Conduct & Ethics Reporting

Academic Affairs

Academic Misconduct

Any form of unethical behavior that violates the integrity of the academic process, such as bestowing or seeking academic favors or advancements on the basis of friendship or gifts, concealing conflicts of interest, or deliberate failure to meet professional obligations.

Cheating / Plagiarism

Authorized or unauthorized student usage of answers, papers, works, or projects owned or created by another student, professional or individual.

Student Safety

An unsafe situation caused by the campus or students that would produce an insecure environment. (Examples include, environmental damage, poor housekeeping, handling and disposing of hazardous materials.)

Accounting and Financial

Accounting and Auditing Matters

The unethical systematic recording and analysis of the business and financial transactions associated with generally accepted accounting practices. (Examples include: misstatement of revenues, misstatement of expenses, misstatement of assets, misapplications of GAAP principles, wrongful transactions)

Donor Stewardship

Mishandling of donor funds directed to the institution, including funds that may not have been used in accordance with the donor’s intentions and wishes.

Falsification of Contracts, Reports or Records

Falsification of records consists of altering, falsifying, or forging all or any part of a document, contract or record for the purpose of gaining an advantage, or misrepresenting the value of the document, contract or record. Failure to complete and post or file data and reports required by law to governmental agencies.

Fraud

The intentional misrepresentation or concealment of information in order to deceive, mislead, or acquire something of value. A fraud is an intentional deception perpetrated to secure an unfair gain. (Examples include: Violation of Policy, Sabotage)

Improper Disclosure of Financial Records

Careless, unlawful or fraudulent conduct in recording, preparing, reporting, disclosing of either the value or the content of a contract, report, statement, document, record, or electronic file.

Improper Giving or Receiving of Gifts

The giving, receiving or solicitation of items which could be reasonably interpreted as an effort to influence a business relationship or decision; items given, received or solicited for the benefit of an individual or an individual’s family or friends; items given, received or solicited during or in connection with contract negotiations; the acceptance of cash, checks, money order, vouchers, gift certificates, loans, products or services.

Improper Supplier or Contractor Activity

Supplier or contractor activity in violation of institution’s policies and procedures; improper supplier or contractor selection based on personal gain, improper negotiation or diversion of contract awards.

Theft / Embezzlement

The act of stealing; specifically: the felonious taking and removing of personal property with intent to deprive the rightful owner of it. To appropriate (as property entrusted to one’s care) fraudulently to one’s own use (Examples include: bookkeeping errors, misapplication of funds, and mishandling of cash)

Waste, Abuse or Misuse of Institution Resources

Improper or unauthorized use of this institution’s resources and technologies for personal gain.

Athletics

Misuse of Assets, Players or Endorsements

Use of college sports equipment, uniforms or any other items owned by the institution for personal activities. Improper talent scout activity; arranging meetings between current or former players with talent scouts; taking money for arranging introductions with scouts.

Recruiting Misconduct

Phone calls or unauthorized visits outside the recruiting period; undue duress or influence from alumni, trustee or unauthorized personnel; recruiting players outside amateur status.

Scholarship / Financial Aid Misconduct

Falsifying entrance or placement exams; utilizing an assumed name; improper inducement of benefits or financial aid. Unusual treatment for one player and not for others in loans, transportation or housing benefits; arranging for fraudulent academic credit or falsification of transcripts.

Bias and Discrimination

Bias Incidents

A bias incident is an act of bigotry, harassment or intimidation committed by a member of the Smith community against another member of the Smith community based on their age, color, creed, disability, gender identity, gender expression, race, religion, nation/ethnic origin, sex, sexual orientation or veteran status. This includes, but is not limited to, slurs, graffiti, written messages, or images that harass or intimidate individuals or groups because of their membership in the above listed protected classes.  

Discrimination, Harassment or Retaliation/Retribution

Unfair treatment or uninvited and unwelcome verbal or physical conduct because of your race, color, creed, religion, national/ethnic origin, sex, sexual orientation, gender identity, gender expression, age, or with regard to the bases outlined in the Veterans Readjustment Act and the Americans with Disabilities Act. (Examples include: bias in hiring, bias in assignments, wrongful termination, bias in promotions, bias in educational decisions, unfair compensation, etc.). Retaliation or retribution for bringing or participating in a complaint of discrimination or harassment.

Sexual Harassment

Sexual harassment is defined as unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature where: 1) the conduct is made as a term or condition of an individual’s employment, education, living environment or participation in the college community; 2) the acceptance or refusal of such conduct is used as the basis or a factor in decisions affecting an individual’s employment, education, living environment, or participation in the college community; or 3) the conduct unreasonably impacts an individual’s employment or academic performance or creates an intimidating, hostile or offensive environment for that individual’s employment, education, living environment, or participation in the college community.

Campus Accessibility and Disability Accommodations

Accessibility and Disability Matters

Failure to meet requirements as defined by laws such as the Americans with Disabilities Act of 1990 (ADA), and the ADA Amendments Act of 2008 (examples include: improper disability access, not afforded access to accommodations).

Human Resources

Conflict of Interest

A situation in which a person or a family member has a financial interest or non financial interest that may compromise, or provide the incentive to compromise, the behavior in the conduct of the person’s duties at the institution, the person’s influence on decisions that the institution may make, or the person’s influence over his or her associates outside the institution. A conflict of interest may be real, potential or apparent.

Employee Benefits Abuses

Improper, misleading or deceptive actions /statements, falsification of records, or misrepresentation of actual conditions related to institution benefits plans, including health and supplemental insurance plans, tuition benefits and sick or other paid time-off programs.

Employee Misconduct

Involves any employee conduct that is in violation of the institution’s code of conduct, ethics policy, faculty handbook or any other printed materials that constitute employee conduct. Time abuse concerns about an employee or manager who are falsifying his/her work hours.

Failure to Comply with Federal or State Employment and Education laws

Failure to meet requirements as defined by laws such as Title VII of the Civil Rights Act of 1964, Title IX of the Education Amendments of 1972, or the Americans with Disabilities Act of 1990 (ADA), the Massachusetts Civil Rights Act, and the ADA Amendments Act of 2008 (Examples include: Nepotism, improper disability access)

Unsafe Working Conditions

Failure to meet requirements needed to perform all duties in a secure environment. Potential areas of harm. (Examples include: environmental damage, OSHA, EPA, supervisor directive, poor housekeeping)

Workers Compensation or Disability Benefits Abuses

Observation of physical activity of employees receiving disability or other compensation benefits from the institution in contradiction to the degree of the disability certified by medical personnel.

Research

Data Privacy

Refers to the technical, contractual, administrative and physical steps taken by the institution to protect against unauthorized access to and disclosure of personally identifiable data of students, faculty and other third parties that we possess. Includes the theft of, and intentional or inadvertent loss of such data.

Research Environmental and Safety Matters

Failure to meet the requirements of any applicable law, rule or regulation relating to the environment, working conditions or workplace safety, including, without limitation, regulations promulgated by the U.S. Occupational Safety and Health Administration, the U.S. Environmental Protection Agency, and similar agencies in other jurisdictions. Includes a failure to inform supervisors of the failure to meet the requirements.

Research Fraud

The intentional misrepresentation or concealment of information in order to deceive, mislead, or acquire something of value. A fraud is an intentional deception perpetrated to secure an unfair gain.

Human or Animal Research

Inappropriate use of humans or animals involved in research.

Intellectual Property Infringement, Misappropriation or Disclosure

Any unauthorized or inappropriate use, misappropriation or disclosure of confidential information (in any form) or intellectual property belonging to the institution or any institution’s customer, supplier or business partner, including, without limitation, any intellectual property protected under any U.S. or other laws relating to copyrights, patents or trade secrets. Also includes any unauthorized or inappropriate use of any institution computer system.

Research Conflict of Interest

Concerns related to violations of conflict of interest policies governing researchers.

Research Grant Misconduct or Misappropriation of Costs

Unallowable or questionable expenditures or cost transfers to government grants, contracts or other agreements. Any expenditures or cost transfers that may be in violation of OMB Circular A-21.

Scientific Misconduct

Fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting, or reporting research. Fabrication is making up data or results and recording or reprinting them. Falsification is manipulating research materials, equipment or processes, or changing or omitting data or results, such that the research is not accurately reported in the research record. Plagiarism is the appropriation of another person’s ideas, processes, results, or words without giving appropriate credit.

Risk and Safety Matters

Confidentiality

Confidentiality refers to the protection of the institution’s and our customer’s non-public information and use of such information only for legitimate business purposes.

Environmental and Safety Matters

Failure to meet the requirements of any applicable law, rule or regulation relating to the environment, working conditions or workplace safety, including, without limitation, regulations promulgated by the U.S. Occupational Safety and Health Administration, the U.S. Environmental Protection Agency, and similar agencies in other jurisdictions.

Risk and Safety Matters- Improper Supplier or Contractor Activity

Supplier or contractor activity in violation of institution’s policies and procedures; improper supplier or contractor selection based on personal gain, improper negotiation or diversion of contract awards.