Code of Ethics and Standards of Conduct

Introduction

The Indiana University Alumni Association (“IUAA” or “Association”) has adopted the following Code of Ethics and Standards of Conduct (the “Code”) that is applicable to the IUAA Board of Managers, the IUAA Executive Council, the IUAA Alumni Communities, the IUAA volunteers, the IUAA committee members, and all IUAA employees (collectively referred to as “IUAA Representatives”) of the IUAA.

We, by virtue of our special responsibilities within the Indiana University (“IU” or “University”) community, represent our university, schools, and units to the larger society. We therefore have a special duty to exemplify the best qualities of our Association and to observe the highest standard of personal and professional conduct. Our behavior is informed by Indiana University’s Principles of Ethical Conduct. The purpose of this document is to confirm and uphold our commitment to not only follow our organization’s principles, but also to protect the IUAA’s tax-exempt status, uphold the law, and ensure the highest standards of ethical conduct. The Code is intended to supplement, but does not replace, the workplace policies of the IUAA.

The IUAA has adopted these four core values that not only guide and drive our success, but inform our behavior: Collaboration, Commitment, Inclusion, and Pride.

We further intend to:

Help foster a culture of honesty, accountability, and mutual consideration;
Provide guidance to IUAA Representatives as to the areas of ethical risk and conflict of interest; and
Provide mechanisms to report unethical conduct.

IUAA Nondiscrimination Statement

We are committed to the principle of treating each member of our alumni communities with respect and dignity. The University and IUAA prohibit discrimination and harassment on the basis of age, color, disability, ethnicity, sex, gender identity, gender expression, genetic information, marital status, national origin, race, religion, sexual orientation, or veteran status or any other classification protected by law in matters of service to the IUAA. Any harassment, whether verbal, physical, or visual, that is based on any of these characteristics is a form of discrimination. Any behaviors in violation of this statement or that create a non-welcoming environment for students, alumni, staff, or guests are not condoned and may result in termination of the IUAA Representative role or the indefinite removal from Indiana University programs.

Treatment of Others

We promote the merits of our institution, and of higher education generally, without disparaging other colleges and schools. We uphold the professional reputation of other people working to serve IU and its alumni, and give credit for ideas, words, or images originated by others. Our words and actions embody respect for truth, fairness, free inquiry, and the opinions of others, and we follow both the letter and spirit of laws and regulations affecting our work.

Privacy and Confidentiality

The University is the custodian of many types of information, including what is considered confidential, proprietary, and private. As such, IUAA Representatives are required to safeguard all privacy rights and all confidential information. Individuals who have access to such information are expected to be familiar and to comply with all applicable laws, University policies, directives, and agreements pertaining to access, use, protection, and disclosure of such information. Computer security and privacy are also subject to regulations pursuant to the law and University policy.

The public right to information access and the individual’s right to privacy are both governed by state and federal law, as well as by University policies and procedures, such as contained in the IU Foundation privacy notice and the IU Alumni Association privacy notice. These legal provisions and policies are based upon the principle that access to information concerning the conduct of the people’s business is a fundamental and necessary right of every person, as is the right of individuals to privacy.

Policy-Based Provisions

Alumni Trustee Election

Given the close role the IUAA plays in the conduct of the election of the Trustees of Indiana University, the Association must take great care to remain neutral in the election process while encouraging active participation.

This means that IUAA employees and recognized alumni groups—when acting officially on behalf of the IUAA—must maintain neutrality among the candidates in all their communications. Employees, Board of Managers members, Executive Council members, and the leadership within the Chartered Alumni Communities should abide by the current policy regarding neutrality within the election of the Trustees of Indiana University.

Applicable Laws

As a not-for-profit corporation, IUAA operations are regulated by both federal and state laws and regulations. It is a responsibility of the IUAA’s employees to be aware of these laws and regulations, to be compliant with applicable Indiana University policies and procedures, and to emphasize compliance standards for all volunteer leaders.

Public Affairs

While IUAA Representatives are free to participate in any lawful political activity as they see fit, they are prohibited from representing or suggesting that they speak for the IUAA on or for any political campaign.

No Association funds, property, or services may be used to support or oppose any political party or candidate.

Responsible Use of Alcohol

We support Indiana University efforts to enhance the safety of everyone attending university events and promote responsible drinking behavior and food safety among all its constituents. It is critical that IUAA Representative monitor their own consumption while representing the IUAA at programs whether on or off campus.

Learn more about these policies

Standards of Conduct

Conflicts of Interest

We do not grant or accept favors for personal gain, nor do we solicit or accept favors for our institution where a higher public interest would be violated. We avoid actual or apparent conflicts of interest and, if in doubt, seek guidance from appropriate authorities. A conflict of interest arises in any situation in which an IUAA Representative’s private interest interferes in any way with the business of the IUAA or otherwise diminishes the interest of the IUAA, or when an IUAA Representative has a personal interest (whether financial or otherwise) that could conflict with the stated interests of the IUAA or Indiana University, rendering the IUAA Representative incapable of impartial judgment. It is the goal of the IUAA that all such decisions be made absent a conflict of interest and that even the appearance of a conflict of interest must be avoided. In order to accomplish this objective, it is essential that all IUAA Representatives disclose any actual or potential conflict of interest, as well as any affiliation with public or privately held enterprises, including for-profit and not-for-profit entities, which may create a potential conflict of interest, embarrassment to the IUAA, or inconsistency with applicable law, this Code, or the IUAA’s policies or values.

Examples of potential conflicts of interest:

An Executive Council member, member of the Board of Managers, or an alumni board member at one of the schools, campuses, or affiliates owns interest in a company seeking to enter into a contract with IUAA to provide consulting services.

An Executive Council member, member of the Board of Managers, or an alumni board member at one of the schools, campuses, or affiliates accepts a staff position at the IU Foundation or IU Alumni Association.

An Executive Council member, member of the Board of Managers, or an alumni board member at one of the schools, campuses, or affiliates is a family member of a contractor for the IU Alumni Association.

An Executive Council member, member of the Board of Managers, or an alumni board member at one of the schools, campuses, or affiliates is a vendor or customer that IU, IU Foundation, or IU Alumni Association uses.

Procedure for a Conflict of Interest

When an apparent or potential conflict with this policy arises, the individual with the potential conflict is required to disclose in writing the existence of the conflict to any one of the following individuals: the director of governance, the executive director of finance, the external auditor, or the Chief Alumni Officer (CAO). Once a disclosure is made by an IUAA Representative, it will be reviewed by senior management of the IUAA, and if needed, it and will be reported to the Board of Managers. In most instances, it is anticipated that the disclosure itself along with nonparticipation in any discussions or decision with respect to a conflict of interest will be sufficient to remedy the apparent or potential conflict of interest. However, the circumstances of each case will be independently reviewed to determine the correct course of action. Each situation will be handled on a confidential basis.

Whistleblower Procedure/Anonymity

A whistleblower policy encourages and creates a mechanism for IUAA Representatives to come forward with credible information on illegal practices or violations of adopted policies and specifies that the IUAA will protect the individual from retaliation. If the IUAA Representative suspects or knows about misappropriation, fraud, waste, abuse, IU or IUAA policy violations, violations of this Code, illegal or unsafe conduct, or any other misconduct by the organization or its employees or volunteers, but the IUAA Representative is not comfortable with reporting directly to the staff liaison, executive director of governance, or other members of senior management, the IUAA Representative may submit a confidential disclosure at the anonymous reporting whistleblowing hotline provided by Indiana University.

In no event will there be any retaliation or disciplinary action against an IUAA Representative for reporting an issue that they in good faith believe to be a violation of this Code or the law. An IUAA Representative who reports a violation or potential violation will, to the fullest extent possible, remain anonymous.

Compliance

IUAA Representatives are expected to be familiar with this Code and to comply with the letter and spirit of its provisions. Compensated officers of the IUAA also have the responsibility to annually emphasize the Code to all IUAA Representatives to ensure that they are aware of their obligations under this document.

IUAA Representatives will be required to sign the Code of Ethics and Standards of Conduct document annually to acknowledge they are aware of, and have complied with, its provisions. Such a statement will include an itemization of any conflict of interest. Conflicts must be disclosed once incurred. Disclosure shall not be delayed due to the annual acknowledgment process.

Standards of Conduct Particularly for Volunteers

Reporting Unethical Conduct

If an IUAA Representative witnesses or engages in unethical conduct (whether inadvertently or otherwise) or sees behavior contrary to IUAA values or the provisions of this Code, they have a responsibility to promptly report this behavior or conduct in a timely manner to the staff liaison and/or the director of governance. After discovery, informal counseling, and resolution procedures have begun, senior management may need to be consulted. Volunteer IUAA Representatives should expect a fair resolution of the dispute, within thirty (30) days of unethical conduct or behavior, without fear of jeopardizing their volunteer status. While every attempt should be made to resolve the conflict at the lowest level, further escalation to the Board of Managers may be required. If a member of the Board of Managers is the offending party, a neutral arbitrator may need to be consulted. Offending employees will be subject to the guidelines of Indiana University Human Resources or Indiana University Foundation Human Resources, whichever is applicable.

Conflicts of Commitment

Volunteers to the IUAA are critical IUAA Representatives and play a meaningful role in supporting engagement, fundraising, student recruitment, and leadership development at the University. Serving as a volunteer is a wonderful way to support the IUAA and the University. However, before someone commits to become a volunteer, the time requirements for the volunteer position should be examined. A conflict of commitment occurs when the time or effort that a volunteer devotes to an alumni activity is incongruent with the needs set forth by the IUAA for the volunteer position. If the volunteer is unable to commit the time and energy to properly serve, actively support, or be a public advocate for the IUAA, then the volunteer may be requested to voluntarily separate from their position or the IUAA may need to replace the volunteer with another volunteer who is better able to provide the necessary time commitments to the position.

Procedure and Administration

Any behavior deemed inconsistent with the goals, objectives, mission, and values of the IUAA, or that violates any Indiana University policy may result in termination of the IUAA Representative role or removal from IU and IUAA programs. Offending employees will be subject to the guidelines of Indiana University Human Resources or Indiana University Foundation Human Resources, whichever is applicable.

If, after reporting behavior or conduct, it becomes necessary to remove the offending Volunteer IUAA Representative from volunteer service, current IUAA Code of Bylaws will be followed.

Section 1. General.

Any Manager, Officer, member of the Executive Council, or member of a Chartered Alumni Community may be impeached from office for malfeasance or misfeasance (hereinafter known as the “Charged Person”); provided that charges for impeachment shall be made in writing by at least three Executive Council members and filed with the Chair, or if charges pertain to the Chair, the charges will be filed with the CAO. Upon receipt of the impeachment charges by the Chair or the CAO, the impeachment charges shall be submitted to the Board of Managers.

Section 2. Notice, Hearing Procedures and Vote.

Upon the filing of the impeachment charges with the Board of Managers, the Board of Managers shall schedule a public hearing on the impeachment charges against the Charged Person, as well as a special meeting of the Board of Managers, all of which shall occur not less than forty (40) days nor more than sixty (60) days following the filing of impeachment charges with the Board of Managers. At least thirty (30) days prior to impeachment hearing, the Board of Managers shall provide a written copy of the impeachment charges to the Charged Person, either in person, mailed to the last prior address, or both, accompanied by a notice of the date and time of the impeachment hearing and the right of the Charged Person to be heard at the impeachment hearing.

Notice of the impeachment hearing for the Charged Person shall be posted in a conspicuous location within a publication of the Association not less than thirty (30) days prior to the impeachment hearing date. Immediately following the impeachment hearing against the Charged Person, the Board of Managers shall conduct its special meeting and shall vote on the impeachment of the Charged Person. Provided that provisions in this section concerning notice to the Charged Person and the right to be heard have been strictly met, the Charged Person shall be impeached and removed from office upon an affirmative vote of a three fourths (3/4) majority of all Board Managers then in office.

The Board of Managers has the ultimate responsibility for administrating this Code and has delegated its authority and implementation of this Code to senior management of the IUAA. This Code will be constantly reviewed by the Board of Managers, which will approve all changes that are made to the Code.

Acknowledgment

Members of the Board of Managers, Executive Council, all Council Committees, volunteers in Alumni Communities, and the senior management should complete the Code of Ethics Acknowledgment annually after reading through the Code of Ethics. Employees need not complete the form if no conflict exists.

Complete the Code of Ethics Acknowledgment

Date of Last Update

Revised June 22, 2024