SAMPLE DOCUMENT. Notes on strengths or special features: The museum operates within a non-museum parent organization: Yes No

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1 SAMPLE DOCUMENT Type of Document: Code of Ethics Date: 2013 Museum Name: Yellowstone Art Museum Type: Art Museum/Center/Sculpture Garden Budget Size: $1 million to $4.9 million Budget Year: 2014 Governance Type: Private, Nonprofit Organization Accredited: No Core Verified: Yes Notes on strengths or special features: The museum operates within a non-museum parent organization: Yes No The document applies to: Governing Authority Advisory Board Staff Volunteers The document addresses the following required elements: Is consistent with the Alliance's Code of Ethics for Museums or other code of ethics issued by a national museum organization appropriate to the museum s discipline Is tailored to, and developed specifically for, the museum (i.e., it is not simply a restatement of, or a statement of adoption of, the Alliance's Code of Ethics for Museums or other organization s code and is not simply a copy of any parent organization s code) Puts forth the institution s basic ethical, public trust responsibilities as a museum and nonprofit educational entity and is not solely about individual conduct (e.g., conflict of interest issues) Includes a statement on use of proceeds from deaccessioning (limiting their use to new acquisitions and/or direct care/preservation) Is a single document, not a compilation or list of references to other documents Is approved by the governing authority The document addresses the following topics: Guiding Principles Ethical Duties Governance Authority & Responsibility Conflict of Interest Affiliation with Other Institutions Business Dealings Dealing Disclosure Gifts, Favors Personal Collecting Political Activity & Public Issues Purchase of Museum Property Referrals Use of Assets

2 Loans Outside Employment Outside Volunteer Activity Collection Acquisition Deaccession Care & Preservation/Conservation Appraisals Trustee/Director Relationship Museum Management Practices Business Dealings with Related Parties Compliance with Laws Fundraising Loans Responsibility to Public Implementation Definitions Other: Whistleblower Policy, Social Media Policy Use of Information (Confidentiality) Use of Name Availability of Collection Truth in Presentation Other:Use of proceeds, Respect for Cultural Heritage Museum Store & Other Commercial Activity Ownership of Scholarly Material Personnel Practices Professionalism USE STATEMENT & COPYRIGHT NOTICE The AAM Information Center has provided this sample document. It serves as an example of how one museum addresses a particular issue. Museums should compose original materials based on their unique circumstances. Any document produced by the recipient should not substantially use the contents of this sample as the basis. Materials in the AAM Information Center are provided "as is," without any guarantee or warranty of any kind, expressed or implied. NOTICE CONCERNING COPYRIGHT RESTRICTIONS Under certain conditions specified in the copyright law of the United States (Title 17, United States Code), libraries and archives may furnish a photocopy or other reproduction. The photocopy or reproduction may not be used for any purpose other than private study, scholarship or research. If a user makes a request for, or later uses, a photocopy or reproduction for purposes in excess of fair use, that user may be liable for copyright infringement.

3 CODE OF ETHICS AND CONDUCT SECTION 1: Introduction SECTION 2: Ethics YELLOWSTONE ART MUSEUM 12 February 2008 Revised 10 July 2012 Revised 10 September Professionalism Respect for Cultural Heritage 2.2 Compliance with the Law 2.3 Conflict of Interest Raffles Personal Art Collecting Lending from Personal Collections 2.4 Political Activities 2.5 Use of Yellowstone Art Museum Property, Name, and Resources Prohibition on Personal Use of Museum s Collection Objects Use of Proceeds from Sale of Deaccessioned Collection Objects 2.6 Fundraising Practices 2.7 Confidentiality Fundraising and Museum Records Hiring Practices Employee References Non-Employee References Value of Museum Collections 2.8 Private Activities during Work Hours 2.9 Intellectual Property Rights 2.10 Outside Employment and Consultation Fees, Stipends, and Honoraria Gifts, Favors, Discounts, and Dispensations 2.11 Dealing and Business Dealings with Related Parties 2.12 Museum Store and Other Commercial Activities 2.13 Referrals 2.14 Outside Volunteer Activities 2.15 Solicitation and Distribution 2.16 Volunteers and Interns 2.17 Board of Trustees American Alliance of Museums YAM s Institution-specific Code of Ethics and Conduct Whistleblower Policy Confidentiality Policy Political Issues 1

4 SECTION 3: Conduct 3.1 Rules of Conduct 3.2 Social Media Policy STATEMENT OF UNDERSTANDING STATEMENT OF SOCIAL MEDIA POLICY COMPLIANCE 2

5 SECTION 1: INTRODUCTION The Yellowstone Art Museum is pleased to welcome you to our organization. We hope your association with us here will be a source of great personal and professional satisfaction. This policy statement provides you with the Museum standards and expectations with regard to ethics and conduct. We encourage you to become thoroughly familiar with its contents. The contents of this policy apply to all employees and volunteers of the Yellowstone Art Museum. Museums are unique and special places in a community, and working in museums involves unique responsibilities and privileges. We are public service organizations and the fruits of our labor last far longer than our tenure at the Museum. Our commitment to presenting and teaching our audiences about their own culture and heritage motivates us to perform at the highest level of our professional standards and abilities. The Yellowstone Art Museum is the leading art museum in this very large region, and our longstanding tradition of professional excellence is very much the result of the commitment and expertise of our staff and volunteers. We are proud of the reputation and success of the Yellowstone Art Museum and work to uphold it. Our achievements are the result of dedication, hard work, and good communication. Each employee and volunteer of the Yellowstone Art Museum is an important member of a team that allows the Museum to fulfill its mission to the public. It is important for all to recognize that a positive relationship with the community and our visitors is the responsibility of all Museum employees and volunteers. First and foremost in our thoughts must be serving our public in an efficient and positive way. Negative personal feelings and attitudes should never cloud our dealings or communications with our public. The Yellowstone Art Museum reserves the right to change these policies and procedures as awareness within the museum profession evolves. The Museum s administration will keep all employees and volunteers advised of changes. A Note about Volunteers The Yellowstone Art Museum appreciates the many volunteers who participate in and support the Museum s programs. Volunteers are not employees of the Museum and receive neither pay nor benefits. However, they are expected to conform with the Museum s policies and procedures, particularly those relating to security, safety, and ethical conduct. Individuals wishing to volunteer at the Museum must register with the Volunteer Coordinator before beginning their volunteer service. Staff may request volunteer assistance through the Volunteer Coordinator. It is important that volunteer hours be tracked and submitted regularly to the Volunteer Coordinator to aid in the management of volunteer benefits. Accurate tracking of the contribution of volunteer hours also aids the YAM in its application for many types of grants. SECTION 2: ETHICS As an institutional member and/or supporter of the American Alliance of Museums, the Yellowstone Art Museum subscribes to the museum profession s Code of Ethics: The purpose of a set of ethical principles is to set forth conduct essential to uphold the integrity 3

6 of a profession. Such a code reflects the reasoned group judgment that certain standards of conduct should be followed in order to sustain the profession s effectiveness. Importantly, its enforcement may be truly effective only if the people it affects are consistently and voluntarily committed to it. (Marie C. Malaro, Museum Governance: Mission Ethics Policy, Smithsonian Institution Press, 1994, pp. 17, 109.) In addition to AAM s Code of Ethics, the Yellowstone Art Museum has adopted ethical guidelines in recognition of its responsibility for maintaining public confidence in the integrity of this organization. All museums enjoy public visibility and their employees enjoy a great measure of public esteem and responsibility. With this comes a critical responsibility for the organization to manage itself wisely as a steward of a public trust. This public trust is evidenced by the government s recognition that the Yellowstone Art Museum is an educational institution worthy of tax-exempt status; by the donors who provide their financial support to the organization with the firm belief that their donations are being wisely managed for the furtherance of the Yellowstone Art Museum s mission; and by the efforts of Yellowstone Art Museum trustees, employees, and volunteers in the furtherance of YAM s mission. In upholding this public trust, all trustees, employees, and volunteers representing the YAM must be aware of their individual responsibility to further the integrity and reputation of our organization. In the eyes of the public, YAM trustees, employees, and volunteers are never wholly separable from the organization. Trustees, employees, and volunteers must be concerned not only with their personal motivations, but with the way in which their actions may be perceived by the casual observer. In many cases, facts will matter less than perception. YAM management recognizes its responsibility to lead by example, to avoid even the appearance of impropriety, and to take action, when necessary, to correct or prevent inappropriate conduct of others. All employees and volunteers are expected to conduct themselves and aspire high ethical standards, which include: Honesty Integrity Fidelity Fairness Caring Respect Honest persons are truthful and sincere. Persons with integrity are principled and honorable. Persons worthy of trust keep promises, fulfill commitments, and abide by the spirit as well as the letter of an agreement. Fair persons manifest a commitment to justice, the equal treatment of individuals, tolerance for and acceptance of diversity, and they are openminded. They are willing to admit when they are wrong, and, when appropriate, change their positions. Persons demonstrate caring by concern for the well-being of others. It is made evident by compassion, giving, kindness, and serving. Caring requires one to attempt to help those in need and to avoid harming others. Respect for others is to believe each person to be deserving of dignity, privacy, and esteem. In the workplace, respectful people are courteous and decent, and provide information others need to make informed decisions. 4

7 Excellence Responsible Creativity Community Persons committed to excellence are concerned with the quality of their work. They are also diligent, reliable, and industrious and timely. People who are responsible accept their consequences for their decisions, actions, or inactions. They fulfill their obligations and are trustworthy. Responsible people recognize their role in setting an example for others. Creativity involves an openness to the ideas of others as well as valuing the human artistic impulse. Successful not-for-profits recognize their dependence on their many communities (local, regional, national, professional) and work to be good civic citizens. 2.1 Professionalism The Yellowstone Art Museum selects each employee and volunteer for his or her unique professional value, knowledge, and abilities. In carrying out his or her duties, employees and volunteers should treat one another with the utmost respect and professionalism. YAM management is structured such that the resolution of issues incorporates the opinions and professional judgments of relevant employees. Ultimate responsibility for management decisions rests with the Executive Director and the Board of Trustees. Each employee should support these management decisions. Employees will not be required, however, to reverse or alter their professional judgment in order to conform to those decisions Respect for Cultural Heritage The Museum recognizes that cultural property constitutes one of the basic elements of civilization and national heritage, and therefore guarantees to respect at all times the heritage of its own country and that of other nations by: always acting in accordance with the spirit of the 1970 UNESCO Convention and any similar conventions that may come into existence for the protection of cultural heritage, regardless of whether or not the country concerned is a party to such conventions and, not knowingly acquiring objects, either directly or indirectly, or borrowing objects for display or research, that have been collected under exploitative, irresponsible, or illegal circumstances, or in a manner generally considered to be unethical or otherwise incompatible with professional standards or international treaties or conventions. Refer also to the Yellowstone Art Museum s Collection Management Policies for further guidelines bearing on the ownership and use of cultural property. 2.2 Compliance with the Law Employees, volunteers, and interns are not expected to be familiar with every state and federal law, regulation, or proprietary principle applicable to the YAM. However, it is every employee s responsibility to consult with his/her immediate supervisor or the Executive Director whenever a questionable scenario arises. 5

8 2.3 Conflict of Interest All employees and volunteers, including trustees, must avoid conduct that would create any real, potential, or perceived conflict of interest with the interests of the Yellowstone Art Museum. Employees should fully and conscientiously fulfill the duties of their positions with the YAM, and should not use or exploit its name, reputation, property or services, compromise its good will in the community, nor use their positions for personal gain, or to benefit another person at the expense of the YAM, its mission, its reputation, or the community it serves Raffles No employee or any member of his/her immediate family may participate in any YAM drawing or raffle Personal Art Collecting A conflict of interest will be deemed to exist when the collecting activities of any employee, volunteer, or trustee compete with those of the Museum, or when employees, volunteers, or trustees take advantage of information proprietary to the Museum to enhance personal collections. The obligation to determine and disclose personal collecting activities that are or would appear to be in conflict with official duties rests with each individual. It is expected that the disclosure procedure will be regarded as a matter of routine and not as an invasion of privacy. Museum staff must inform the Executive Director (or President of the Board of Trustees, in the case of the Executive Director) of all personal acquisitions of collection-related artifacts and/or documents within three months of the acquisition. The Museum will have the right, for a period of six months, to acquire any such object purchased or collected by any staff member, at the price paid by the staff member, plus any related expenses. The purchase must be completed within a year of the staff member s notification to the Executive Director, or the right is forfeit. The right of the Museum to acquire from staff members personal collections does not extend to objects that were collected prior to the staff member s employment by the Museum, nor does it extend to bequests or personal gifts to the staff member. The staff member is not required to inform the Museum of bequests or gifts unrelated to the Museum s collections. As a courtesy, staff members will disclose circumstances regarding prospective sales or trades of Museumrelated personal collections, regardless of when they were acquired. A gift of an item related to the Museum s collections to a staff member should be politely refused unless there is a clear understanding that it is a gift to the collections and is accepted under the standard rules and procedures for gifts to the Museum Lending from Personal Collections If an employee lends an object for exhibition in the Museum, it will be lent anonymously. Similarly, illustrations of works in staff collections must be credited anonymously in the Museum s publications. Since objects can be enhanced in value by being exhibited, the sole consideration of the Museum in asking for and accepting loans from staff, trustees, or volunteers will be the prospective benefit to the public. 6

9 2.4 Political Activities Internal Revenue Code Section 501(c)(3) sets forth strict guidelines for not-for-profit organizations with regard to political activity. As a result, YAM must avoid the appearance of supporting, favoring, or opposing an individual candidate or political party. Employees have the same rights as other citizens to hold personal opinions about the decisions, policies, and people in government and to engage in political activities. However, each employee must assure that these opinions and activities are kept separate from work and are pursued on a strictly personal basis. Therefore, YAM employees who are involved in any way with the electoral or legislative process must make clear that they are acting in an individual capacity only. Employees are encouraged to discuss activities that may be in question with their supervisor or with the Executive Director. Employees who would like the YAM to take an official position on any issue should discuss the matter with the Executive Director, who will determine appropriateness and/or the need to seek approval from the Board of Trustees. 2.5 Use of Yellowstone Art Museum Property, Name, and Resources Employees should not use any facilities, equipment, supplies, employee time, or other resources of the YAM except for the official business of the YAM, except as mentioned below. Some employees are in a position to influence public opinion concerning, for instance, art, artists, and the art market. These individuals must take care to ensure that this influence is not used for the personal gain of any individual and is directed entirely toward the functions of the YAM serving the general public. Exceptions to the personal use of YAM facilities and services include: Employees may access the internet using YAM computers while on their breaks or meal periods, observing closely the YAM s Social Media Policy (see below, Section 2.18). This use may not impinge on the working hours use of the computer by another employee. The YAM is committed to observing the licensing rules governing the use of computer software. An employee wishing to install software not purchased by the YAM on his/her computer must request permission from the Executive Director. Employees are on the honor system to reimburse the YAM for photocopying, use of the mail pick-up service, and long-distance telephone calls. All such activity must occur on breaks and during meal periods. Employees are encouraged to use phone cards to reduce the paperwork burden in the finance office. Any other use of YAM property or services must be approved in advance by the Executive Director. Services that might be made available to others (for example, art storage) may be available for a fee. The name and reputation of the YAM are valuable assets and should not be exploited either for personal advantage or the advantage of any other person or entity. Employees should be very circumspect in using their affiliation with the YAM or the YAM s name in connection with their activities outside work. In situations where the activities may be controversial or outside the mission of the YAM, employees should not identify their affiliation with the YAM. Employees 7

10 involved in outside commercial ventures or businesses should not use the YAM name or their affiliation with the YAM to benefit any particular commercial enterprise. Information about personnel or other internal Yellowstone Art Museum matters that employees may acquire, which is not generally known or available to the public, must always be treated as proprietary to the YAM and confidential. Such information should not be used or disclosed for personal advantage or other purposes. Employees are responsible for maintaining the security of confidential records and information (personnel, payroll, facility, security, donor records, etc.), and the privacy of individuals or groups who support the YAM Prohibition on Personal Use of Museum s Collection Objects No employee, trustee, or volunteer will use in his/her home or for any other personal purpose any object that is a part of the Museum s collections or under the guardianship of the Museum except for the official business of the institution. To the extent that special circumstances warrant exceptions to this principle, those circumstances will be a matter of written record Use of Proceeds from Sale of Deaccessioned Collection Objects See Collection Management Policies, Section 4, for detail on the deaccessioning process. Funds derived from the sale of deaccessioned collection objects shall be restricted to the acquisition of permanent collection objects. The name of the original donor(s) shall be recorded with the files of objects purchased with these funds. All monies realized and/or objects acquired in lieu will be reported to the Collections, Exhibition, and Education Committee and the Board of Trustees at their next regularly scheduled meeting. Under no circumstances are Museum staff, Trustees, immediate families, volunteers, or their representatives permitted to purchase or acquire any objects deaccessioned from the permanent or community collections. 2.6 Fundraising Practices Fundraising is a vital component of the financial health of the Yellowstone Art Museum. Employees involved in selling memberships or soliciting money or other contributions or gifts-inkind on behalf of the YAM must do so with absolute honesty and integrity. Employees must be careful to be factual and accurate in any representations that they make to potential donors. Acknowledgment of gifts must be prompt, accurate, and sincere. Any donations made to the YAM must be used exclusively for the donor s intended purpose. Employees, volunteers, and interns must not receive compensation for fundraising on a commission basis or receive a portion of funds raised for any reason whatsoever. 2.7 Confidentiality Fundraising and Museum Records Employees and volunteers should hold confidential and leave intact all lists, records, and documents acquired in connection with fundraising efforts on behalf of the Yellowstone Art Museum. No confidential information, such as financial records, donor or member lists, or information about a specific donor, may be released without the express consent of the 8

11 Executive Director. Except in the most extraordinary of circumstances, permission will never be granted to release member or donor lists. Employees should always seek approval from the Executive Director before providing any outside organization or individual with information such as Museum policies, meeting minutes, forms, or other internal documents from the Museum. While some records, such as Board of Trustee meetings, are a matter of public record, many other documents are not. Failure to comply may result in disciplinary action up to and including termination Hiring Practices Potential for legal liability to the Yellowstone Art Museum exists if candidates being interviewed for position openings are directly or inadvertently identified to a current employer. As such, the YAM must ensure that the identity of any candidate being interviewed for position openings is held in strict confidence by all employees. Failure to comply may result in disciplinary action up to and including termination Employee References All requests for references on current or former employees must be referred to the Executive Director, who generally will release only title, salary, and dates of hire. Additional information may be provided if the employee provides appropriate written authorization. Letters of reference for a past employee may be provided by that employee s supervisor; however, such letters must be submitted to the Executive Director for review and approval. Failure to comply may result in disciplinary action up to and including termination Non-Employee References All requests for references on non-employees must be referred to either the Education Director for docents and teen volunteers, or the Membership and Volunteer Manager for all other volunteers. Letters of reference for a non-employee may be provided by the above-referenced employees; however, such letters must be submitted to the Executive Director for review and approval prior to their release. Failure to comply may result in disciplinary action up to and including termination Value of Museum Collections The monetary value of an acquisition (whether the purchase price or the appraised fair market value) will be treated confidentially and not be disclosed to any uninvolved party unless special circumstances prevail and the prior approval of the Executive Director has been obtained. Similarly, sources of acquisitions will not generally be publicized, and will not be divulged to any outside party when donors desire anonymity. All requests for information about collection objects and the manner in which they have been acquired should, thus, be handled with discretion and through the curatorial department. 2.8 Private Activities during Work Hours Employees shall not engage in any activity (with or without compensation) other than assigned duties or YAM-related business during work hours. Exceptions to this policy require permission 9

12 of the immediate supervisor and the approval of the Executive Director. 2.9 Intellectual Property Rights The Yellowstone Art Museum has certain legal rights in materials created by its employees in the course of their work for the YAM. These legal rights can take the form of copyrights, trademarks, trade secrets, and patents. Except as discussed below, materials developed, written, designed, drawn, painted, constructed, installed, or produced by YAM employees carrying out their responsibilities as employees are the sole property of YAM. The YAM owns the rights to publish, reproduce, and control these materials and is entitled to receive any and all fees or royalties in conjunction with them. In cases where there might be any question as to the ownership or remuneration for materials created outside of regular staff time, the employee should seek clarification from the Executive Director before beginning work on such materials. The YAM does not claim copyright ownership of works written by YAM employees and published by outside publishers unless preparation of such materials was specifically directed by YAM staff and YAM funds were provided expressly for their development Outside Employment and Consultation Any outside employment must be entered into based on the premise that the employee s primary responsibility is to the YAM, that the activity will not interfere with his/her discharging of that responsibility, and that it will not compromise the professional integrity of the employee in any way. Certain types of outside employment, including self-employment, teaching, writing, and consulting, can benefit both the YAM and an employee by stimulating personal and professional development and by promoting the YAM within professional circles. Employees are encouraged to teach, lecture, and write, provided those activities do not interfere with an employee s performance of duties. Employees engaged in outside activities directly related to those they perform for the YAM are often perceived as representatives of the YAM, even though the outside work may be wholly independent of the YAM. For that reason, it is important that the YAM be kept informed of such activities. Employees wanting to engage in such activities must seek the prior approval from the Executive Director by describing the nature and duration of the activities, in writing, prior to becoming involved in outside employment activities that are related to the duties that he or she performs for the YAM. When it is determined that outside work is directly related to an employee s regular YAM duties, particularly if it is clear that the employee s affiliation with the YAM assisted in obtaining the outside work, he/she will be required to disclose all pertinent information, including anticipated amount of time involved and financial remuneration. Any materials and items so developed, written, drawn, painted, constructed, or installed by the employee shall be deemed to be property of the YAM, as well as any applicable copyrights, trademarks, or patents. Outside work that is not directly related to an employee s regular duties at the YAM shall also be disclosed through an Outside Employment/Consultation Form. Such work must be done on the employee s own time and with his/her own personal resources. Any financial remuneration so 10

13 earned may be retained by the employee. Any materials and items so developed, written, drawn, painted, constructed, or installed by the employee may be retained by his/her, as well as any applicable copyrights, trademarks, or patents. Employees engaged in outside paid employment should not use the name of the Yellowstone Art Museum or their affiliation with the YAM in connection with such employment. This is important both to avoid any appearance that the outside employment is related to the employee s function at the YAM and to insure that the name and reputation of the YAM are not used to benefit any particular commercial enterprise. Certain types of employment can create potential ethical problems for the YAM since employees are often considered representatives of the YAM regardless of disclaimers made to the public. For this reason, activities such as appraisals or authentication should not be performed by YAM employees in any capacity Fees, Stipends, and Honoraria Professional activities of the YAM employees outside the YAM are encouraged. Examples of such activities include but are not limited to presentation of research papers, training sessions, and speeches. If these or other outside employment activities as mentioned above are performed on the employee s own time, without the support services of the YAM, then fees, honoraria, and copyrights may be retained by the employee. If such activities are performed during normal working hours or with the use of YAM resources, and the employee is compensated, such compensation must be remitted to the YAM. Employees cannot receive pay from the YAM as well as accepting compensation from another source for the same service. Compensation may be monetary or non-monetary, direct or indirect. The final decision as to the handling of fees, stipends, or honoraria in any particular situation rests with the Executive Director Gifts, Favors, Discounts, and Dispensations The YAM is committed to the highest ethical principles in all relationships with business suppliers. Any employee authorized to spend YAM funds should do so with impartiality, honesty, and with regard only to the best interests of the organization. YAM employees and others in a close relationship to them must not accept gifts, gratuities, favors, personal property, loans, or other dispensations or things of more than a trifling value that are available to them in connection with their duties for the YAM. Any gifts or personal benefits offered that are of more than a trifling nature must be disclosed to the Executive Director, who will then determine whether the gift or personal benefit must be declined. Gifts or personal benefits offered to the Executive Director of other than trifling value must be disclosed to the President of the Board of Trustees, who will then determine whether the gift or personal benefit must be declined. Gifts of trifling value are deemed to be those novelty items with advertising identification affixed to them and a value of less than $20. Gifts include discounts on personal purchases from suppliers who sell or furnish services to the YAM, except where such discounts are established in advance and offered to groups of employees. Meals, accommodations, and travel services while on official business should not be accepted except when it is clear that acceptance of such services will not compromise the professional judgment of the employee or the reputation of the YAM Dealing and Business Dealings with Related Parties 11

14 No employee may act as a dealer, engage in the promotion of a dealer, be employed by a dealer, retain a financial interest directly or indirectly in a dealer, or accept personal discounts from dealers that are not available to the public at large (this does not apply to discounts offered directly to the YAM as a not-for-profit public benefit institution). In the event that the YAM procures goods or services from a related party such as an employee s associate or family member, the transaction must be done at arm s length. In other words, the terms of the agreement and the quality of the goods and services shall be no less favorable to the YAM than is available on the open market Museum Store and Other Commercial Activities The Museum Store and all YAM commercial activities should be conducted in a manner consistent with the YAM s mission and its services to the public. Thus, all commercial activities and related publicity should be relevant to, and not compromise, the YAM s collections, and should be consistent with the YAM s basic educational purposes Referrals When an employee is asked in the performance of his/her official duties to suggest sources for objects, materials, or services such as conservation, appraisal, or the transportation of collection objects, he/she should name at least two qualified, competent sources (where possible) in order to avoid the appearance of official YAM endorsement or favoritism Outside Volunteer Activities Employees are encouraged to participate in voluntary outside activities with community groups or public service organizations. If employees volunteering for an organization could appear to be acting in official capacities as members of the Yellowstone Art Museum s staff, he/she must disclose that to, and seek prior approval from, his/her supervisor to avoid possible misrepresentation or conflict of interest. It is important that employees clarify to community groups or public service organizations their roles as volunteers in their personal capacities and not as representatives of the YAM, unless otherwise directed by their supervisor or the Executive Director. Employees should conduct themselves so that their activities on behalf of community or public service organizations do not reflect adversely on the reputation or integrity of the YAM. When an employee speaks out on a public issue, he/she must do so as an individual Solicitation and Distribution Employee solicitation and distribution on Yellowstone Art Museum premises is governed exclusively by this policy. Solicitation includes but is not limited to spoken invitations or other oral requests to contribute, discuss, join, or participate in organizations, fundraising, surveys, memberships, etc. Distribution includes but is not limited to the distribution or circulation of literature, petitions, sign-ups, contributions, etc. The purpose of this policy is to maintain an orderly workplace, to avoid intrusion upon 12

15 employees at their work, to preserve decorum throughout the public and nonpublic areas, to preserve employee safety and security, and to preserve the security of funds, supplies, records, and confidential information. Persons who are not employees of the YAM may not at any time solicit or distribute on the premises of the YAM. Employees may not engage in solicitation during the working time of the employee soliciting or the employee being solicited. Employees may engage in solicitation during nonworking time such as before or after work and during breaks and meal periods. Employees may not engage in distribution during working time or in working areas. Employees selling fundraising items on behalf of their children may place products and/or order forms in the break area for coworkers to peruse during their break periods Volunteers and Interns Volunteers and interns play a vital and active role at the Yellowstone Art Museum in the achievement of its mission. Employees should be supportive of volunteers and interns, receive them as coworkers, and willingly provide them with the appropriate training and opportunities for intellectual enrichment. Access to the YAM s internal activities and information is a privilege. The lack of monetary compensation for efforts expended on behalf of the YAM in no way liberates a volunteer or intern from adhering to the highest of ethical standards. Volunteers and interns are trusted representatives of the YAM; thus, they bear many of the same responsibilities and obligations as employees. Most notably, volunteers and interns must act for the betterment of the YAM and not for their own personal gain in their work at the YAM (other than the inherent gratification of Museum participation and public service). They must fully and conscientiously fulfill the duties of their position and avoid any conflicts of interest or the appearance of conflicts of interest. In carrying out their duties, volunteers and interns may become privy to privileged information regarding programs, collections, donors, and administration. All nonpublic or non-scholarly information must be kept confidential both during and after affiliation with the YAM. Volunteers and interns must not misuse the YAM s name, property, or services, nor should they compromise the good will and reputation of the YAM within the community Board of Trustees Ethical concerns of specific interest to the class of volunteers servings as trustees are contained in the YAM General Administrative Policies and are restated in this Section: American Alliance of Museums The most current iteration of the American Alliance of Museums Code of Ethics provides overarching ethical guidance. Adherence to the AAM Code of Ethics is required of institutional members of the AAM. It is available at 13

16 YAM s Institution-specific Code of Ethics and Conduct The Yellowstone Art Museum s institution-specific Code of Ethics and Conduct exists as a separate policy document. The document contains principles that govern both staff and volunteers, including trustees. The Board further sets forth the standards below, to which it expects its members to adhere: To become familiar with and committed to the responsibilities of a governing board: o Setting mission and purpose o Appointing and supporting the Executive Director; monitoring the Executive Director s performance o Ensuring that there are adequate financial resources for operation o Assessing Board performance o Engaging in strategic planning o Reviewing exhibitions and educational and public service programs o Preserving institutional independence o Building and maintaining the museum s good standing within the community To support the institution s fund-raising efforts through personal giving in accordance with one s means (to both annual funds and capital drives), and to be willing to share in the solicitation of others. To devote time to learn how the institution functions its uniqueness, strengths, and needs, its place in the industry and in the community. To prepare for, regularly attend, and actively participate in Board meetings and committee assignments. To vote according to one s individual conviction, to challenge the judgment of others when necessary, yet to be willing to support the decisions of the Board and work with fellow Board members in a spirit of cooperation. To recognize that the Board chair alone speaks for the Board. To make judgments always on the basis of what is best for the institution as a whole. To maintain the confidential nature of Board deliberations and to avoid acting as spokesperson for the entire Board unless specifically authorized to do so. To understand the role of the Board as a policy-making body and to avoid participation in management. To learn and consistently to use designated institutional channels when conducting Board business (e.g., responding to staff and volunteer grievances, responding to inquiries concerning the status of an Executive Director search, and similar). To comply with conflict-of-interest policy and disclosure developed by the Board Whistleblower Policy The Yellowstone Art Museum s whistleblower policy extends beyond the law by encouraging reporting of any violations of the law as well as prohibiting retaliation. If any employee or volunteer reasonably believes that a policy, practice, or activity of the YAM is in violation of law, a written complaint may be filed by that individual with the Executive Director. If the complaint is in regard to the Executive Director, the alleged violation may be filed with the President of the Board. It is the explicit intent of the YAM to adhere to all laws and regulations that apply to the organization, and the underlying purpose of this policy is to support the organization's goal of legal compliance. The support of all employees and volunteers is necessary to achieving compliance with applicable laws 14

17 and regulations. An employee or volunteer is protected from retaliation only if the individual brings the alleged unlawful activity, policy, or practice to the attention of the Executive Director and provides him or her with a reasonable opportunity to investigate and correct the alleged unlawful activity. The protection described is available only to employees and volunteers who comply with this requirement. The Yellowstone Art Museum will not retaliate against an employee or volunteer who, in good faith, has made a protest or raised a complaint against some practice of the YAM, or of another individual or entity with whom the YAM has a business relationship, on the basis of a reasonable belief that the practice is in violation of law or a clear mandate of public policy. The Yellowstone Art Museum will not retaliate against an employee or volunteer who discloses or threatens to disclose to a supervisor or a public body any activity, policy, or practice of the YAM that the individual reasonably believes is in violation of a law, or a rule, or regulation mandated pursuant to law or is in violation of a clear mandate or public policy concerning health, safety, public welfare, or protection of the environment Confidentiality Policy It is the policy of the Yellowstone Art Museum that trustees and employees may not disclose, divulge, or make accessible confidential information belonging to or obtained through their affiliation with the YAM to any person, including relatives, friends, and business and professional associates, other than to persons who have a legitimate need for such information and to whom the YAM has authorized disclosure. Trustees and employees shall use confidential information solely for the purpose of performing services as a trustee or employee for the YAM. This policy is not intended to prevent disclosure where disclosure is required by law. Trustees and employees must exercise good judgment and care at all times to avoid unauthorized or improper disclosures of confidential information. Conversations in public places, such as restaurants, elevators, and public transportation, should be limited to matters that do not pertain to information of a sensitive or confidential nature. In addition, trustees and employees should be sensitive to the risk of inadvertent disclosure and should, for example, refrain from leaving confidential information on desks or otherwise in plain view and refrain from the use of speakerphones to discuss confidential information if the conversation could be heard by unauthorized persons. At the end of a trustee s term in office or upon the termination of an employee s employment, he or she shall return, at the request of the YAM, all files, documents, papers, and other materials, regardless of medium, that may contain or be derived from confidential information in his or her possession. It is the policy of the Yellowstone Art Museum not to share or sell donor lists under any circumstances. The privacy of donors and lenders requesting anonymity must be protected at all times, except where disclosure is required by law Political Issues The Yellowstone Art Museum observes restrictions on political campaigning or political 15

18 activity. The Internal Revenue Code Section 501(c)(3) sets forth strict guidelines for notfor-profit organizations with regard to political activity. As a result, YAM must avoid the appearance of supporting, favoring, or opposing an individual candidate or political party. The YAM does not permit groups promoting a particular candidate or political party to campaign on its site or during its events (for example, Summerfair). This extends, for instance, to a volunteer group that may wish to arrive for their duties wearing political T- shirts or similar endorsements. Should the staff and/or Board wish to take a formal position on a local issue of importance to the cultural community (not a candidate or political party), a majority of trustees must communicate their endorsement or rejection of a given position in writing (an communication is permitted) before any public communication can occur. This is also required before the YAM, as a member of any consortium, casts its vote on an issue. Examples of such a consortium or group include Billings Cultural Partners, the Downtown Billings Alliance, or the American Alliance of Museums. The Board, at its discretion, may delegate voting authority for specific issues to the Executive Director. The above supplements Section 2.4 in the Code of Ethics and Conduct regarding personal political activity. SECTION 3: CONDUCT 3.1 Rules of Conduct Employees are expected to observe certain standards of job performance and conduct themselves in a positive, supportive, and cooperative manner when interacting with visitors, vendors, donors, coworkers, and management. When performance or conduct does not meet YAM standards, the Museum will endeavor, when it deems appropriate, to provide the employee a reasonable opportunity to correct the deficiency. If, however, the employee fails to make the correction, he or she will be subject to discipline up to and including termination. The rules set forth below are intended to provide employees with fair notice of what is expected of them. Necessarily, however, such rules cannot identify every type of unacceptable conduct and performance. Therefore, employees should be aware that conduct not specifically listed below but that adversely affects or is otherwise detrimental to the interests of the YAM, other employees, or customers, may also result in disciplinary action. Initiation of corrective action may occur for job performance, including but not limited to unsatisfactory work quality or quantity; poor attitude (for example, rudeness or lack of cooperation); excessive absenteeism, tardiness, or abuse of break and lunch privileges; failure to follow instructions or YAM procedures; or failure to follow established safety regulations. Employees may be disciplined for misconduct, including but not limited to the following: Fighting with or any manner of intimidation, threat, or attempt at bodily injury to another employee Insubordination Dishonesty or theft 16

19 Discourtesy or the use of abusive, threatening, or obscene language Unauthorized possession of YAM property or the property of a coworker Willful misuse or destruction of YAM property or the property of a coworker on YAM premises Violating code of conduct, ethical guidelines, or conflict of interest rules Unauthorized disclosure or use of confidential (personnel, payroll, facility, security, donor, etc.) or proprietary information Falsifying or altering YAM records, including the application for employment Interfering with the work performance of others, or harassing (including sexually harassing) employees or visitors Being under the influence of, manufacturing, dispensing, distributing, using, or possessing alcohol or illegal or controlled or unauthorized substances on YAM property or while conducting YAM business Gambling on YAM premises or while conducting YAM business Sleeping on the job or leaving the job without authorization Possessing a firearm or other dangerous weapon on YAM property or while conducting YAM business Being convicted of a crime that indicates unfitness for the job or raises a threat to the safety or well-being of the YAM, its employees, customers, or property Failing to report to the YAM, within five (5) days, any conviction under any criminal drug statute for a violation occurring in the workplace Working unauthorized overtime Publicly disclosing another s private information, spreading malicious rumors, or making false statements about others with malice that causes harm In addition to the general rules stated above, employees may be disciplined for failing to observe the following specific requirement relating to attendance: reporting to work on time, observing time limits for rest and lunch periods, and obtaining approval to leave work early, and notifying the supervisor in advance of anticipated tardiness or absence. Employees who conclude that their work-related concerns should be brought to the attention of YAM management by written complaint and formal investigation may avail themselves of the internal grievance procedure set forth in Section Social Media Policy At the Yellowstone Art Museum, we understand that social media can be a fun and rewarding way to share your life and opinions with family, friends, and colleagues around the world. However, use of social media also presents certain risks and carries with it certain responsibilities. To assist you in making responsible decisions about your use of social media, we have established these guidelines for appropriate use of social media. This policy applies to all employees of the museum. In the rapidly expanding world of electronic communication, social media can mean many things. For the purposes of this policy, social media includes all means of communicating or posting information or content of any sort on the Internet, including to your own or someone else s web log or blog, journal or diary, personal web site, social networking or affinity web site, web bulletin board or a chat room, whether or not associated or affiliated with museum, as well as any other form of electronic communication. 17