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Do you Know the Code? Understanding the Principles of Conducting UVM Business

Office of Compliance Services (802)-656-3086 http://www.uvm.edu/compliance


UVM’s Code of Business Conduct All University personnel are expected to assume personal responsibility and accountability for understanding and abiding by relevant laws and policies, and for adhering to the spirit of the Code. The Code is a statement of the underlying standards and principles that, as a community, we are expected to follow in conducting UVM business.

Do you know the Code?: www.uvm.edu/policies/ Managers and Supervisors are required to report violations of the Code.


UVM Code of Conduct UVM is committed to the highest standard of ethical conduct when conducting business. The Code helps us achieve this goal by setting out expectations for business and fiduciary conduct and by reminding us that all University personnel must safeguard and preserve institutional resources. Supervisors are responsible for ensuring that University personnel receive adequate information and training to understand the laws, policies, and procedures that are relevant to their jobs. All UVM employees must follow the Code. It applies to administrators, staff, faculty, and student employees, who manage, supervise, or conduct University business. This includes Universityrecognized organizations and affiliated entities.

Making a Report is Anonymous

Ethics and Compliance Reporting and Help Line (877)-310-0413 Toll Free http://www.uvm.edu/compliance *Secure reporting tools provided by EthicsPoint Inc., a third-party vendor.


Principles of Conduct

Basic Principles. The Code sets out the basic principles of business conduct. Some of the most important of these are: 

Fair Dealing – We must deal fairly with vendors.

Compliance – We are responsible for understanding and following the laws, regulations and policies that impact our work.

Conflicts of Interest and Commitment - We must avoid, disclose and/or manage conflicts in accordance with the law and UVM policies.

UVM Assets and Resources – We must be prudent and effective stewards of University assets and resources.

Government Funds – We must responsibly manage Government funds, complying with grant terms, the law and University Policies.

Confidentiality – We must use diligence in maintaining the confidentiality of information entrusted to UVM.

Authority to Contract – We must ensure that our transactions are appropriately authorized.

Records - We are responsible for the accuracy and integrity of our records and must maintain them in accordance with UVM policies.

Prohibited Activities. The Code prohibits activities such as fraud, theft, bribery, kickbacks or payoffs. We also must not, in general terms, provide political or commercial endorsements, or accept, give, offer or ask for gifts or gratuities from vendors or regulators.


Contacting the Compliance Help Line Contacting the Compliance Help Line is easy and anonymous. You do not need to be an expert on the law or on a particular University policy. You can simply seek guidance on compliance matters. It is your resource. Remember, you can make a report even if you are unsure of all the facts. You might just have a feeling that something is not quite right. Put your mind at rest. Once you have reported something, your report will be reviewed by those who can find the facts and assess them. You’ve done your job.

Ethics and Compliance Reporting and Help Line (877)-310-0413 Toll Free http://www.uvm.edu/compliance *Secure reporting tools provided by EthicsPoint Inc., a third-party vendor.


Ethics and Compliance Reporting and Help Line FAQs How can I report an issue? Reports can be made either through the toll-free phone line (877.310 -0413) or online at: http://www.uvm.edu/compliance and click the Help Line link.

What types of situations should I report? The Compliance Help Line is designed to receive good faith reports of violations of the Code of Business Conduct, applicable legal requirements, or University policies. It should not be used to address employee dissatisfaction. It can also be used to report compliance concerns or ask compliance-related questions.

If I see a violation, shouldn’t I report it to my supervisor and let them deal with it? When you observe behavior that you believe might violate our Code of Business Conduct or another University Policy, you are encouraged to report it. You can bring any concerns forward to your direct supervisor. However, there may be circumstances when you may not be comfortable reporting the issue in this manner. The Compliance Help Line allows an anonymous means of reporting concerns.

Am I protected from Retaliation? The Compliance Help Line allows for anonymous reporting. The Code of Business Conduct prohibits retaliation against whistleblowers and identifies avenues to report suspected retaliatory behavior.

B157 Billings Center, 48 University Place Burlington, VT 05405 http://www.uvm.edu/compliance

UVM's Code of Conduct Brochure  

UVM's Code of Conduct Brochure

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