Code of Conduct and Ethics for Business Activities

Code of Conduct and Ethics for Business Activities


Brown University is committed to the highest standards of ethical and professional conduct.  Each individual conducting business on behalf of the University will adhere to these standards in the performance of his or her duties.

It is the responsibility of each individual – faculty or staff member, student employee, or volunteer acting on behalf of the University – to comply with legal and regulatory requirements, policies, and procedures that apply to his or her particular duties.   In addition, it is the responsibility of supervisors to see that staff in their areas receive adequate information and training to permit full compliance and to monitor those compliance activities.

This Code of Conduct is intended to remind members of the University community of the importance of adhering to University policies as well as those that are specific to particular administrative areas or functions.  It is intended to supplement and promote compliance with existing policies and not to change or replace them.  As such, any conflicts or inconsistencies between this policy and more specific ones shall be controlled by the more specific statement.

Ethical Behavior and Adherence to University Policy is Every Individual’s Responsibility.  All staff members, as members of the University community are expected to take personal responsibility for their actions, conduct themselves in an ethical manner, and maintain satisfactory job performance.  Appropriate measures may be taken for violations of Brown University’s policies and practices, including disciplinary action up to and including termination of employment.

The University encourages community members with concerns about possible unethical behavior or noncompliance with University policy to discuss them with supervisors, department coordinators, managers, department chairs or deans.  



Business Ethics

Compliance with laws, codes, and regulations

A Code of Conduct for Brown University Licensees



Policies on Investigations



Human Resources Philosophy


Principles of the Brown University Community


Conflict of Interest and Commitment Policy 


Conflict of Interest Policy for Officers of Instruction and Research

Sanctions and Enforcement
All reported violations of this policy will be fully investigated in accordance with the provisions of this policy.  Appropriate corrective measures will be promptly implemented upon completion of any such investigation.

The consequences for violations of this policy by faculty or staff may vary in severity up to and including termination of employment.  Violations of public laws and regulations may carry civil and criminal liabilities, including fines and/or imprisonment.

  • Significant changes will be reviewed by a DMR subcommittee, consisting of one or more IACUC member(s) designated by the Chair of the IACUC.
  • Minor changes will be reviewed and approved administratively by the Research Protections Office (RPO).

DMR of Annual Renewals:

· All annual renewals will be reviewed by a DMR subcommittee, consisting of one or more IACUC member(s) designated by the IACUC Chair.

Full Committee Review (FCR)

  • A meeting of the IACUC is convened, and the protocol is reviewed and discussed. In order to convene a meeting a quorum of the members must be present.  At the discretion of the Chair, the PI may be invited to the IACUC meeting to address questions the committee may have. The PI will be excused from the room before the deliberations and vote. The following are outcomes of a FCR:
    • Approval - requires a majority affirmative vote.
    • Modifications requested to secure approval.
    • Defer or table review – the IACUC can table the review of a protocol if, e.g., clarifications are required, if outside consultation is needed, or loss of quorum.
    • Withhold approval - the IACUC determines that a protocol has not adequately addressed all requirements necessary and withholds approval.

NOTE: IACUC members participating in any proposed project or who have a real or potential conflict of interest must recuse themselves from DMR or FCR process deliberations and vote. 

V. Notification of IACUC Determination

  • Notification of approval will be sent to the PI via email including a copy of the approved protocol, annual renewal protocol, or amendment.
  • Notification of the need for additional information will be sent to the PI. A revised protocol addressing the IACUC questions is required.
  • When IACUC is unable to approve a protocol, the reasons for withholding approval are detailed and emailed to the PI. The PI has an opportunity to address the concerns of the committee through a new protocol.


-Institute of Laboratory Animal Resources, National Research Council. Guide for the Care and Use of Laboratory Animals 8 (National Academy Press, Washington, DC, 1996).

- Public Health Service Policy on Humane Care and Use of Laboratory Animals

- USDA Animal Welfare Act Regulations, CFR, Title 9, Chapter 1, Subchapter A, Parts 1 - 3.

- ARENA/OLAW. Institutional Animal Care and Use Committee Guidebook, 2nd edn (2002).