Center for Workplace Learning & Performance
Administrative Professional Series Level II
Everyday Ethics Discussion
Thursday, March 27, 2014
Summary of Ethics-Related Policies Submitted by APS II Participants
Policy Area
Academics
Link/Description
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Academic and Administrative Policies and Procedures G-9: Academic Integrity
Faculty Senate Policy 49-20 –Academic Integrity
Senate Policy 49-20 Academic Integrity
Senate Policy 20-00 Resolution of Student Classroom Problems
AAPM (Academic Administrative Policies & Procedures) G-9: ACADEMIC
INTEGRITY
AAPM – R-6 - Classroom Academic Freedom Conference and Mediation
AD12 Sexual Assault, Relationship and Domestic Violence, and Stalking
AD18 – Possession, Use, and Distribution of Alcoholic Beverages
AD20 – Computer and Network Security
AD33 – A Drug-Free Workplace
AD41 – Sexual Harassment
AD42 – Statement on Nondiscrimination and Harassment
AD47 – General Standards of Professional Ethics
AD 67 – Disclosure of Wrongful Conduct and Protection from Retaliation
AD83 – Institutional Financial Conflict of Interest
AD19 - Use of Penn State Identification Number and Social Security Number
AD22 - Health Insurance Portability and Accountability Act (HIPAA)
AD23 - Use of Institutional Data
AD32 - Smoking Policy and Guideline
AD34 - University Recycling Program
AD39 - Minors Involved in University-Sponsored Programs or Programs Held
at the University and/or Housed in University Facilities
AD43 - Statement on HIV/AIDS
AD57 - General Regulations on Use of University Property
AD65 - Electronic Security and Access Systems
AD72 - Reporting Suspected Child Abuse
AD74 - Compliance With the Clery Act
AD77 - Engaging in Outside Professional Activities (Conflict of Commitment)
AD78 - Threats to Campus Safety
AD81 - Independence of the University Police and Public Safety
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Business
Services &
Financial
Code of
Conduct
AD82 - Classroom Scheduling
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AD85 - Discrimination, Harassment, Sexual Harassment and Related
Inappropriate Conduct
 BS07 – Authority and Procurement
 FN14 – Use of University Tangible Assets, Equipment, Supplies and Services
 Penn State Purchasing – Code of Ethics
 BS14 - Penn State Purchasing Card
 FN04 - Petty Cash and Change Funds
 FN05 - Operating Cash Funds
 FN10 - Other Business Expenses and Activities
 FN19 - Policy for Handling and Distributing Confidential Internal Audit
Reports and Other Documents
 FN23 - Identity Theft Detection, Prevention and Mitigation Program
 FNG07 - Endowment Spending Stewardship
 Penn State Travel Policy
 Sexual Harassment: http://guru.psu.edu/policies/AD85.html
 Weapons: http://guru.psu.edu/policies/Sy12.html
 Drugs and Alcohol:
o http://guru.psu.edu/policies/Ad33.html
o http://guru.psu.edu/policies/Ad18.html
 Student Affairs: http://studentaffairs.psu.edu/conduct/codeofconduct/
1. Abuse/Endangerment/Hazing of a Person
2. Sexual Harassment and Misconduct
3. Harassment
4. Weapons, Firearms, and Paintball Devices
5. Fire Safety Violations
6. Alcohol and/or Drugs
7. False Information
8. Theft and Other Property Offenses
9. Disruption of Operations
10. Violations of Academic Integrity
11. Failure to Comply
12. Forgery/Alteration
13. Unauthorized Entry or Use
14. Disorderly Conduct
15. Violations of University Regulations
16. Violation of Law
17. Retaliation
18. Work Place
Code of Ethical Behavior: Policy Statement
1) Principles
2) Admissions, Transfer, and Quality of Care
3) Communications
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Conflict of
Interest
4) Community Service
5) Confidentiality
6) Education
7) Professional Conduct
8) Recognition of Potential Conflicts of Interest
9) Research
10) Resolution of Conflicts
11) Respect for the Individual
Code of Conduct
 Academic Integrity – need permission from your professor before submitting a
paper that you already submitted for another class
 Sexual misconduct – requires each person to willingly give consent. A person
cannot give consent when under the influence of drugs and/or alcohol.
 Using or possessing a prescription drug without a valid prescription is a
violation. Illegal drugs & synthetic drugs also.
 Must have permission from the copyright holder to share copyrighted materials
(movies, music, software, computer games).
 Weapons, fireworks, and paintball Devises Policy
 Driving under the Influence of Alcohol.
 Off-Campus Misconduct Policy.
 University can notify parents of misconduct (alcohol, drug, life-threatening
situation)
 Records are kept for up to seven years after graduation. Reported for three
years after graduation.
http://www.research.psu.edu/training/sari/teaching-support/conflict-of-interest
Disclosure and Management of Significant Financial Interests (formerly
Individual Conflict of Interest)
Policy RA20: Disclosure and Management of Significant Financial Interests In
order to enable work done at Penn State to have the broadest positive impact on
society, the University sets forth this policy to protect the research, scholarship,
artistic endeavors, and technology transfer programs (also referred to University
Research and Technology Transfer) of the University from improper actions and
influences that can arise as a result of individual conflict of interest. Further, this
policy serves to define the safeguards necessary to preserve the integrity of the
University, its faculty, students, staff, officers, and other senior managers of the
University.
Institutional Financial Conflict of Interest
Policy AD83: Institutional Financial Conflict of Interest
This policy is to set forth
the standard and procedures for reporting and reviewing potential institutional
financial conflicts of interest and to provide a process by which the University will
manage, reduce or eliminate those conflicts. As a steward of public funds, the
University strives to ensure that its research, teaching, outreach, business
transactions and other activities are not inappropriately affected by, nor appear to
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bin inappropriately affected by, the financial or business interests of the University
or of University Officials. While it is widely recognized that university-industry
relationships are essential in advancing scientific knowledge and enabling the
commercial development of academic discoveries to the benefit of the public, the
University will not allow its financial or business interests, or the financial or
business interests of University Officials, to compromise the integrity of the
University's primary mission or to inappropriately influence decisions regarding
University activities.
Conflict of Interest
A conflict of interest exists when a competing interest has the potential to influence
the conduct of professional responsibilities such as teaching, research, and
advising/mentoring. Conflicts of interest may fall into one of three categories:
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Financial conflicts- the existence of a significant financial interest that has the
potential to bias research in some fashion. For example, a researcher having a
direct financial interest in a company that also sponsors his or her research.
Conflicts of conscience- when a personal, moral perspective conflicts with
professional responsibilities. For example, a researcher may morally object to
research using embryonic stem cells or on materials used to make defense
weaponry.
Conflicts of commitment- when the amount of time committed to
responsibilities conflicts. For example, a researcher may commit to spending
30% of her time on a grant, but only spends 15% because she has committed to
too many other activities.
Typically, the greatest concern about conflicts of interests arises in the financial
area due to the possibility that a financial interest may introduce bias, or the
perception of bias. However, the fact that a financial conflict exists, does not mean
that an activity cannot take place. In fact, many financial relationships are
considered healthy to the university community.
Entrepreneurial activities such as patenting, establishing start-up companies and
consulting are encouraged as they bring financial gain as well as prestige. Such
entrepreneurial activities can however create relationships that warrant closer
review and thoughtful handling. Of interest to the University's Financial Conflict
of Interest Program, are situations in which an individual's financial interests are
related to their research. These situations pose the greatest concern as the direct
relationship to research creates the greatest opportunity for personal gain, and
introduces a potential for bias into research. Particular consideration is given to
human subjects’ research or when students contribute to a related research
project. The concern in these instances is that a researcher's financial interests
could potentially increase the risk to human participants, or could hinder the
academic progress of students. Activities requiring further review can include:
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Faculty owned companies that become involved in research as sponsors or
subcontractors.
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Faculty consulting arrangements with research sponsors.
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Intellectual property with commercial value to faculty start-ups, consulting
partners or sponsors.
Relationships with a less direct financial connection to research can also call
objectivity into question. Researchers should consider the implications when they:
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Accepts "gifts" in return for recommending vendors or products.
Intend to sell goods or services to the University through a start-up
company.
Receive honoraria for speaking engagements and expense reimbursement
above normally accepted amounts.
Have a vested interest in ensuring a positive result, delaying a positive
result, or bringing about a negative outcome in a peer review of a
manuscript or proposal.
Have the potential to be paid from more than one source for work on the
same or similar projects.
It is difficult to say for certain that a financial or personal interest will in fact
influence decisions. Thus, rather than avoiding or eliminating research where
there may be a significant financial or personal interest, the objective is to disclose
and manage it to further the transparency of research. Institutions, including Penn
State, have policies and procedures in place to establish standards and assist
investigators as they seek a balance between their research, personal and financial
interests. The Conflict of Interest staff, as part of Penn State's Office for Research
Protections, provides conflict of interest training and guidance, and help
investigators find this balance of interests while maintaining academic integrity.
Conflict of Interest (from the employee’s handbook)
Staff members of the University shall exercise the utmost good faith in all
transactions touching upon their duties to the University and its property. In their
dealings with and on behalf of the University, they shall be held to a strict rule of
honest and fair dealings between themselves and the University. They shall not
use their positions, or knowledge gained therefrom, in such a way that a conflict of
interest might arise between the interest of the University and that of the
individual. Staff members shall disclose to the administrative head of the college
or other unit in which they are employed, or other appropriate administrative
officer, any potential conflict of interest of which they are aware before a contract
or transaction is consummated. (SeeHR-91.)
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Ethics
Penn State University Ethics & Compliance website
 Reporting Suspected Child Abuse
 University Ethics (Policies, Training, Resources, Committee)
 Athletics Integrity
 Athletics Compliance
 Compliance Partners
 Ethics and Compliance Hotline: 800-560-1637
 Clery Act training is specifically for Campus Security Authorities
 Reporting Child Abuse is everyone’s responsibility
A list of Ethics policies may be viewed from this website:
http://www.universityethics.psu.edu/UniversityEthics/Units/universityethics/U
niversity-Ethics-Policies.cfm
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AD47 - General Standards of Professional Ethics
RA10 - Addressing Allegations of Research Misconduct (Formerly Handling
Inquiries/Investigations Into Questions of Ethics in Research and in Other
Scholarly Activities)
 FN14 - Use of Tangible Assets, Equipment, Supplies and Services
 AD85 - Discrimination, Harassment, Sexual Harassment and Related
Inappropriate Conduct
Guiding Ethical Principles
1) Respect of Persons
2) Beneficence
3) Justice
Code of Ethics – Purchasing:
http://www.purchasing.psu.edu/Purchasing/resources/ethics.cfm
Rock Ethics Institute
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Bioethics
Climate Change
Ethics Education
Leadership
Critical Philosophy of Race
Conflict of Interest
PURPOSE:
To avoid the possibility of any misunderstandings concerning the appropriate
conduct of faculty and staff members in regard to all transactions touching upon
their University duties and the property of the University.
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POLICY:
Faculty and staff members of the University shall exercise the utmost good faith in
all transactions touching upon their duties to the University and its property. In
their dealings with and on behalf of the University, they shall be held to a strict
rule of honest and fair dealings between themselves and the University. They shall
not use their positions, or knowledge gained therefrom, in such a way that a
conflict of interest might arise between the interest of the University and that of the
individual. Faculty and staff members shall disclose to the administrative head of
the college or other unit in which they are employed, or other appropriate
administrative officer, any potential conflict of interest of which they are aware
before a contract or transaction is consummated.
University tangible assets, equipment, supplies and services may not be used by
employees for personal gain, or for purposes outside the scope of their
employment.
RESPONSIBILITY:
The first responsibility for adherence to this policy lies with the faculty or staff
member(s) directly involved. If there is reason to believe that this policy is not
being adhered to, the matter should be reported to the faculty or staff member's
administrative head for investigation and resolution. If the matter cannot be
resolved at that level, it should be referred to the next higher administrative level
for resolution.
Human
Resources
Intellectual
Property
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HR35 – Public Service and Political Endorsements by Members of the Faculty
and Staff
HR42 – Payment of Personal Compensation by a State Agency or Department of
the Commonwealth
HR76 – Faculty Rights and Responsibilities
HR80 – Private Consulting Practice
HR91 – Conflict of Interest
HR11 - Affirmative Action in Employment at The Pennsylvania State University
HR23 - Promotion and Tenure Procedures and Regulations
HR64 - Academic Freedom
HR79 - Staff Grievance Procedure
HR99 - Background Check Process
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IP01 – Ownership and Management of Intellectual Property
IP02 - Co-Authorship of Scholarly Reports, Papers and Publications
IP03 – Courseware
IP04 – Royalty Payments for Course Materials
IP05 - Policy Governing Copyright Clearance
IPG01 - Faculty Guidance On Student Intellectual Property Rights
IPG02 - Special Student Intellectual Property Agreement Forms
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Penn State
College of
Education
Research
Student
Related
IPG03 - What to Expect When Licensing a Penn State Technology into a StartUp Company
 IPG04 - Acceptance of Donated Intellectual Property by The Pennsylvania State
University
 Pennsylvania Code of Professional Practice and Conduct for Educators
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http://www.research.psu.edu/training/sari/teaching-support/conflict-ofinterest
 RA10 – Addressing Allegations of Research Misconduct
 RA12 – Technology Transfer and Entrepreneurial Activity (Faculty Research)
 RA14 - The Use of Human Participants in Research
 RAG16 - The Responsible Conduct of Research
 RA18 - Compliance with Federal Export Regulations
 RA19 - Administration of Sponsored Project Subawards of the University
 RA20 – Disclosure and Management of Significant Financial Interests
 RA22 - HIPAA and Research at Penn State University
 RA23 - HIPAA and Research at The Milton S. Hershey Medical Center And
Penn State College Of Medicine
 RAG15 - Faculty Consulting Agreements
 RAG16 - The Responsible Conduct of Research
Penn State Office of Student Conduct
Student Code of Conduct
Student Guide to General University Policies and Rules
http://studentaffairs.psu.edu/conduct/codeofconduct/
Weapons
The Code of Conduct describes behaviors that are inconsistent with the essential
values of the University community. Any student found to have committed, to
have attempted to commit, or to have assisted in the misconduct listed in the Code
of Conduct may be subject to the disciplinary sanctions outlined in Section V, E. A
person engages in an attempt when, with intent to commit a specific violation of
the Code of Conduct, he/she performs any act that constitutes a substantial step
toward the commission of that violation.
SY12 – Weapons, Fireworks, and Paintball Devices
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