About Us

Welcome to the Khalifa University Office of Ethics and Compliance, focused on promoting a culture of integrity and ethical behavior in all areas of KU's operations. Our Office serves as a resource for faculty, staff, students, and other stakeholders in matters related to compliance with laws, regulations, and policies.

Our primary goal is to ensure that KU's activities and practices align with legal and ethical standards, and to promote a culture of ethical behavior that encourages everyone to act with honesty, integrity, and responsibility. We work closely with other departments across KU to provide guidance, training, and support on issues related to ethics and compliance.

Our services include

  • Providing guidance and training on ethical principles and compliance requirements.
  • Developing and implementing policies and procedures that support compliance with laws and regulations, and ethical standards.
  • Conducting investigations into potential violations of laws, regulations, and policies, and working with other departments to address and remediate any issues identified.
  • Maintaining channels for reporting suspected violations of laws, regulations, and policies, and ensuring that all reports are handled with confidentiality and without fear of retaliation.

We believe that promoting a culture of ethics and compliance is essential for the success of KU and its mission. We encourage everyone at KU to reach out to our office for guidance, support, or to report any concerns related to ethics and compliance.

Vision and Mission

Our Vision

The Ethics and Compliance Office at Khalifa University is committed to supporting KU's vision of being a catalyst to the growth of the country's rapidly developing knowledge economy, an education destination of choice, and a global leader among research-intensive universities of the 21st century.

Our vision for the Ethics and Compliance Office is to be a partner to our colleagues in achieving this vision by promoting a culture of ethical behavior, compliance, and responsibility. We aspire to be recognized as a leader in ethics and compliance in the higher education sector, providing guidance, support, and resources that are essential to KU's success.

Our Mission

Our mission is to support KU's mission of being a world-class, research-intensive institution by promoting ethical conduct and compliance with laws, regulations, and policies. We are committed to upholding the highest standards of integrity, responsibility, and ethical behavior in all areas of our institution's operations.

Policies and Procedures

Our Code of Ethics: The code sets out basic principles, standards, and behaviors necessary to achieve the highest levels of ethics and integrity. It provides clarity to ambiguous situations and advice on what should be done in order to maintain the utmost safety within our community.

View Code of Ethics

The Code is complemented by a number of policies:

Conflict of Interest Policy

This policy provides a framework for identifying, disclosing, and managing conflicts of interest, ensuring compliance with laws, and fostering a culture of transparency and ethical conduct.

Anti-Bribery and Corruption Policy

Guidelines on how to prevent improper payment transactions such as payments, Gifts, Entertainment and Meals, Sponsored Travel and Hospitality, or Sponsorship.

Investigations Policy

Introduces comprehensive reporting and investigation guidelines, coupled with a zero-retaliation policy, ensuring a transparent and fair response to concerns.

Partners Code of Conduct

This policy sets forth expectations and standards for KU partners, aiming to maintain the organization's integrity and reputation, and fostering ethical conduct and trust in all interactions.

Partner Due Diligence Policy

Outlined in this Policy guidance for KU and its community to conduct effective, risk-based due diligence, safeguarding the organization from legal penalties and reputational harm while promoting responsible business practices.

We regularly review and update our Compliance Policies and Procedures to ensure that they remain up-to-date and in compliance with legal and ethical standards.

Our Compliance Policies and Procedures are available to all members of our community, including faculty, staff, and students, and are easily accessible through our online compliance portal. In addition to our policies and procedures, our compliance portal provides access to training materials, guidance documents, and other resources to support ethical behavior and compliance.

We encourage all members of our community to familiarize themselves with our Compliance Policies and Procedures and to seek guidance from our Ethics and Compliance Office if they have any questions or concerns. By working together to uphold the highest standards of ethical behavior and compliance, we can maintain a culture of integrity and support our institution's mission of being a world-class, research-intensive institution.

FAQs

At Khalifa University, we are committed to upholding the highest standards of ethical behavior and compliance with laws, regulations, and policies. To support this commitment, we have compiled a list of frequently asked questions (FAQs) to provide guidance on some of the most common ethical issues that may arise.

General

What is the difference between a policy and a procedure?

A policy is a statement of the institution's values, expectations, and objectives regarding a particular issue, while a procedure outlines the specific steps that must be followed to implement the policy. Policies provide the framework for decision-making, while procedures provide the guidelines for carrying out those decisions.

How do I access the Compliance Policies and Procedures?

Our Compliance Policies and Procedures are available through our online compliance portal, which is accessible to all members of our community. You can log in using your KU credentials and navigate to the Compliance Policies and Procedures section to review the relevant documents.

What is the process for reviewing and updating our Compliance Policies and Procedures?

Our Ethics and Compliance Office is responsible for reviewing and updating our Compliance Policies and Procedures on a regular basis to ensure that they reflect current legal and regulatory requirements and best practices. All updates are reviewed and approved by senior leadership before they are implemented.

How do I access the Compliance Policies and Procedures?

Our Compliance Policies and Procedures are available through our online compliance portal, which is accessible to all members of our community. You can log in using your KU credentials and navigate to the Compliance Policies and Procedures section to review the relevant documents.

What is the process for reviewing and updating our Compliance Policies and Procedures?

Our Ethics and Compliance Office is responsible for reviewing and updating our Compliance Policies and Procedures on a regular basis to ensure that they reflect current legal and regulatory requirements and best practices. All updates are reviewed and approved by senior leadership before they are implemented.

What are the consequences of non-compliance with our policies and procedures?

Non-compliance with our policies and procedures may result in disciplinary action, up to and including termination of employment or expulsion from KU. Our Ethics and Compliance Office will work with relevant stakeholders to determine the appropriate course of action based on the nature and severity of the violation. 

Conflict Of Interest

What is a conflict of interest?

conflict of interest occurs when an individual's personal or financial interests interfere, or appear to interfere, with their ability to perform their duties in an objective and impartial manner. Conflicts of interest can arise in a variety of contexts, such as when an individual has a financial stake in a company with which KU is doing business, or when an individual is in a position to influence a decision that could benefit themselves, their family members, or other related persons and friends.

What should I do if I think I have a conflict of interest?

If you believe you may have a conflict of interest, you should disclose the potential conflict to your supervisor or to the Ethics and Compliance Office. Depending on the nature of the conflict, you may be required to recuse yourself from certain activities or to take other steps to mitigate the conflict.

How do I disclose a conflict of interest?

All members of our community are required to disclose any potential conflicts of interest using the Conflict of Interest Disclosure Form, which is available through our online compliance portal. Our Ethics and Compliance Office will review each disclosure to determine if there is a potential conflict of interest or other issue that requires further action.

What is the process for reviewing and managing conflicts of interest?

KU has a Conflict of Interest Policy that outlines the process for identifying, disclosing, and managing conflicts of interest. The process typically involves disclosing the potential conflict, assessing the risks associated with the conflict, and developing a plan to manage the conflict if necessary. The Ethics and Compliance Office is responsible for overseeing the management of conflicts of interest.

Are there any situations where conflicts of interest are allowed?

While conflicts of interest are generally discouraged, there may be certain situations where they are unavoidable. In these cases, it is important to disclose the potential conflict and to take steps to manage the conflict in a transparent and ethical manner. However, conflicts of interest that involve potential financial gain or personal advantage should be avoided whenever possible.

What are some examples of conflicts of interest?

Examples of conflicts of interest may include situations where an individual has a financial stake in a company that is doing business with KU, where an individual is in a position to influence a decision that could benefit themselves or their family members, or where an individual has a close personal or professional relationship with someone involved in a decision-making process. 

Gifts, Entertainment, Meals, Sponsorships, And Sponsored Travel

What is meant by "Gifts, Entertainment, and Hospitality"?

"Gifts, Entertainment, and Hospitality" refer to any items or activities that are provided to an individual by a third party, such as a vendor or supplier, and that could be perceived as creating an obligation or influence on the individual. Examples may include gifts, meals, travel, tickets to events, or other forms of hospitality.

What is the policy on Gifts, Entertainment, and Hospitality?

KU has a Gifts, Entertainment, and Hospitality Policy that requires all employees and representatives to disclose any gifts, entertainment, or hospitality that they have received or provided in connection with their work at the institution. The policy sets out guidelines for what types of gifts, entertainment, or hospitality are permissible and under what circumstances.

When do I need to disclose Gifts, Entertainment, and Hospitality?

You should disclose any gifts, entertainment, or hospitality that you have received or provided in connection with your work at KU as soon as possible after the event or activity takes place. In general, you should disclose any gifts, entertainment, or hospitality that exceed a 400AED threshold or that could be perceived as creating an obligation or influence on the individual.

How do I disclose Gifts, Entertainment, and Hospitality?

You should disclose any gifts, entertainment, or hospitality that you have received or provided in connection with your work at KU as soon as possible after the event or activity takes place. In general, you should disclose any gifts, entertainment, or hospitality that exceed a certain AED threshold or that could be perceived as creating an obligation or influence on the individual.

Are there any restrictions on accepting Gifts, Entertainment, and Hospitality?

KU's Gifts, Entertainment, and Hospitality Policy sets out guidelines for what types of gifts, entertainment, or hospitality are permissible and under what circumstances. In general, gifts, entertainment, or hospitality should not create the appearance of impropriety or compromise the individual's ability to make objective decisions. Some types of gifts, entertainment, or hospitality may be prohibited altogether.

What are the consequences of failing to disclose Gifts, Entertainment, and Hospitality?

Failing to disclose Gifts, Entertainment, and Hospitality in accordance with our institution's policy may result in disciplinary action, up to and including termination of employment or expulsion from KU. It is important to disclose any gifts, entertainment, or hospitality to ensure that KU's reputation for impartiality and ethical behavior is maintained.

Can I accept gifts or entertainment from a vendor or partner?

In general, accepting gifts or entertainment from vendors or partners is discouraged, as it may create the appearance of a conflict of interest. If you do receive a gift or invitation, it should be disclosed using the Gifts, Entertainment, and Hospitality Disclosure Form, and you should consult with our Ethics and Compliance Office to determine if it is appropriate to accept.

Do I need to disclose gifts, entertainment, or hospitality that I receive or provide to personal friends or family members?

Yes, if the gift, entertainment, or hospitality is related to your work at KU, then you should disclose it. This is because even gifts, entertainment, or hospitality provided to personal friends or family members can create the appearance of impropriety or influence.

What if I receive a gift or entertainment that is of nominal value?

The Gifts, Entertainment, and Hospitality Policy sets a threshold for what is considered "nominal value." If the gift or entertainment are above 400AED, it needs to be disclosed. Generally, it is always better to err on the side of caution and disclose any gifts, entertainment, or hospitality that you receive or provide.

Can I accept a gift, entertainment, or hospitality if it is offered to me by a vendor or supplier?

Our institution's policy may allow certain types of gifts, entertainment, or hospitality, such as meals or small tokens of appreciation, to be accepted from vendors or suppliers. However, it is important to ensure that accepting the gift, entertainment, or hospitality does not create the appearance of impropriety or influence.

What if I am unsure whether a gift, entertainment, or hospitality should be disclosed?

If you are unsure whether a gift, entertainment, or hospitality should be disclosed, it is always best to err on the side of caution and disclose it. You can also seek guidance from the Ethics and Compliance Office or your supervisor.

What happens after I disclose a gift, entertainment, or hospitality that I have received or provided?

The Ethics and Compliance Office will review the disclosure and determine if any further action is necessary. This may include a review of the circumstances surrounding the gift, entertainment, or hospitality to ensure that it was permissible under our institution's policy. If there are any concerns, the Ethics and Compliance Office may investigate further or take other appropriate action. 

Reporting Ethical Concerns

What types of concerns should be reported?

Any concerns related to potential violations of our institution's policies or ethical standards should be reported. This may include concerns related to financial impropriety, conflicts of interest, discrimination, harassment, research misconduct, or other violations.

What is the process for reporting concerns related to ethical behavior or compliance?

We encourage all members of our community to report any concerns related to ethical behavior or compliance using the Reporting Concerns Form, which is available through our online compliance portal. All reports will be reviewed by our Ethics and Compliance Office, and appropriate action will be taken to address the reported issue.

How can I report a concern?

You can report a concern in several ways, including contacting your supervisor, the Ethics and Compliance Office, or using our institution's anonymous reporting hotline or online reporting system. Contact information for these reporting options should be available on our institution's website and in our Compliance policies.

Can I report a concern anonymously?

Yes, our institution encourages the reporting of concerns and allows for anonymous reporting. However, it is important to note that anonymous reports may be more difficult to investigate or follow up on. It is recommended that, at the least, any valid email be provided when submitting the concern. A throwaway email that the reporter has access to and is able to respond from could help the team in investigating and following up on reports. 

What happens after I report a concern?

The Ethics and Compliance Office will review the concern and determine the appropriate next steps. This may include conducting an investigation or working with other departments or individuals to address the concern. Depending on the nature of the concern, there may also be legal or regulatory requirements for reporting to external entities.

Will I face retaliation for reporting a concern?

Our institution has a strict policy prohibiting retaliation against individuals who report concerns in good faith. If you believe that you have experienced retaliation for reporting a concern, you should contact the Ethics and Compliance Office immediately. Our institution takes all reports of retaliation seriously and will investigate such claims.

What should I do if I witness or become aware of a concern but I am not sure if it violates our institution's policies?

If you witness or become aware of a concern but are not sure if it violates our institution's policies, you should still report it. The Ethics and Compliance Office can help determine if the concern is valid and if any action needs to be taken.

Can I report a concern if I am not an employee of the institution?

Yes, our institution encourages anyone who is aware of a concern related to potential violations of our policies or ethical standards to report it. This includes contractors, vendors, visitors, and other third parties.

Will my report be kept confidential?

Our institution takes confidentiality seriously and will make every effort to keep reports confidential to the extent possible while still conducting a thorough investigation. However, there may be situations where confidentiality cannot be guaranteed, such as when legal or regulatory requirements require disclosure.

What if I report a concern and it turns out to be unfounded?

If you report a concern and it turns out to be unfounded, there will be no negative consequences as long as the report was made in good faith. Our institution encourages the reporting of concerns and takes all reports seriously.

Can I report a concern anonymously and still receive follow-up information?

If you choose to report a concern anonymously, you may not receive follow-up information on the investigation or the outcome. However, you can provide contact information for someone to receive updates on your behalf without revealing your identity. Alternatively, you can provide an anonymous email that you have accesses to in order to receive updates and provide any help that the investigation needs. 

How long does it take to investigate a concern?

The length of an investigation can vary depending on the nature and complexity of the concern. Our institution is committed to conducting thorough and timely investigations and will provide updates on the progress of the investigation as appropriate.

What if I have concerns about the handling of my report or investigation?

If you have concerns about the handling of your report or investigation, you should contact the Ethics and Compliance Office or another appropriate resource. Our institution takes all concerns about the handling of reports or investigations seriously and will address them promptly and appropriately.

If you have any additional questions or concerns related to ethical behavior or compliance, please do not hesitate to contact our Ethics and Compliance Office for guidance and support. We are here t​o help you maintain the highest standards of ethical behavior and compliance and to support KU's mission of being a world-class, research-intensive institution.​

Contact Us

Our Ethics and Compliance Office is committed to providing multiple channels for individuals to report concerns or ask questions related to ethical and compliance matters. We encourage all members of the community to speak up if they become aware of any potential violations of our institution's policies or ethical standards.

Report Online

Our online reporting form is a quick and easy way to report concerns. You have the option to remain anonymous if you wish. To access the form, please visit www.ku.ac.ae/ethics.

Telephone Hotline

You can also report a concern by calling our Ethics and Compliance hotline at +971 2 312 5555.

Email

You can email the Ethics and Compliance Office directly at ethics@ku.ac.ae. We will respond to your email as soon as possible.

We invite you to contact us for guidance, support, or to report any concerns related to ethics and compliance. Our team is always ready to assist you in upholding the highest standards of ethical behavior and compliance.


REPORT
A CONCERN


Other ways to report

Call

+971 2 312 5555

Email

ethics@ku.ac.ae

Compliance and Risk Management,

Khalifa University, Abu Dhabi.