G.1.19 Code of Conduct

2.1 Applicable Statutes and Regulations: MBL’s commitment to integrity begins with complying with pertinent laws, rules, and regulations. The work of the MBL is heavily regulated. Non-compliance with laws and regulations can have severe adverse financial and other consequences, potentially affecting the reputation and operations of the institution. In addition, individuals can suffer similarly severe financial and reputation consequences. Everyone must understand the laws, rules, regulations, and

MBL policies that apply to their specific roles. If you are unsure of whether a contemplated action is permitted by law or MBL policy, advice should first be sought from the appropriate resource expert listed in Addendum A before taking action.

Everyone is responsible within his or her scope of work for preventing violations of law and for speaking up if possible violations are observed.

2.2 Existing MBL Policies: In many cases, the MBL expects more than mere compliance with applicable law, and so our policies may contain expectations of conduct not necessarily exclusively grounded in legal requirements. All MBL policies are listed in Addendum B to this policy. Some of these represent internal policies or control procedures and are not necessarily compliance policies. Nevertheless, all members of the MBL community should become familiar with the policies related to their scope of work, particularly those relevant to compliance issues. Existing policies may be updated, revised or deleted from or added to from time to time. The Human Resources office coordinates the maintenance of all MBL policies. Copies of current policies may be accessed internally on the Human Resources web-page on the MBL web-site or obtained from any supervisor, the Grass Reading Room of the MBLWHOI Library or Human Resources office in the Homestead Building.

2.3 Conflicts of Interest: The complex relationships among government, industry, research institutions, and researchers, as well as the demands of commerce necessitate the establishment of guidelines for Trustees, Officers, and scientific & administrative staff regarding conflict of interest in carrying out their duties and obligations. These guidelines have both ethical and legal (federal and state) bases. Generally these guidelines call for disclosure of any situation that could reasonably be considered or even have the appearance of a conflict of interest. Also the interests of the MBL always take precedence. MBL has established policies to assist Trustees and staff in identifying conflicts that might arise and the reporting mechanisms for these conflicts. Reference MBL polices A.1.6 Trustee Conflict of Interest and K.1.3 Conflict of Interest Policy.

2.4 Scientific Integrity: Any action or conduct on the part of its staff or personnel or those engaged in MBL-sponsored activities that would compromise scientific integrity is against policy. Specifically, a compromise of scientific integrity—also referred to as “misconduct in science”— means fabrication or falsification of data or other documentation, plagiarism, or other unethical practices that seriously deviate from those practices that are commonly accepted within the scientific community for proposing, conducting or reporting research. Honest error or honest differences in interpretations or judgments of data does not constitute a compromise of scientific integrity. Guidelines on Scientific Integrity are found in MBL policy K.1.2 Scientific Integrity.

2.5 Stewardship of Property and Funds: Resources and records, including time, intellectual property, material, equipment and information, are provided for MBL business use. Nonetheless, occasional personal use is permissible as long as it does not affect job performance or cause a disruption to the workplace.

Employees and those who represent MBL are trusted to behave responsibly and use good judgment to conserve institutional resources. Managers are responsible for the resources assigned to their departments and are empowered to resolve issues concerning their proper use.

Generally, use of MBL equipment such as computers, copiers and fax machines in the conduct of an outside business or in support of any religious, political or other outside daily activity is not appropriate. Questions about the proper use of company resources should be directed to individual managers.

The MBL wishes to foster new knowledge and secure the benefits for the long-term health of the institution. At the same time there is an obligation to keep MBL information confidential as well as the confidential information shared with the MBL community by other institutions. As a result steps to safeguard the intellectual property of the MBL are also necessary. Guidelines for this are found in MBL policy K.1.1 Intellectual Property Policy and Procedures.

2.6 Recording, Allocating, and Charging Costs and Efforts: The accuracy and reliability of financial and effort reports is of utmost importance to the business operations of the institution. At all times, staff must record, allocate, and charge costs & effort accurately and maintain supporting documentation as required by established policies and procedures. Guidelines are found in MBL policy E.1 Grants Accounting, Policies and Procedures Manual.

2.7 Internal Controls: Internal controls provide the keystone of sound business practices. These controls include adequate segregation of duties, diligent application of preventive and detective control systems, and conscientious compliance with authorization, reporting, and other established processes. Internal controls are critical to ensuring efficient operations, responsible financial management, accurate financial reporting, careful protections of assets, and satisfactory compliance with applicable laws and regulations.

2.8 Mutual Respect for Others: The MBL is committed to recognizing and acknowledging the dignity of its workers and visitors. As a result discrimination or harassment along sexual, racial, political, or religious lines has no place in our community. Guidelines regarding this are found in the MBL policies A.2 EEO Policies.

3.1 If it is not clear to whom a question or concern should be directed, the Human Resources office is readily available for consultation.

3.2 If a material violation of MBL policy or a law/regulation is suspected, it should be reported, referencing the guidelines in MBL policy G.1.20 Allegations of Misconduct. Please keep in mind that it is not appropriate for employees to undertake their own investigation of concerns. Their obligation is to raise the concern appropriately.

3.3 Reporting individuals can be assured that there will be no reprisals or retaliation of any kind for reporting any type of suspected problem or possible violation if the report is made in good faith.

3.4 The Compliance Coordinator will oversee an independent investigation of the suspected violations of law and any resulting corrective action that may be deemed necessary.

A.1.1 Policies and Procedures for Unfunded Scientists
A.1.2 Policies and Procedures for Scientific Appointments and Promotions

A.1.3 Research Units at MBL
A.1.4 Trustee Conflict of Interest

A.2.1 Illegal Harassment
A.2.2 Drug Free Workplace
A.2.3 Incorporated into A.2.4 March, 2004
A.2.4 Equal Opportunity, Affirmative Action and Diversity

B.1.1 Safety Shoe Allowance
B.1.2 Chemical Waste Disposal Policy
B.1.3 Sharps/Biological Waste Disposal
B.1.4 Transite Removal
B.1.5 Bicycles in Buildings
B.1.6 Incorporated in D.2.4, October, 2004
B.1.7 Diving at the MBL
B.1.8 Chemical Safety
B.1.9 Radiation Safety
B.1.10 Consumer Wastes

C.1.1 Fundraising Policy
C.1.2 Corporation & Foundation Grants and Gifts Stewardship
C.1.3 Naming Opportunities and Endowed Funds

C.2.1 Retirement Party and Gift policy

D.1.1 Guidelines for Pets in the MBL Workplace
D.1.2 Winter Storage and Vacating Laboratory Space
D.1.3 Moved to Housing F.1.3 February, 2004
D.1.4 Keys
D.1.5 Parking
D.1.6 Incorporated into D.2.4, March, 2005
D.1.7 Posting Notices on Doors
D.1.8 Flag Policy
D.1.9 Lillie Corridor Storage
D.1.10 Facilities Improvements and Maintenance
D.1.11 Moved to Housing F.1.4
D.1.12 Surplus and Disposal of MBL Materials
D.1.13 Storm Closing and Notification Procedure

D.1.14 Skateboarding
D.1.15 Authorized Access Areas
D.1.16 Use of MBL Radios
D.1.17 Violence Prevention

D.2.1 MBL Storage Box Movement Program
D.2.2 Shipping/Receiving Policy
D.2.3 Bicycle Storage and Locker Room Use
D.2.4 Driver and Vehicle Use
D.2.5 MBL Reduce, Reuse, and Recycle Policy

D.3.1 Refrigeration and Refrigerants
D.3.2 Bulletin Boards in Hallways
D.3.3 Incorporated into D.1.10, March 28, 2005

E.1.1 Grants Accounting and Compliance
E.1.2 Abandoned Property
Purchasing Policy
Unrestricted Operating Budgets, Policies and Procedures Manual

F.1.1 Housing Policy
F.1.2 Lead Paint in Housing
F.1.3 Winter Storage in Cottages
F.1.4 Washers/Dryers in Cottages
F.1.5 Year-Round Temporary Housing

G.1.1 Performance Reviews
G.1.2 Probationary Periods and Regular Status
G.1.3 Attendance and Punctuality
G.1.4 Disciplinary Procedures
G.1.5 Leaves of Absence
G.1.6 Sick Time
G.1.7 Vacations
G.1.8 Grievance Policy
G.1.9 Smoke Free Environment
G.1.10 Family and Medical Leave Policy
G.1.11 Post Retirement Medical Policy
G.1.12 Alcohol Policy
G.1.13 Holiday Policy
G.1.14 Employment-Based Hiring and Sponsorship Of Visas For Foreign Nationals
G.1.15 Bereavement
G.1.16 Jury Duty
G.1.17 Employment of Family Members
G.1.18 Salary Basis
G.1.19 MBL Code of Conduct
G.1.20 Allegations of Misconduct
G.1.21 Alternate Work Arrangements

H.1.1 Information on Library Gifts-in-Kind
H.1.2 Procedure for Book Collection Development
H.1.3 Use of Materials from the Rare Books Room
H.1.4 Removed February, 2004
H.1.5 Circulation Policy
H.1.6 Access Policy
H.1.7 Special Collections Policy
H.1.8 Archival Policy
H.1.9 Access for Archival Records
H.1.10 Records Management

H.2.1 Accounting System Security Policy
H.2.2 IT Password Policy
H.2.3 Network Security Policy
H.2.4 Purchasing of Computer Resources by MBL Staff and Researchers
H.2.5 Areas and Levels of Support for Computer Services
H.2.6 Telecommunications Policy
H.2.7 Telephone Account Codes and Credit Cards
H.2.8 Email Attachments
H.2.9 Written Information Security Policy

J.1.1 Hurricane Preparedness
J.1.2 Whitman and Loeb Sea Water Tank Room Policy
J.1.3 MR Usage Policy
J.1.4 Collection Support Facility Operating Policy
J.1.5 At Sea Vessel Waste Disposal Management
J.1.6 Purchasing Policy for Living Organisms
J.1.7 Squid Fee
J.1.8 Living Organism Supply
J.1.9 Non Indigenous Species

K.1.1 Intellectual Property Policy and Procedures
K.1.2 Policies/Procedures on Scientific Integrity
K.1.3 Conflict of Interest Policy
K.1.4 Humane Care and Use of Laboratory Animals
K.1.5 Incorporated into G.1.12
K.1.6 MBL Protection of Human Subjects
K.1.7 Visiting Investigator Space Rental
K.1.8 Research and Education Building Access Approval
K.1.9 Mentoring Program for Scientists