, or other inappropriate nonacademic use for financial gain or other private advantage, of University-sponsored work products, results, materials, records, or information that are not made generally available.

(3) Undertaking for financial gain or other private advantage, and without permission from the University, either in the employment of oneself or in that of outside individuals, organizations, or institutions, contracted research or other similar contracted professional activity that the faculty member would normally engage in under University auspices.

(4) Participating in or influencing the purchase or lease of equipment, instruments, materials, or other items for University use from individual organizations, or institutions with which the faculty member is associated for financial gain without disclosure of the association to the University.

(5) Using University equipment, materials, services, students, or facilities without proper authorization, and compensation where appropriate, for the faculty member's own benefit or for the benefit of other individuals, organizations, or institutions with which the faculty member is associated for financial gain.

(6) Accepting gifts, favors, or services having value from individuals, organizations, or institutions seeking access to University facilities or programs, or with which the University does business, under circumstances that might reasonably be interpreted as an attempt to influence the recipient in the conduct of his or her duties.

60.5.8E. The University retains the right to require a faculty member to withdraw from any outside association that it judges to constitute a conflict of interest with the faculty member's obligations to the University. This right shall be exercised by the dean of the academic unit in which the faculty member is assigned. Before exercising this right, the dean shall provide the faculty member with an opportunity to demonstrate that no conflict of interest exists and shall seek advice from the unit committee of review. A faculty member who has been directed to withdraw from outside associations may appeal the decision of the dean to the campus provost, who will render a final decision.

60.5.8F. Notwithstanding the provisions of the New Jersey Conflicts of Interest Law, a faculty or staff member or his/her partners or any corporation or firm in which he/she owns or controls more than 1% of the stock, assets or profits may enter into a contract or agreement with the University, where the contract or agreement is for the development of scientific or technological discoveries or innovations in which the University has a property right, if the faculty or staff member receives approval to do so in accordance with the administrative procedure adopted for this purpose. (That procedure is set forth in University Policy 60.5.9, appended hereto as Attachment A.)

4. In addition, governors, trustees, officers, faculty and staff members of Rutgers, The State University of New Jersey and student employees shall conform to the following general standards as provided below:

a. University governors, trustees, officers, faculty or staff members shall not have any interest, financial or otherwise, direct or indirect, or engage in any business or transaction, or professional activity which is in substantial conflict with the proper discharge of his or her duties in the public interest.

b. University governors, trustees, officers, faculty or staff members who engage in any particular business, profession, trade, or occupation which is subject to licensing or regulation by a specific agency of the State government shall promptly file notice of such activity with the Executive Vice President for Academic Affairs.

c. University officers, faculty and staff members shall file secondary or outside employment forms with the Executive Vice President for Academic Affairs concerning negotiation, appearance or representation on behalf of any party other than the State in connection with any cause, proceeding, application, or other matter pending before any State agency.

d. University governors, trustees, officers, faculty or staff members shall not use or attempt to use his or her position at the University to secure unwarranted privileges or advantages for himself, or others.

e. University governors, trustees, officers, faculty or staff members shall not act in his or her official capacity in any matter wherein he or she has a direct or indirect personal financial interest which might reasonably be expected to impair his or her objectivity or independence of judgment.

f. University governors, trustees, officers, faculty or staff members shall not accept any gift, favors, services or other things of value under circumstances from which it might be reasonably inferred that such gifts, services, or other thing of value was given or offered for the purpose of influencing him or her in the discharge of his or her official duties.

g. University governors, trustees, officers, faculty or staff members shall not undertake any employment or service, whether compensated or not, which might reasonably be expected to impair his or her objectivity and independence of judgment in the exercise of official duties for the University.

h. University governors, trustees, officers, faculty or staff members shall not knowingly act in any way that might reasonably be expected to create the impression or suspicion among the public having knowledge of his or her acts that he or she might be or may be engaged in conduct violative of his or her trust as a University governor, trustee, officer, faculty or staff member.

i. The source of these provisions is state statute, N.J.S.A. 52:13D- 16b and 52:13D-23(e).

5. No University governor, trustee, officer, faculty or staff member shall knowingly himself/herself, or by his/her partners or through any corporation which he/she controls or in which he/she owns or controls more than 1% of the stock, or by any other person for his/her use or benefit or on his/her account, undertake or execute, in whole or in part, any contract, agreement, sale or purchase of the value of $25.00 or more, made, entered into, awarded or granted by any State agency, except any contract, agreement, sale or purchase which is permitted pursuant to the provisions of N.J.S.A. 52:13D-19 or N.J.S.A. 52:13D-19.2) as amended; or, in accordance with N.J.S.A. 52:13D-19.1, where the contract or agreement is for the development of scientific or technological discoveries or innovations in which the University has a property right, if the contract or agreement receives approval in accordance with the procedures set forth in University Policy 60.5.9, a copy of which is appended hereto as Attachment A.

6. Members of the Boards of Governors or Trustees, as well as University officers, are also subject to University Policy 50.1.12.

7. All individuals governed by this code of ethics are required to comply with all of the provisions and requirements of the New Jersey Conflicts of Interest Law, N.J.S.A. 52:13D-12 et seq., as amended, with certain limited exceptions**.

8. These guidelines have been promulgated in recognition that under our democratic form of government, public officials and employees should be drawn from all of our society, that citizens who serve in government or its instrumentality cannot and should not be expected to be without any personal interest in the decisions and policies of government; that citizens who are government officials and employees have a right to private interests of a personal, financial, and economic nature; that standards of conduct should separate those conflicts of interest which are unavoidable in a free society from those conflicts of interest which are substantial and material, or which bring government or its instrumentality into disrepute.

9. This Code of Ethics is provided as a mandatory guideline and to call attention to all governors, trustees, officers, faculty and staff members and students of the University the potential for conflict of interests and the accompanying legal jeopardy involved.

By Direction of the President:
University Vice President for Academic Affairs

* This Code of Ethics was adopted by Rutgers University in accordance with the New Jersey conflicts of interest law. The Rutgers code was approved by the New Jersey Commission on Ethical Standards in 1997. It has been updated to reflect current university policy numbering current as of March 2008.

**For example, The New Jersey Supreme Court has held that the law school faculty are exempted from the prohibition which would otherwise limit their ability to represent parties in their clinical practice with interests which are adverse to the State. See in re: Executive Commission on Ethical Standards, Re: appearance of Rutgers Attorneys, 116 N.J. 216 (1989)

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