In brief: The Illusrative Guide

This autumn the Council for Industry and Higher Education aims to publish an Illustrative Framework to help universities and colleges develop their own ethics guides. One size will not fit all, but an example will be helpful. The extracts below reflect present thinking. The CIHE has tried to align the framework with the main functions of a higher education institution - such as teaching and learning; research and development; the student experience; and so on - rather than by stakeholders, as is common in the private sector. It now wants to know whether that approach commands general agreement.

The Overall Purpose of This illustrative ethical policy framework is to provide suggestions and guidance on how to articulate institutional values and ethics. It aims to be neither prescriptive nor definitive.

(NB. For brevity, parts of the framework have been omitted. Asterisks indicate where sections have been left out. The full document can be found on the CIHE website at www.cihe-uk.com/ethics .)

A Typical Preamble
The mission of our institution is:

• To enable people to develop their capabilities and fulfil their potential, both personally and at work
• To advance knowledge and understanding through scholarship and research
  
• To contribute to an economically successful and culturally diverse nation.*

B Purpose and use
This framework:
a. Describes the principles that govern how we operate
b. Specifies how employees and students are expected to act in relation to the institution’s values as well as the laws and regulations that control our operations
c. Provides guidance on how to resolve dilemmas about institutional conduct and points employees and students to where they can obtain further assistance
d. Applies to all staff and students, and to all of our operations.*

C Teaching and learning
Maintaining the highest standards of teaching and learning is a fundamental aim of our institution. We expect our staff and students to uphold the highest standards of academic integrity.
1. Our academic staff are responsible for creating a beneficial learning environment for students. We expect staff to treat students and colleagues with fairness and respect at all times and to provide appropriate academic support for students
2. We strive to ensure that our academic programmes provide a high-quality and challenging educational experience that is appropriate to the needs and expectations of our students
3. This institution fully supports academic freedom within the law to further knowledge and debate*
4. Plagiarism and other forms of academic misconduct - such as collusion, cheating, impersonation and the use of inadmissible material (including material downloaded from electronic sources such as the internet) - will not be tolerated
5. Whenever the institution organises placement learning opportunities, these should provide appropriate learning opportunities and contribute to the student’s programme of study. Guidance and support will be available to students throughout their placement.
6. If an employee of the institution becomes emotionally or sexually involved with a student whom he or she teaches, the employee must declare the existence of the relationship to his or her head of department. It is the responsibility of the employee and the head of department to ensure that the relationship does not affect any assessments of the student’s performance
7. The institution has fair, rigorous and transparent student assessment procedures to judge student performance
8. The institution has policies and procedures in place to respond to student complaints and appeals about academic matters.*

D Research and development
We are dedicated to furthering knowledge within our institution and within society as a whole.*
1. The institution has clear and transparent policies and procedures for ethical review of research, including research involving animals, human participants and human tissue
2. The institution’s research ethics committee is responsible for the ethical scrutiny of research proposals and for ensuring that a discussion of potential issues of ethical concern takes place before a project commences
3. The institution has a responsibility to protect the rights of human subjects involved in research projects and to protect them from harm
4. The institution will avoid the use of animals unless absolutely necessary and will ensure that it adheres to agreed standards of animal care*
7. Research misconduct, including plagiarism, fabrication and falsification of research, will not be tolerated. Staff and students have a duty to report cases of suspected misconduct.*

E The student experience
The institution has a duty of care for all students, whether full or part-time, school-leavers or mature.*
1. We strive to ensure that our student recruitment and admissions process is transparent, fair, clear, explicit and implemented consistently. Students will be judged by their achievements and potential
2. All marketing and promotional materials will be relevant, accurate at the time of publication, not misleading, accessible and designed to help applicants make informed decisions
3. Selection procedures will be followed fairly, courteously, consistently and expeditiously. Information concerning applicants will remain confidential*
4. We have policies and procedures in place for responding to applicants’ complaints about our institution’s admissions process and will provide feedback on request to unsuccessful applicants
5. Relations with students are based on respect for the dignity of the individual and fair treatment for all. The institution is committed to equality, diversity and inclusivity. We will not tolerate discrimination on the basis of race, religion, political beliefs, national origin, colour, gender, sexual orientation, socioeconomic background, age, marital status or disability.*

F Business and local communities
The institution supports and encourages knowledge-transfer opportunities and works in collaboration with private, public and charitable organisations and bodies. In addition, the institution is committed to playing an active and positive role in the communities in which we operate.
Business
1. Knowledge transfer and other commercial activities that the institution may be involved with include: copyrights, patents and licensing relating to intellectual property rights; spin-off companies, business start-ups and innovation centres; consultancy; the acceptance of corporate donations; sponsorship or funding of research, chairs, courses or lectureships; corporate training; use of institutional facilities for conferences or events and public-private partnerships
2. Staff and students must adhere to the institution’s ethical framework when undertaking any knowledge transfer or commercial activities. This includes the institution’s approach to conflicts of interest, gifts and hospitality, bribery and facilitation payments.*
Local communities
3. We have a commitment to make a positive contribution to the sustainable development of the communities in which we operate.*

G Leadership and governance
We are committed to the highest standards of corporate governance, accountability and responsibility. We seek to conform to all relevant governance guidelines including the Governance Code of Practice and General Principles.
1. We confirm our commitment to operating an effective system of internal control. The institution’s accounting statements and annual reports will be true, timely, complete and material
2. The institution will communicate its policies, achievements and prospects honestly and in a timely manner
3. The institution commits itself to obeying the law and to operating in the spirit of the law by seeking to contribute to the economic wellbeing and social development of the countries and communities in which it operates.*

H Management
We strive to create a positive, responsible, open and exemplary working environment for our employees. The institution also expects staff to maintain the highest standards of ethical behaviour and adhere to this framework.
1. Relations with employees are based on respect for the dignity of the individual and fair treatment for all
2. The institution is committed to equal opportunities and will recruit and promote employees on the basis of their suitability for the job without discrimination such as race, religion, political beliefs, national origin, colour, gender, sexual orientation, age, marital status or disability unrelated to the task in hand
3. The institution will explain the purpose of its activities and individual jobs, foster effective communication and involve employees in improving their work and that of the institution as a whole
4. The institution will encourage and help employees at all levels to develop relevant skills and progress their careers
5. We will maintain a framework of fair and just remuneration policies and structures
6. The institution will not tolerate sexual, physical or mental harassment of its employees. Employees are expected to be open, honest and courteous with one another*
7. No employee may give or accept money or any gift of significant value or anything else that could be construed as being intended as a bribe to or from a student, supplier, business partner or other party.

I Compliance, verification and implementation
The institution’s commitment to this ethical policy framework is fundamental to our sustainability and success. This will be demonstrated through our systems of training, adherence and accountability for our performance.*

J Resources*
The full document can be found on the CIHE website at www.cihe-uk.com/ethics .
The CIHE welcomes suggestions on this draft. E-mail them to cihe@cihe-uk.com marked “Ethics Response”. The Illustrative Framework and the issues raised will be discussed at a conference in London on June 28. Details are on the CIHE website.

Sophie Hooper Lea is a consultant specialising in business ethics and corporate responsibility issues at the Institute of Business Ethics.

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