Code of Conduct and Policies

All participants in Simons Institute programs and activities including visitors, faculty, and staff are subject to the Simons Foundation Grant Code of Conduct, UC Berkeley Sexual Violence and Sexual Harassment Policy, and the University of California Standards of Ethical Conduct as follows:

Simons Foundation Grant Code of Conduct

The Simons Foundation is committed to the conduct of science in an environment that conforms to the highest ethical, professional, and legal standards.

Accordingly, in connection with a grant from the Simons Foundation, a grantee institution must maintain an environment that complies with law, professional codes of conduct, its own policies and procedures as well as those of the Simons Foundation.

All grantee institutions are expected to implement and adhere to policies and procedures that:

  1. foster an environment free of discrimination, harassment, and retaliation;

  2. actively promote professional codes of conduct;

  3. ensure employees understand, and are fully aware of, applicable laws, policies, and codes of conduct;

  4. provide an accessible and effective process to report Prohibited Conduct (as defined below), with protection from retaliation;

  5. respond promptly to reports of Prohibited Conduct, investigate the report thoroughly, and impose Administrative Action (as defined below) where appropriate.

Personnel (as defined below) funded by the Simons Foundation must comply with this Grant Code of Conduct.

Notifications

The Simons Foundation requires grantee institutions to provide notice, within 10 business days, of the following, except as prohibited by law:

  1. any Determination (as defined below) involving Personnel (as defined below) relating to Prohibited Conduct; and

  2. any Administrative Action (as defined below) involving Personnel.

The Notice should be submitted through the Simons Foundation’s secure portal: https://www.simonsfoundation.org/funding-opportunities/policies-and-procedures/institution-notification-form/.

The Simons Foundation will maintain the confidentiality of a Determination and Administrative Action as well as all related information to the extent required by law.

Individuals should report any Prohibited Conduct that impacts a grant funded by the Simons Foundation to the designated persons at their institution. If the institution does not address the report, the individual may contact the Simons Foundation through its secure portal: https://www.simonsfoundation.org/funding-opportunities/policies-and-procedures/individual-notification-form/.

In that case, the Simons Foundation may follow up with the institution, as appropriate, to confirm that the grant is being performed in a workplace consistent with this Grant Code of Conduct.

Review of Grant Status Following Notification

The Simons Foundation will review the Determination and/or Administrative Action, consider the impact on performance of the grant, and determine whether it is appropriate for the grantee institution to proceed with the grant.

Pursuant to its Policies and Procedures, the Simons Foundation has the right to suspend or terminate any grant.

Definitions

For purposes of this Grant Code of Conduct, the following definitions apply:

Administrative Action: Any disciplinary or corrective action, including termination or suspension, taken with respect to Personnel.

Determination: The final disposition of a matter involving Prohibited Conduct.

Personnel: Principal investigators and all other members of the research team working on a grant funded by the Simons Foundation.

Prohibited Conduct: Any violation of applicable federal, state, and local anti-discrimination, anti-harassment, and anti-retaliation laws; criminal laws, including those with respect to physical assault; institutional policies and procedures relating to anti-discrimination, anti-harassment, and anti-retaliation, including this Grant Code of Conduct; and professional codes of conduct.

UC Berkeley Sexual Violence and Sexual Harassment Policy

The University of California is committed to creating and maintaining a community dedicated to the advancement, application and transmission of knowledge and creative endeavors through academic excellence, where all individuals who participate in University programs and activities can work and learn together in an atmosphere free of harassment, exploitation, or intimidation.

The University has general policies prohibiting harassment and discrimination on the basis of protected categories, including the University of California Policy on Discrimination, Harassment, and Affirmative Action in the Workplace and the Student Code of Conduct. The University of California Sexual Violence and Sexual Harassment Policy is specifically focused on sexual violence and sexual harassment, retaliation, and other behavior that violates University policy (“Prohibited Conduct”). This Policy outlines the University’s responsibilities and procedures related to Prohibited Conduct in order to ensure an equitable and inclusive education and employment environment free of sexual violence and sexual harassment. The Policy defines conduct prohibited by the University of California and explains the administrative procedures the University uses to resolve reports of Prohibited Conduct. The University’s Sexual Violence and Sexual Harassment Policy applies to all University employees as well as undergraduate, graduate, and professional students. The Policy applies at all University campuses, the Lawrence Berkeley National Laboratory, Medical Centers, the Office of the President, Agriculture and Natural Resources, and to all University programs and activities.

The full text of the University’s Sexual Violence and Sexual Harassment Policy may be reviewed on the UC Office of the President website. The University will respond promptly and effectively to reports of Prohibited Conduct and will take appropriate action to prevent, to correct, and when necessary and possible, to discipline behavior that violates the UC Policy on Sexual Violence and Sexual Harassment.

Confidential resources, including the PATH to Care Center, are also available to those who have experienced sexual harassment, sexual violence, or other Prohibited Conduct in connection with a UC Berkeley event. Advocates can be reached 24 hours a day through The Care Line: 510/643-2005. For non-urgent questions or appointments, call the office at 510/642-1988. The PATH to Care Center can be reached at 510/642-1988. A survivor can make use of confidential resources at any time, regardless of whether the event has been reported to the Title IX office or other authorities. For more information about PATH to Care and other survivor support services at UC Berkeley, see the Prevention, Response, & Support website.

Any person may report incidents of sexual violence, sexual harassment, relationship violence, stalking, or other forms of prohibited behavior to the campus Title IX office, which is named Office for the Prevention of Harassment and Discrimination (OPHD). Contact OPHD either by emailing ask_ophd [at] berkeley.edu or by leaving a voicemail at 510/643-7985.

Reports to law enforcement can be made to UC Berkeley’s police department (UCPD) for on-campus incidents or to the local department where the crime occurred. A confidential advocate from PATH to Care or UCPD staff can help determine which police department to contact. In an emergency, dial 911, or to reach UCPD’s emergency line call 510/642-3333. Reports to UCPD can be made in person at 1 Sproul Hall, or by phone through the non-emergency line at 510/642-6760.

University of California Standards of Ethical Conduct

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

The University’s Statement of Ethical Values and Standards of Ethical Conduct commits everyone in the UC community to the highest ethical standards in furtherance of the University’s mission of teaching, research, and public service. It identifies the University’s core ethical values as integrity, excellence, accountability, and respect.

In summary, we are committed to the following:

1. Fair Dealing. We will always conduct ourselves ethically, honestly, and with integrity.

2. Individual Responsibility and Accountability. We will accept responsibility appropriate to our positions and delegated authorities.

3. Respect for Others. We will treat everyone we contact with respect and dignity.

4. Compliance with Applicable Laws and Regulations. We will learn and abide by federal, state, and local laws that affect our campus roles.

5. Compliance with Applicable University Policies, Procedures and Other Forms of Guidance. We will learn and abide by University and campus policies and procedures that affect our campus roles.

6. Conflicts of Interest or Commitment. We will avoid both actual conflicts of interest and the appearance of such conflicts, and devote our primary professional allegiance to the University and its mission of teaching, research, and public service.

7. Ethical Conduct of Research. We will conduct our research with integrity and intellectual honesty, and show the greatest care for human or animal subjects.

8. Records: Confidentiality/Privacy and Access. We will follow applicable laws and University policies when accessing, using, protecting, or disclosing records.

9. Internal Controls. We will ensure that internal controls are established, properly documented, and maintained for activities within our jurisdictions.

10. Use of University Resources. We will ensure that campus resources are used only on behalf of the University.

11. Financial Reporting. We will ensure that accounting and financial records are accurate, clear, and complete.

12. Reporting Violations and Protection from Retaliation. We will report all known or suspected improper governmental activities under the provisions of the University’s Whistleblower Policy, recognizing that everyone is protected from retaliation for making such reports under the Whistleblower Retaliation Policy.

Visitors to the Simons Institute may contact simonsassociatedirector [at] berkeley.edu (Peter Bartlett) or whumnicky [at] berkeley.edu (William Humnicky )regarding any questions or concerns regarding compliance with these policies.