No. 37.000 Rev. 1

Code of Business Ethics & Conduct

2.0

Effective Date 4/6/13

3.0

Scope

This policy establishes the code of business ethics and conduct at Fermilab and sets out a system of Internal Controls to ensure compliance with FAR 52.203-13 Contractors Code of Business Ethics & Conduct as required by Fermilab prime contract DE-AC02-07CH11359.

4.0

Applicability

All Fermi Research Alliance Employees

5.0

Policy

Fermi Research Alliance, LLC, (FRA) requires that all employees conduct themselves with the highest standards of integrity, honesty and fair dealings to preclude an actual conflict or the appearance of conflict between FRA's performance, including its contractual obligations to DOE, and the personal interest of individual employees. This Policy also describes an affirmative system of Internal Controls for review of Conduct in accordance with Federal Acquisition Regulation (FAR) 52.203 -13 (C) (2) and provides for timely written disclosure to Department of Energy of any violation described under FAR 52 203-13 C (2)(ii)(F).

Specifically, Ethical Conduct means:

  • Employees shall not accept any gratuity, gift or special favor from individuals or organizations with whom FRA is doing business or proposing to do business in accomplishing work under the contract. With the exception of advertising novelties of minimal value, gratuities shall be refused or returned. Services offered to employees, loans of equipment to employees or work performed outside FRA's contractual obligation to DOE for employees shall be refused.
  • Meals to discuss business matters may be accepted only where provision for separate payment by the employee cannot reasonably be made.
  • Gifts from foreign governments or agencies, which cannot be appropriately refused, may be accepted and Fermilab General Counsel shall be notified. The office of General Counsel will provide advice on appropriate disposition.
  • An employee shall not, directly or indirectly, give, offer, or promise anything of value to any actual or potential subcontractor or subcontractor employee, which could possibly incur an obligation.
  • Any solicitation, acceptance or attempt to accept any "kickback" is specifically prohibited.
  • Employees are required to cooperate with government agency officials including the DOE Inspector General whenever an audit, investigation or corrective action is being pursued.

On an annual basis, the Fermilab COO will publish and disseminate to all employees a memorandum entitled “Annual Reminder on Reporting Fraud, Waste, Abuse, and Other Misconduct Involving the Use of Government Funds”, which emphasizes the key elements of this policy.

The system of Internal Controls at Fermilab includes multiple audit procedures to discover any Fraud Waste and Abuse (FWA) or other systemic abuse and report the results of such audits to the FRA CFO as well as the Board of Directors.  Additionally, FRA has other elements of internal controls that include (for example):  

  • A robust Contractors Assurance System (CAS) with appropriate review and reporting procedures (http://www.fnal.gov/directorate/AC/index.html).
  • FRA’s Internal Audit function;
  • Annual Financial Statement audits by KPMG with reports to the FRA Chief Financial Officer and FRA Board of Directors for compliance with the Prime Contract. 
  • Required filing of Outside Employment forms by FRA employees to guard against conflicts of interest with official duties; and
  • Performance of personnel Background Checks, when appropriate.

Any violation of this Code of Business Ethics and Conduct policy will result in disciplinary action up to and including termination.