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Business
Conduct Policy
Message
from the President
Introduction
Working
With One Another
Confidentiality
Conflict
of Interest
Vendor
Relations/Fair
Trade
Gifts, Entertainment and Gratuities
Proper
Accounting
Misuse
of University
Assets and Reporting
Suspected Fraud
Regulatory Compliance
Information
Technology Responsible
Use Policy
Name and Insignia Use Policy on Media Relations
Copyright
Infringement
Message from the President
Tufts’ Business Conduct Policy is designed to serve as a guide to appropriate business behavior. Please review it thoroughly so that you are familiar with the University’s expectations regarding business conduct, and use it as a resource for those times when you might have questions about specific practices.
In all of our professional activities, Tufts employees must seek to achieve the highest levels of integrity and honesty. Those of us who are entrusted with the University’s resources owe it to our students, to their parents, to Tufts’ supporters, and to each other to use these resources responsibly. Equally important is the manner in which we work together. The cooperation and respect that we extend to each other models a behavior that is important for our students to witness.
Part of the educational mission of Tufts is to instill in our students certain core values, including those of honesty, integrity and respect. Each of us who works at Tufts has the opportunity to contribute to this aspect of our mission by demonstrating these values in our own professional capacities.
Thank you for all that you do to ensure sound business practices at Tufts.
Sincerely,
Lawrence S. Bacow
President
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Introduction
Tufts University,
like other large,
complex institutions,
operates by means
of a decentralized
organizational
structure through
which responsibility
is delegated for
a variety of business
and accounting
functions. This
delegation is
managed through
the issuance of
policies and procedures
prescribing the
manner in which
business transactions
are to be administered,
and through the
setting of specific
limitations and
internal control
procedures.
All employees charged with these responsibilities should be familiar with the appropriate policies and procedures covered in this document, as well as the following:
- Administrative Policies, Procedures and Informational Links (conveniently located on the web at http://inside.tufts.edu/policies)
- Employee handbook and Faculty handbooks
- School handbooks for students
This document has been developed to provide further guidance on a variety of general business and ethical issues. While it is impossible to address every conceivable situation that may arise, this handbook should provide a framework for faculty and staff to draw upon in their evaluation of specific circumstances.
Should you have a question regarding business practices that are not addressed in this guide, please feel free to contact any of the directors of the following departments:
- Department of Audit & Management Advisory Services (ext. 73227)
- Department of Human Resources (ext. 73271)
- Financial Services (ext. 73140)
- Office for Equal Opportunity (ext. 73298)
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Working
With One Another
Tufts University reaffirms its commitment to the principle of equal opportunity and equal treatment in education and employment regardless of a person's race, color, religion, sex, sexual orientation, age, disability, veteran's status, or national origin. In accepting either a faculty or staff position at Tufts, an individual agrees to share this commitment in the performance of his or her assigned responsibilities and in interaction with faculty and staff colleagues and students.
Tufts University strives to provide all staff and faculty with a work environment that is free of harassment or other unreasonable interference with the performance of their University duties. We aspire to be a community of colleagues in which mutual respect guides our day-to-day interactions. While the University respects an individual's right to self-expression, it expects that the rights and concerns of others who work at Tufts are respected as well. At Tufts, there is no place in the work environment for conduct that demeans or belittles another person. For these reasons, harassment of any kind is unacceptable.
For more information regarding discriminatory harassment, please refer to the employee and faculty handbooks or to the Department of Human Resources or Office for Equal Opportunity.
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Confidentiality
Many staff and faculty members handle a variety of proprietary and private information concerning colleagues, students, patients, alumni, donors, or others associated with the University, as well as confidential information regarding University business. This material may include payroll figures, personal data such as employee home addresses, donor files, or student records. It is the responsibility of all Tufts employees to respect the highest level of privacy for their colleagues and other members of the Tufts community. Disclosure and discussion of confidential information obtained from University, school, or department records, either during or after employment with Tufts, is impermissible unless such disclosure is a normal requirement of an employee’s position and has been so authorized. If an employee is confronted with a situation in which he or she is unsure about the appropriateness of disclosing certain information, he or she should consult with a supervisor, chair, dean, or the Human Resources department.
In the course of employment, certain employees will have access to confidential information related to research. This sometimes includes information related to University-owned intellectual property or information belonging to a research sponsor for which the University has agreed to maintain confidentiality. It may also include confidential information related to research subjects. Employees will be expected to respect the confidential nature of such information and not to disclose it in any manner unless specifically authorized by the principal investigator of the research project.
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Conflict of Interest
Tufts employees are responsible for performing their duties in good faith and in the best interests of the University. In particular, employees are expected to avoid activities, agreements, business investments or interests, or other situations that materially conflict or appear to conflict with the interests of the University or interfere with the individual’s duty to loyally serve the University to the best of his or her ability.
A conflict of interest exists when an employee is in a position to benefit personally, directly or indirectly, from his or her relationship with an entity or person conducting business with the University. All employees have an obligation to avoid conflict, or the appearance of conflict, between their personal interests and the interests of the University.
Typical conflict
situations are:
- The current or potential involvement of the employee, or a member of his or her family, in a financial or other relationship that affects, or potentially could affect, his or her independent, unbiased judgment in the discharge of his or her duties to the University. A conflict of interest could arise, for example, from an employee’s compensated service as a consultant to, or membership on, a board of directors or a managerial role with respect to an entity doing business with the University.
- The possession on the part of the employee, or a member of his or her family, of a significant ownership interest in an organization conducting business with the University. A significant ownership interest shall mean 1% or more of the stock; 1% or more interest in the profits; or a beneficial interest of 1% or more in an enterprise.
- Receipt of gifts or other payments or services of financial value from persons or entities doing business with the University other than those specified under “Gifts and Entertainment.”
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While all Tufts employees are required to avoid conflicts of interest, or the appearance of conflicts, certain individuals are required to disclose annually the existence or absence of defined conflict situations. These employees include all officers and deans of schools and any other identified employees who are responsible for establishing substantive business relationships on behalf of the University. The Executive Vice President will designate other individuals from time to time and notify them of their designation. Receipt of a disclosure form will constitute notice.
Annually, each officer, dean, and any other identified individual is required to disclose to the Executive Vice President, using a form provided by the University, whether or not he or she has a reportable conflict of interest. Any employee is also required to promptly report to the Executive Vice President any actual or perceived conflict of interest as defined in accordance with the conflict situations defined in this policy which arises outside of the annual reporting period.
Questions will arise as to whether a specific situation constitutes a conflict of interest. Employees are urged to conduct themselves cautiously and, whenever in doubt, to report the situations to and seek advice from the Executive Vice President or their supervisors, as appropriate.
Failure to disclose a reportable interest or relationship or neglecting to comply with the University’s requirements for managing a determined conflict of interest may subject the employee to disciplinary action up to and including termination of employment.
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The Executive Vice President will determine the appropriate resolution for all reported conflicts. The affected employee may appeal that determination to the President, whose decision shall be final. For actual or potential conflicts of interest which directly involve the Executive Vice President, the President’s determination shall be final.
Faculty and staff who participate in research should consult “Tufts University’s Policy Regarding Conflicts of Interest in Research” for additional mandatory disclosure requirements. That policy may be obtained from the Vice Provost’s Office.
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I intend to use outside printing services to develop the layout for a new student services brochure to be issued next semester. My wife runs a printing and design shop that can perform this type of work. Can I direct the business to her? The total job cost is below the University’s minimum bid requirements. |
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No. Even though the cost of the job is below the bid threshold, there exists a potential conflict of interest since by providing this job to your wife (or any other family member or persons living in your household) you might personally benefit. Also, this situation could affect your unbiased judgment in selecting the most qualified print shop for the project. Therefore, you should not negotiate or approve a contract with the shop.
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I have an outside consulting practice that solicits business from several sponsoring agencies that provide funding awards to Tufts. Do I need to disclose this relationship? |
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Yes, this relationship must be disclosed in writing to the Executive Vice President to determine if any potential conflict exists between your outside business and Tufts in terms of competing for similar awards of projects and funds from these agencies. Work performed by a University employee in a self-owned business or as an employee of an outside business which directly or indirectly places the University at a financial or competitive disadvantage will not be permitted.
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I am the department FSP (Frontline Support Provider). Last week, my supervisor asked me if I could come over to his house that weekend and upgrade his personally owned computer with the extra memory he recently purchased. I found it hard to say no to his request since I perform the same function for the University. Is this a conflict of interest on his part? |
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Yes, this would constitute a conflict of interest. Supervisors may not make such requests. This situation can be compared to one in which a supervisor receives a gift from a vendor. Gifts are forbidden by our policies because they may cause the supervisor to feel beholden to the vendor or give the vendor power to coerce the supervisor. In the case of an employee, receipt of a “gift” of the employee’s time creates the same opportunity for a conflict of interest, where the obligation of loyalty to Tufts becomes secondary to other interests. This is true even if the work is, or appears to be, performed voluntarily; it need not be coerced to be wrong.
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I am a researcher at the University who is involved in a start-up company in which I own a 5% interest. Do I need to report this as a conflict of interest to the Executive Vice President? |
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You need to report your interest if the company conducts or is likely to conduct business with the University.
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Vendor Relations
/ Fair Trade
The Tufts' Purchasing Department is authorized to act on behalf of the University in all procurement matters. Those individuals, who are authorized holders of a Tufts University Procurement Card or who are registered to use one of the University’s on-line ordering systems, hold such specifically defined job responsibilities in Operations, or are otherwise authorized by the Vice President for Finance and Treasurer to do so, may place orders for the University. All other University employees are prohibited from committing University funds or acting as its agent in procurement matters.
The Tufts community should observe the following with regard to vendor relations:
- Individuals who purchase goods or services on behalf of Tufts University must conduct business in a professional manner that is consistent with the goals of the University.
- Qualified vendors must be given equal opportunity to compete for University business.
- Individuals should strive to obtain the maximum value for each dollar of expenditure.
- Demand honesty in sales representation, (whether offered through the medium of a verbal or written statement, an advertisement, or a sample of a product).
- Make reasonable efforts to arrive at an equitable and mutually beneficial agreement that is in the best interests of the University when settling any controversy with a supplier. Procurement decisions must be made with integrity and objectively, free from any personal consideration or benefit.
* A vendor is any firm, corporation, company or individual with whom the University presently, formerly or potentially conducts business.
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Gifts, Entertainment and Gratuities
Employees should not accept gifts from business and individuals that sell goods and services to the University. Gifts made to University personnel may be in the form of entertainment, social invitations, sporting events, favors, personal property, services, or discounts. Gifts from vendors, contractors, and others conducting business with Tufts may appear to be a gesture of goodwill and appreciation, but all faculty and staff should be aware that gifts are generally given with the intent to influence a business a current or future business decision. This behavior is customary business practice, but such activity serves no useful purpose and can create conflicts of interest. It is the obligation of the employee responsible for a business relationship to handle gifts properly and in accordance with University policy as stated below.
University and Federal policies prohibit the acceptance of gifts or gratuities from vendors, subcontractors and contractors (referred to in this section as suppliers). This includes the use of property or facilities, gift certificates, entertainment, or other favors of value extended to employees or their families.
It is the universities objective to award business on the basis of considerations such as quality, service, competitive pricing, and technical abilities. Acceptance of personal gifts or gratuities of any kind from suppliers, that could be construed as a means of inducing business with the University is inconsistent with this objective.
Public law, 99-634 known as the “Anti-Kickback Enforcement Act” of 1986 is the Federal regulation which governs procurement under contracts and grants. It imposes a prohibition or “kickback” defined as any money, fee, commission, credit, gift, gratuity, thing of value, or compensation of any kind that is provided by a supplier, directly or indirectly, to any employee for the purpose of improperly obtaining or rewarding favorable treatment in connection with procurement under a federal contract or grant.
In addition to the above, the expenditure of University funds for gifts to employees or students other than those provided through authorized recognition programs is prohibited. For further information, please refer to the University’s Business Expense Policy Guidelines, as posted within the Finance Division’s website.
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A vendor servicing my department treats me to sporting events. Is this appropriate? |
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No. University policy prohibits employees from accepting gifts of any kind from vendors.
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A consultant working with the University has offered to let me stay at his vacation home on Cape Cod for the weekend. Should I accept the invitation? |
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No. Acceptance of this gift would give the appearance of impropriety and therefore would be inappropriate for you to accept the invitation.
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A vendor treats me to a meal occasionally. Is this appropriate? |
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No, it is not appropriate. This invitation would be interpreted as the vendor trying to influence you. This invitation should not be accepted.
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In attending a conference, a vendor offers to pay for a group dinner or some type of hospitality event. Is this acceptable for me to participate? |
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Yes. This is acceptable given that other prospective clients are attending and that is part of a conference or meeting event.
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Proper
Accounting
Sound business practice calls for each member of Tufts' faculty and staff to assume responsibility for safeguarding and preserving the assets and resources of the University. The following policy statements pertain to all business activities of the University and are applicable to all members of the faculty and staff. It is the responsibility of all supervisors to ensure that their staff is aware of and familiar with these policy statements.
- All revenues generated by University activities and all expenditures for goods and services must be recorded and accounted for within Tufts' (PeopleSoft) financial records system.
- The University financial system consists of the general ledger and all subsidiary systems (manual and automated) that serve as the basis for ledger entries. All transactions, whether recorded directly into the general ledger or entered through a subsystem, should be transcribed in a way that allows for the preparation of financial statements in conformance with Generally Accepted Accounting Principals (GAAP). The Finance Division is responsible for the accuracy, integrity, and overall management of the University's financial system and should therefore be consulted on any matters relating to accounting policies and procedures.
- The recording of all financial transactions must be timely, accurate and clearly identify the true business nature of the transaction. Specific guidance pertaining to the timely posting of transactions for fiscal year-end is provided in a memorandum to all departments from the Office of Financial Services in May of each year.
- No transaction, whether recorded directly into the general ledger or through a subsystem, nor any supporting documentation, shall be deliberately left incomplete or distorted. No payment made by the University should be approved with the understanding that any part of such payment is for any purpose other than that described in the supporting document(s).
- The use of University funds or assets for any unlawful or improper purpose is prohibited. For further guidance on the allowability of particular expenses, please refer to the University’s Business Expense Guidelines, as found within the Finance Division’s website.
- No bank accounts or services are to be established by individual schools, departments, units, or others acting on their behalf for the purpose of funding, or to assist in funding, any University activity.
- Each DeptId or Project Grant in the University's financial records system has been assigned a "responsible person" - usually a department chair, principal investigator or designated administrator.
It is the responsibility of every employee responsible for an account, DeptID or Project/Grant to:
- Assure in a timely manner that periodic financial reports are reviewed to determine that all charges and entries are accurate and complete.
- Verify that all entries made to each account have been properly allocated, representing expenses for activities that pertain to the purpose of the DeptId or Project/Grant.
- Take appropriate action to correct any improper charges allocated to a DeptID or Project/Grant by notifying a Finance Division staff member (either General Accounting or Sponsored Programs Accounting for grants). Specific guidance for reviewing DeptId or Project/Grants and for making any necessary adjustments is provided within the Finance Division’s website.
- Ensure that all charges to government and other restricted sponsoring agency Grants are appropriate and allowable under the sponsor's regulations.
- Ensure that all expenditures are within the available funding limits and budget established in each DeptId or Project/Grant.
- All budget projections provided by those responsible for a DeptID or Project/Grant must properly reflect activity posted to the (PeopleSoft) financial records system and accurately represent all known activity being recorded through any subsidiary system.
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Misuse of University
Assets & Reporting
Suspected Fraud
Note: This section does not address the subjects of research misconduct or the theft of intellectual property. The University has separate policies governing research misconduct and ownership of intellectual property which are available from the Office of the Vice Provost.
Tufts University places a high level of trust in you, its faculty and staff, and requires that University assets under your control be protected and properly safeguarded from loss and misuse. This responsibility rests with employees at all levels and throughout all departments. Employees cannot take or use for their personal benefit property belonging to the University. The University’s property includes its confidential information. Employees may not, therefore, use for their own benefit or for the benefit of their family, or disclose to others, confidential University information except in the proper performance of their employment duties.
The overwhelming majority of University personnel are ethical and well intentioned and do their best to conduct business activities at the highest level of propriety. However, under certain circumstances, fraud may occur. Fraud is defined as "an act of deceiving or misrepresenting in order to secure unfair or unlawful gain." Embezzlement is defined as "to appropriate (as property entrusted to one’s care) fraudulently to one’s own use."
Fraud takes many forms. Examples of fraud include untruthful fraudulent financial reporting to hide poor business results, expense report falsifications, dishonest or false worker compensation or insurance claims, kickbacks, bid rigging, misuse of University purchasing and travel credit cards, or theft of assets.
Fraud undermines trust and depletes the University and the department involved of vital resources needed for operations. Every member of the Tufts community, regardless of his or her position, is expected to cooperate and assist in preventing or identifying fraud.
Sound business conduct requires that each employee, as a basic condition of employment, assume responsibility for safeguarding and preserving the assets and resources of Tufts University, particularly those for which he or she is responsible. The following policy statements serve to remind us of that basic commitment and responsibility.
- All revenues generated by the University and all expenditures for goods and services, must be recorded and accounted for within the financial accounting system of the institution.
- No false entries are to be made for any reason in the accounting records of the University. Moreover, no payment on behalf of the University is to be approved or made with the understanding that any part of such a payment is to be used for any purpose other than that described by the documents supporting the payment.
- The use of University funds or assets for any personal or unlawful purpose is prohibited.
- The use of any University equipment, supplies, or facilities for a revenue generating activity that benefits an individual employee is prohibited.
- No person in a supervisory or management position is to use the authority of that position to assign an employee to perform non-employment-related tasks.
- Managers have a responsibility to develop and implement controls to minimize opportunities for fraud to occur.
As a member of the Tufts community, you are expected to report any instance of a suspected fraud to the Director of Audit & Management Advisory Services (AMAS). If an instance of suspected fraud is initially reported to a supervisor, chairperson, director, dean, vice president, or other responsible person, that person is to report the instance to the Director of AMAS. Suspected research misconduct should be reported to the Vice Provost. Any theft of physical assets should be reported to Tufts Police at 617-627-6911.
It is the policy of Tufts University that any person is free to lawfully disclose whatever information supports a reasonable belief of suspected employee misconduct. The University is committed to protecting employees from interference when making such disclosures. An employee may not retaliate against an employee who has made a disclosure and is also prohibited from directly or indirectly using the official authority of his or her position or office for the purpose of interfering with the right of an employee to make a disclosure to the Director of AMAS, the employee’s immediate supervisor or other appropriate administrator.
Situations may exist where members of our community feel uncomfortable discussing these matters with their colleagues or supervisors. To assist with these particular situations, the University has an agreement with a 3rd party anonymous reporting provider, EthicsPoint, Inc, to maintain a Tufts University internet application and call center for individuals to report any concerns related to financial, regulatory, compliance, environmental health and campus safety matters. The EthicsPoint’s application is designed to ensure that any communications will remain completely confidential in accordance with the wishes of individuals who make reports using this option. You may access this reporting option on the internet by clicking on the Tufts University/EthicsPoint Anonymous Reporting Hotline link under the Helpful Links section of the AMAS web page, the Anonymous Fraud Reporting link on the Finance Division web page, or by going directly to:
https://secure.ethicspoint.com/domain/en/report_custom.asp?clientid=7182.
Access is also available by dialing toll-free 1-866-384-4277.
If presented with reasonable evidence of a suspected fraud, the Director of AMAS will conduct an investigation to determine if the reported suspicions of fraud are valid. The Director will also inform the supervisor of any employee under investigation. If, based on the results of the investigation, the Director believes that fraudulent activities have occurred; the findings will be reported as appropriate, to the Executive Vice President, Sr. Vice President and Provost, the Financial Vice President and Treasurer, Legal Counsel, the Vice President of Human Resources, and the Director of Public & Environmental Safety. All determinations of significant fraudulent activities will be reported semiannually to the Trustee Audit Committee.
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Regulatory Compliance
Tufts University views compliance with federal, state and local regulatory matters as a serious obligation. This responsibility rests with employees at all levels of the institution. Accordingly, each employee should become familiar with any pertinent regulations which govern teaching, research and administrative activities in his or her area of responsibility
Each Tufts University employee is expected to report any significant instance of suspected non-compliance with a regulatory matter to the appropriate University manager responsible for enforcement and monitoring. A “significant instance of non-compliance” is defined as any activity or circumstance that could result in the assessment of a monetary or civil fine, penalty, loss of funding or consent order by an external regulatory body. The Institutional Compliance Officer should be made aware of any significant instances of regulatory non-compliance by the individuals responsible for enforcement and monitoring to help assess the effectiveness of the University’s Compliance Program and for reporting purposes to the Trustee Audit Committee. Suspected non-compliance with regulatory matters specific to research misconduct are not covered by this policy and instead should be reported in accordance with procedures established by the Office of the Vice Provost.
Depending on the circumstances of non-compliance, individual managers responsible for compliance in their respective areas may need to confer with University Legal Counsel, the Vice Provost, University vice presidents, Sponsored Accounting, Public & Environmental Safety, the Institutional Compliance Officer and other appropriate offices.
It is the policy of Tufts University that any person is free to lawfully disclose whatever information supports a reasonable belief of suspected regulatory non-compliance. The University is committed to protecting employees from interference when making such disclosures. An employee may not retaliate against an employee who has made a disclosure and is also prohibited from directly or indirectly using the official authority of his or her position or office for the purpose of interfering with the right of an employee to make such a disclosure.
Situations may exist where individuals feel uncomfortable discussing non-compliance with regulatory matters with their supervisors or responsible managers. To assist with these particular situations, the University has an agreement with a 3rd party anonymous reporting provider, EthicsPoint, Inc, to maintain a Tufts University internet application and call center for individuals to report any concerns related to non-compliance with certain regulatory matters. The EthicsPoint’s application is designed to ensure that any communications will remain completely confidential in accordance with the wishes of individuals who make reports using this option. You may access this reporting option on the internet by clicking on the Tufts University/EthicsPoint Anonymous Reporting Hotline link under the Helpful Links section of the AMAS web page, the Anonymous Fraud Reporting link on the Finance Division web page, or by going directly to:
https://secure.ethicspoint.com/domain/en/report_custom.asp?clientid=7182.
Access is also available by dialing toll-free 1-866-384-4277.
Upon being alerted to an issue of regulatory non-compliance, responsible university managers will be contacted to investigate the matter and develop any action plans necessary to restore compliance. Audit & Management Advisory Services will be responsible for determining if the action plan has been implemented. Disciplinary action up to and including employment termination will be considered if it is determined that an individual deliberately circumvented compliance with a federal, state and local regulation or should have been aware of the requirement in the performance of his or her responsibilities but failed to comply.
Any significant and systemic issues related to non-compliance with regulatory matters which cannot be satisfactorily resolved through this process will be escalated to higher levels of management including, as appropriate, the Executive Vice President, Provost and the President.
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Information Technology
Responsible Use
Policy
The use of Tufts computing and communications resources, like the use of any other University-provided resource, is subject to the normal requirements of legal and ethical behavior within the University community. The Responsible Use Policy applies to all users of University technology resources, and to all uses of those resources, whether on campus or from remote locations.
- Tufts University computing and communications resources may only be used by authorized persons for legitimate purposes relating to teaching, learning & research, and University administration. No one may use Tufts’ technology resources for inappropriate or illegal purposes such as playing practical jokes, accessing pornography, circulating chain letters, introducing viruses, wiretapping, packet sniffing, circumventing security, and so on.
- Commercial use of these resources, except for authorized Tufts University business, is prohibited. Reselling of University technology resources or services is not permitted.
- Users are responsible for complying with the requirements of the contracts and licenses applicable to the software and other data they install on University or personal systems. Copyright violations, especially of downloaded material or shared software, are of particular concern. Proof of legal licensing should be made available upon request.
- Users may utilize only those computing resources that they are authorized to use and use them only in the manner and to the extent authorized. No one may share individually assigned accounts and passwords under any circumstances, not even with supervisors, family members, or UIT or University staff. No one may share use of an account, personal computer or network connection for the purposes of providing network access to unauthorized individuals.
The University employs various measures to protect the security of its computing resources and of users' accounts. Users should engage in "safe computing" practices by establishing appropriate access restrictions for their accounts, guarding their passwords and changing them regularly, backing up files and using virus protection. Because University computing resources are University property, uses of those resources are not private but may be monitored by the University in appropriate circumstances. While the University does not routinely monitor individual usage of its technology resources, the normal operation and maintenance of the University's resources require the backup and caching of data and communications, the logging of activity, the monitoring of general usage patterns, and other such activities that are necessary for the provision of service.
The complete
text of the Responsible
Use Policy is
available online
at the following
link:
http://uit.tufts.edu/?pid=444&c=104
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I have been issued an e-mail account to assist me in performing my job with the University. Is it a problem if I occasionally direct e-mail of a personal nature to colleagues outside the University? |
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The University has made a substantial investment in the data network and servers that enable its faculty and staff to correspond via electronic mail. While the University recognizes that occasional use of this infrastructure for personal purposes will not disrupt its functionality, it expects that e-mail users will respect the priority of business communications and keep personal correspondence to a minimum.
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My spouse and children have become very interested in the Internet. Is it possible for me to let them use my Tufts computer account in the evening hours to access the World Wide Web or to create their own home pages? |
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No, only the "responsible person" for that account should answer questions regarding transactions. You should refer the coworker to your supervisor, who can best decide whether or not to provide the answer.
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Is it really a problem if I don't change my password? If I stick with the same one it is so much easier for me to remember |
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You are encouraged to an in some cases forced to use strong passwords that are changed every 180 days or less in order to reduce the potential of security problems. Strong passwords contain at least 8 alphanumeric characters including upper and lower case letters as well as punctuation keys. It is occasionally possible for outsiders to gain access to our system if they determine the password of one of its authorized users. The use of strong passwords that are frequently changed minimizes this risk.
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I am going on vacation for two weeks and have given my user ID and password to a coworker so that she can review my e-mail messages and attend to urgent business. Is this acceptable? |
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Giving another person your password constitutes a violation of University policy. The best solution in cases of absence is to ask your Local Area Network (LAN) administrator to forward your e-mail to the mailbox of someone else for review.
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Name and Insignia Use Policy & Media Relations
The name “Tufts University” and how it is used affects both the institution as a whole and the individual members of the University community. Appropriate use of the name and insignias can benefit all, while inappropriate use may reflect negatively on both the institution and its individual members
Because of these far-reaching implications, oversight regarding the use of the University’s name and insignias, and the names of individual schools within the University will be conducted on an institutional level according to the principles and guidelines outlined in this policy.
The Office for Technology Licensing and Industry Collaboration (OTL&IC) is responsible for protecting and licensing the University’s intellectual property. Because the Tufts name and the names of many of our schools are registered trademarks, the OTL&IC will coordinate all requests for use of the Tufts name. The OTL&IC is located in the Office of the Vice Provost at 75 Kneeland Street, Suite 950, on the Boston Campus and at 20 Professors Row, first floor, on the Medford Campus.
The Executive Vice President is the individual responsible for making final decisions on use of the Tufts name and insignias, including the names of individual units of the University.
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- Is the implied association with the University accurate and can we ensure that the association with the University will continue to be portrayed accurately?
Use of Tufts’ name in connection with an activity, project or product implies a close association with the University and is generally construed as sponsorship or endorsement. Tufts must ensure that this portrayal is accurate and that it has the requisite control of the activity, project or product to ensure that the implied close association remains an accurate representation of the affiliation with the University.
- Is the use of the Tufts name consistent with the research and educational mission of the University?
Tufts has an obligation to its students, alumni, faculty, staff, donors and others to ensure that the use of its name falls, in general, within its primary mission of research and education. Some activities such as promotion of individual causes, political or otherwise, clearly fall outside this mission.
- What effect will the proposed use of name have on the image of the University as a whole?
Use of the Tufts name in situations having a potential to diminish or damage Tufts’ image and reputation must be avoided.
- Will Tufts be able to realize a fair and reasonable gain (through image enhancement or through economic benefit) from the use of its name?
Related to this is the issue of liability. If there is a potential for financial, legal or reputational risk to the University through the use of its name, for example on a particular product, such use of name should be avoided.
- Any use of name that refers to the University as a whole must be submitted to the Office for Technology Licensing and Industry Collaboration for review. The OTL&IC will review the request and forward it with a recommendation to the Executive Vice President, who will make the final decision.
- Any use of name that refers to individual schools or units should first be submitted to the Dean or a responsible authority of that school or unit for approval and should then be submitted to the Office for Technology Licensing and Industry Collaboration for review and transmittal to the Executive Vice President.
- In considering any proposed use, University officials will be guided by the principles outlined above, specifically:
- whether the association between the University and the activity, project or publication is accurately represented and whether appropriate mechanisms are in place or can be put in place to ensure that the representation continues to be accurate;
- whether the manner in which Tufts’ name is used is consistent with its educational mission and will result in a positive effect on the image of the University;
- whether suitable arrangements have been made or can be made for the University to realize a benefit, financially or otherwise, from the use of its name;
- whether the University will incur any potential liability from the proposed use of name.
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- Faculty members and staff may use the Tufts name or the name of the appropriate school to identify themselves on stationery, business cards, publications in research or educational journals and other materials used in the course of their University-related activities (e.g. John Smith, Professor of Mathematics, Tufts University.) Students and alumni may wish to identify themselves as students or graduates of the University in biographical information. In using or authorizing use of the Tufts name to identify themselves in connection with activities conducted with outside individuals or entities (e.g. authoring a book), members of the Tufts community should assure that the Tufts name is used in a manner that does not imply University endorsement or responsibility for the particular activity, project or product. For example, when authoring a book, a faculty member may describe his or her affiliation with Tufts University on the inside of the book or book jacket. The name of the University should not appear on the cover of the book. Likewise, the name of Tufts University may not be used in the title of any journal or other publication without the expressed permission of the University. Such permission will not normally be given in any circumstance where the University does not retain exclusive editorial control over the publication.
- All other proposed uses of the Tufts name by faculty and staff and any use of the name by students and alumni should be submitted to the Office for Technology Licensing and Industry Collaboration.
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- Schools or units may use the name of Tufts University or the name of their school or unit in the following activities:
- stationery, business cards and other materials used by the schools or other units in the course of their University-related activities;
- any content in printed, electronic or multimedia form in which the University, school or unit involved regularly communicates with its constituencies, including course catalogues and related materials, “home pages” on the World Wide Web and similar publications issued by the schools and other units;
- course materials and any materials prepared for use in connection with courses conducted at the University, whether in printed or digital form.
In any such uses, the school or unit involved should take care that its use does not adversely affect other schools or the institution as a whole. Ultimately the Executive Vice President has the right to review and determine the appropriate use of the Tufts University name.
- Any other use of the University’s name or the name of the individual school or unit will require approval as outlined above in Item 2 of “General Guidelines and Procedures.” In particular, prior approval is required if the use of name involves the sale or distribution for financial consideration of a product or service or the granting of a license for use of the name on merchandise, including but not limited to apparel, software or electronic media.
- Any news, marketing and/or publicity materials designated for dissemination to media channels and extended audiences of elected/appointed officials, investors, donors, and others concerning official University or School matters require up-front involvement (at the planning stages) with the University’s Public Relations Department. The PR Department, working with the mandate and approvals of the University’s administrative leadership team, must review any materials and information targeted at the media. The PR Department should be an integral part of any continuing external publicity or marketing outreach by other parties if it involves the use of the Tufts name, insignias, or affiliation, etc.
The University’s policy on media inquiries can be found at
http://inside.tufts.edu/policies/polinquiries.php.
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Is the name “Tufts” trademarked? |
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Yes. Tufts University owns federal trademark registrations on the words TUFTS and TUFTS UNIVERSITY, on the University seal (with the descending dove), and on various marks specific to individual schools and units (for example, THE FLETCHER SCHOOL).
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| Question: |
I am a member of the faculty who has been approached by a company. The company would like to put my name and affiliation with the University on its promotional materials. Is this allowed under the name use policy? |
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No. Members of the Tufts community (students, alumni, faculty, staff) may not use the Tufts name to endorse products. Tufts trademarks should not appear on products or on advertising relating to products or services. To prevent misuse of the Tufts name for commercial advertising purposes, for example, faculty who prepare reports for corporations should mark them “personal, not for publication.”
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| Question: |
I have started my own company and would like to promote its products by indicating in the advertising that I am a professor at Tufts University. Is this permitted? |
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No. Members of the faculty may reference their Tufts affiliation in connection with scholarly activities. This does not extend to the promotion of products or services.
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How should a member of the faculty describe his or her affiliation with the University when authoring a book or reviewing a colleague’s work? |
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By stating name, academic appointment, and institution, as in “John Doe, associate professor of English, Tufts University.” In using the Tufts name in connection with scholarly activities outside the University, faculty should ensure that the use does not imply University responsibility for that activity.
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| Question: |
A group of Tufts students would like to hire a vendor to produce t-shirts bearing the Tufts name and seal. Is this permitted? |
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Yes, provided the vendor has a trademark license with the University or permission to produce goods without a license. The group should contact the Office for Technology Licensing and Industry Collaboration.
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I would like to start a journal. May I call it the “Tufts Journal of X”? |
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Only if permission is obtained. Any publication that uses the Tufts name in the title must be under the exclusive control of the University. Student publications must identify the work as that of a recognized student organization. Other restrictions apply.
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Can I mention Tufts at all? |
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Sure. Nothing in the name use policy is intended to discourage fair use of the Tufts name to comment on the activities of the University. The policy seeks to regulate display of the name in any manner that could reasonably be interpreted as sponsorship or endorsement by the University, that is inconsistent with the research and educational mission of the University, or that could diminish the reputation of the University.
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Copyright
Infringement
It is Tufts University's policy to respect copyrights and to duplicate or reproduce copyrighted materials only as allowed by law or by special agreement.
Copyright is a form of protection that the law provides to the creators of "original works of authorship . . . fixed in any tangible medium of expression, both published and unpublished.” (Title 17, United States Code).
Copyright is generally owned by the author of the work, unless the work qualifies as a work for hire under the copyright law, unless the copyright has expired, or unless the author has assigned his or her rights in the work to another person or organization.
Examples of works protected by the copyright law include books, journals, videos, musical recordings, photographs, paintings, dramatic works, and software. Reproduction of copyrighted material without the permission of the copyright owner is a violation of the Copyright Act and a violation of University policy unless the reproduction was one allowed under the Doctrine of Fair Use.
Fair use does sometimes allow reproduction of a copyrighted article for the purpose of criticism, comment, scholarship, or research. Considerations for determining whether such a reproduction constitutes fair use include:
- character of use (nonprofit as opposed to commercial);
- nature of the work;
- amount and substantiality of the portion used; and,
- effect of the use on the value or commercial market of the work.
A more detailed presentation of the University’s fair use policy can be found at http://www.library.tufts.edu/fairuse/. Copyright permission should never be assumed. According to Copyright Office document FL102, "The safest course is always to obtain permission from the copyright owner before using copyrighted material."
Tufts University respects the ownership of material governed by copyright laws. All members of the University community are expected to comply with the copyright laws and with the provisions of the licensing agreements that apply to software, printed and electronic materials and all other copyrighted works licensed by the University or accessible over the University’s network or in its libraries. Individual author, publisher, patent holder, and manufacturer agreements are to be reviewed for specific stipulations.
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Can I ever use a copyrighted work without permission of the copyright holder? |
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There are indeed instances where copyrighted works may be used without the permission of the copyright holder, but each instance must be evaluated individually. Photocopying is a particularly relevant area addressed under fair use. Under the Federal Copyright Act of 1976 and the cases which have interpreted its provisions, copyright permission is not required for the following:
- single copies for personal or scholarly use;
- one-time placement of an article on library reserve;
- materials not under copyright protection, e.g., most U.S. government documents and works whose copyright has expired; or
- multiple copies for classroom use, so long as they meet “fair use” standards for brevity, spontaneity, and cumulative effect.
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I use a spreadsheet application in my work at the University. Would it be considered a violation of Tufts policy if I copied the program disks and gave them to a colleague to use in another University personal computer? |
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Yes, unless a special arrangement has been made between the University and the publisher (such as procurement of a multiuser license), one licensed copy of a software product must be obtained for every computer upon which it is run.
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Do exceptions exist with regard to the copyright law for software? |
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The only general exception concerns the user's right to make a backup copy for archival purposes.
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