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 Museum Name: Frank Lloyd Wright Preservation Trust Date: unknown Type: Historic House Budget Size: $1 million to $4.9 million Budget Year: 2006 Governance Type: Private, Nonprofit Organization Accredited: 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 Personal Collecting Political Activity & Public Issues Purchase of Museum Property

2 Disclosure Gifts, Favors Loans (Confidentiality) Outside Employment Outside Volunteer Activity Collection Acquisition Deaccession Care & Preservation/Conservation Trustee/Director Relationship Museum Management Practices Business Dealings with Related Parties Compliance with Laws Fundraising Loans Responsibility to Public Implementation Definitions Referrals Use of Assets Use of Information Use of Name Appraisals Availability of Collection Truth in Presentation 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 FRANK LLOYD WRIGHT PRESERVATION TRUST CODE OF ETHICS Mission The Frank Lloyd Wright Preservation Trust engages the public in educational and aesthetic experiences to foster an appreciation of architecture, design and the legacy of Frank Lloyd Wright. Vision Inspired by the innovative thinking and design of Frank Lloyd Wright, the Frank Lloyd Wright Preservation Trust is a dynamic educational resource providing a model program of public access, and serving as an exemplary steward of its collections and Wright-designed structures. Values Commitment to excellence Integrity in stewardship and public engagement Inclusiveness and diversity Responsible stewardship of resources Accountability to the public Ethics 1. Board of Directors Obligations The Board of Directors of the Frank Lloyd Wright Preservation Trust, acting as a public trust and steward of its museums, facilities, collections, and programs has a duty and obligation to set the mission and strategic direction of the organization. It also approves and oversees Trust policy, finances and operations through board action, committees and staff. The Board of Directors, individually and collectively: Must be loyal to the mission of the Trust and have the skills and experience to fulfill their governance roles for benefit of the Trust and its public purpose; Must understand and respect all documents establishing and governing the Trust, such as Articles of Incorporation, bylaws and all policies approved by the board; all actions must conform with bylaws, resolution and policies; Must act for the Trust as a board, committee or subcommittee, or as individual agents of those bodies, but never solely as an advocate for a specific self-interest; Shall not disclose confidential information gained during the course of their Trust activities if that information is not in the public domain or required to be released to fulfill public accountability; Must devote sufficient time and attention to the affairs of the Trust to assure that all actions of the Board are in compliance with the Trust s governing documents and with applicable state and federal laws. Must, in all actions, ensure that they do not reflect unfavorably upon or impair the reputation of the Trust as an institution; Have an obligation to ensure the physical security and preservation of the Trust s museums, collections, and other facilities; Must develop, maintain and monitor an appropriate financial structure to ensure the long-term viability and quality of the Trust. 1

4 Conflicts of Interest and Loyalty Directors serve the Trust and its public. They shall not attempt to derive any personal material advantages from their connection with the institution. The reputation of the Trust may be damaged through inappropriate activity of a director concurrent with his/her service in a position of institutional and public trust. Therefore: Individual directors who are experienced and knowledgeable in various fields related to the interests of the Trust are important to the organization, but conflicts of interest or the appearance of such conflicts may arise between their personal interests and those of the Trust. Directors must endeavor to conduct all of their activities, including those with closely associated parties, businesses or other organizations, such that no conflicts will arise between their other interests and the policies, operations and interests of the Trust. Even the appearance of such conflicts must be avoided; Each director shall annually file with the Board Resources Committee a statement disclosing his/her personal, business and organizational interests and affiliations as well as those of persons close to him/her, that could be construed in any way as Trust related. The statement should include any relationships to other organizations, if the purposes or programs of those organizations are in any manner related to, or may impinge upon, the purposes, programs or activities of the Trust; The board shall make every effort to assure that no director, family member, or close associate competes with the Trust for objects, or uses information obtained through board service for personal advantage. Should any conflict develop, the interests of the Trust must prevail; Any director seeking staff assistance for personal purposes should not expect to be treated any differently than a member of the general public in similar circumstances or with similar needs; Whenever there is a potential conflict or the appearance of conflict between the interests of the Trust and the conflicting interests of a director or a closely related person, the conflicting interest of the director must be made a matter of record. If the director is present when a vote is taken in connection with such a question, he/she must abstain. In some circumstances the interested director should avoid discussing any planned actions, formally or informally, from which he/she may appear to benefit. Sometimes neither disclosure nor abstention is sufficient, and the only appropriate action is resignation; Directors may not use information they receive during their service to the Trust if the director s personal use of such information could be financially detrimental to the Trust. Directors who obtain information that could benefit them personally must refrain from acting upon it until the board has reviewed the situation and approved the action; Directors shall use museum property only for official purposes, and may not make personal use of the museum s collection, property or services in a manner not available to a comparable member of the general public. While loans to the Trust of objects by directors can be of great benefit to the Trust, it should be recognized that exhibition can enhance the value of exhibited objects. The display of objects owned or created by the directors, or in which the directors or any person close to them have an interest, must receive prior approval of the board. 2. Staff Obligations The reputation of the Frank Lloyd Wright Preservation Trust is a valuable asset and demands the utmost loyalty from all staff. The professional staff must adhere to and promote professional practices. Staff also shall abide by the codes of ethics developed for their specific fields of expertise. Trust staff must accept, as a condition of employment, the ethical principles contained in this document. 2

5 Conflicts of Interest and Loyalty Staff must act in a manner that maintains public confidence in the museum and in the museum profession at all times. Staff must maintain the confidentiality of information regarding staff, board, volunteers, membership, and the financial and administrative work of the museum. Staff must maintain the confidentiality of negotiations and private confidences in the course of their work. Staff may not use any object from the Trust s collection or any other of its property for any purpose other than the official business of the Trust. If a staff member is asked for a referral to a provider of goods or services, none or more than one qualified source should be named to prevent the appearance of favoritism. Staff members may not accept gifts, favors, loans or other items of value in connection with fulfilling the requirements of employment; If a staff member is unable to resolve a potential conflict of interest, it must be brought to the attention of his supervisor or the President/CEO for discussion and resolution. Intellectual Property Staff members are encouraged to research, write and publish both during working hours and on their own time. Items or materials such as records, research papers, books, catalogues, designs, plans, and advertisements, written, drawn or prepared during the course of normal duties as a staff member, are considered the property of the Trust. The Trust will retain the rights to all said property. The Trust also retains the right to all fees, royalties or honoraria earned by its staff while carrying out their work for the Trust; Programs developed for the Trust, as well as documentation and research on collection items following accession, are the property of the Trust. Outside Employment Staff members may perform work and accept outside employment if: Such work does not interfere with the performance of their regular duties for the Trust; Such work is performed away from Trust sites, on their own free time; In the case of work directly related to the staff position with the Trust, the staff member must consult with the President/CEO regarding the requirements of such work, and must receive written permission before accepting such work. 3. Volunteers Volunteers (all unpaid personnel working on Trust projects, including directors, students, and interns) have an ethical responsibility to the Trust. The Trust provides special privileges and benefits to its volunteers in appreciation of their service. Access to all areas of the Trust is a privilege, and the lack of material compensation for effort expended in no way frees the volunteer from standards that apply to paid staff. Volunteers must work for the general welfare of the Trust and for no gain other than personal gratification and enrichment. Volunteers may not accept gifts, favors, loans or other items of value in connection with fulfilling the requirements of volunteer service; Volunteers must respect the confidentiality of any information that is not public to which their volunteer activities have given them access; Volunteers must also abide by all institutional policy and legal requirements related to intellectual property; 3

6 Volunteers must understand the policies and programs adopted by the board and staff of the Trust and support these policies and programs. 4. Collections General Statements Collections (including historic sites) are the foundation of the Frank Lloyd Wright Preservation Trust. The obligation of the Trust to its collections is paramount. The Trust is committed to preserving its collections so it can educate, and make the collections accessible to, the widest possible audience. Therefore; All constituents of the Trust shall act to ensure the physical and intellectual integrity of the collections; In compliance with adopted standards of the American Association of Museums, collections shall not be capitalized or treated as financial assets; Employees, members of the Board of Directors, the Collections Committee, the Restoration Committee and others having a relationship to the collections through their Trust role, shall refrain from acquiring, collecting and dealing (buying and selling for profit) objects that fall within the collecting parameters of the Trust without first presenting such opportunity to the Trust; Employees and volunteers must respect the privacy of donors, clients and subjects of documents in the collection. Acquisition and Disposal of Collections The Trust shall adopt and act according to the comprehensive collections policy adopted by the Board of Directors. The policy is the Trust s public statement of its practices and policies regarding the acquisition and disposal of objects; When acquiring and disposing of Trust materials, the organization must carefully weigh the interests of the public for which it holds the collection in trust, the donor s intent in the broadest sense, the interests of the scholarly and cultural community, and the Trust s own financial wellbeing; Collections shall be acquired, cared for and interpreted with sensitivity to their cultural origins, and in compliance with all legal requirements; Objects and materials collected should be relevant to the Trust s purpose, be accompanied by a valid legal title, and be properly catalogued, conserved, stored or exhibited. They shall preferably be unrestricted; if not, any limitations must be clearly described in an instrument of conveyance. All acquisitions are subject to the approval procedures of the Collections Committee and the Board of Directors; The Trust shall acquire or accept objects or materials only when it can determine with reasonable certainty that the work has not been derived from illicit trade or under illicit circumstances; The Trust must, in principle, remain free to improve its collections through selective disposal as well as acquisitions. Collections shall not be deaccessioned or disposed of in order to provide financial support for institutional operations, facilities maintenance or any other purpose that does not support the advancement of the institution s mission through enhancement of the collections; Objects or materials that no longer retain their physical integrity, that are not authentic, or that are no longer useful for the collections, in accordance with the Trust s Deaccession Policy and Procedures may be removed from the collection; No person associated with the Trust or his/her representative may acquire any property from the Trust for his/her personal account except in the normal course of business from the Merchandise Division, Bookshops, Catalog or other areas approved by Administration; 4

7 Deaccessioned objects and/or materials that must be disposed of may be offered to a nonprofit organization in order to fulfill the Trust s greater public purpose; Proceeds from the sale of collections are to be used solely for the acquisition or direct care of collections. Appraisals Museum employees shall not perform appraisals except for internal use purposes (e.g. determining appropriate insurance evaluations for loans). The Trust shall maintain a list of appraisers but shall not endorse any appraiser; It is the responsibility of donors of objects or materials to the Trust to secure their own appraisals at their own expense. The Trust shall avoid any action that may appear to be an effort to assist the donor in securing an improper income tax deduction. 5. Education and Interpretation The Trust serves the public by fostering an understanding of the architecture and ideas of Frank Lloyd Wright, and the context in which Wright s architecture was created. Exhibits, interpretation, scholarship, publications and educational programs and other activities shall serve to further advance the Trust s mission; Interpretation shall be based on sound scholarship and shall reflect facts as they have been documented; Historical scholarship and interpretation demand intellectual freedom. The Trust shall not allow any activity to take place that restricts research or the open and free exploration of ideas; Publications, lectures, manuscripts, photography and all other materials created and/or prepared by an employee, member, or volunteer within the scope of their participation with the Trust are the sole property of the Trust except as authorized in writing by the President/CEO; Programs should be accessible and encourage participation of the broadest audience possible consistent with the mission and resources of the Trust. 6. Commercial Use of Trust Assets Relationships with other organizations and revenue-producing activities that are compatible with the mission of the Trust and support its public trust responsibilities are desirable. However: No revenue producing activities will be undertaken that violate or compromise the integrity of the institution s mission, compromise the Trust s ability to meet professional standards, or threaten its nonprofit status; Manufacture and sale of replicas, reproductions or other commercial items adapted from an object in the Trust collections must neither discredit the integrity of the Trust nor trivialize or damage the original object; Revenue producing programs must promote the public good and financial support of the Trust rather than individual financial gain. 5