DRAFT Version 1.

0
Code of Ethics
May 31, 2016

9409 Old Courthouse Rd. Vienna, VA 22182 703.242.2016 (office)

703.636.7798 (fax)
quantumgovernance.net

Welcome
Ethical leadership is leadership that is directed by a genuine
appreciation for ethical beliefs and values and for the dignity of
others. And so it is that our communitys founder, Robert E. Simon,
was also Restons first ethical leader. Among his Seven Goals, outlined
in 1962, was That the importance and dignity of each individual be
the focal point for all planning
More than 50 years later, we embarked on a new project that would
make Mr. Simon proud the articulation of the Reston Associations
(RA) first Code of Ethics (Code). The Code was truly a collective
effort and was drafted with substantial input from RA Board Members,
Task Force Volunteers, Staff, Members and other key Reston
Association stakeholders. We trust that it will help clarify and reinforce
the types of core values and ethical standards our community can be
proud of as well as help them to be as effective as possible in carrying
out their vital leadership responsibilities. We also trust that, over time,
this Code will continue to evolve and be improved.
In essence, the Code is our reaffirmation that each and every Board
Member, Volunteer and member of the Reston Association Staff should
devote their time, talents and energy to our wonderful community in
an ethical manner and in the spirit of our Founders vision.
With this new Code of Ethics, we individually and collectively pledge
ourselves once more to Leading the model community where all can
Live, Work, Play and Get Involved and where the importance and
dignity of each individual remains the focal point for our efforts.
[INSERT SIGNATURE]
Ellen Graves
President, Board of Directors
[INSERT SIGNATURE]
Michael R. Sanio
Chair, Ethics Task Force
Vice-President, Board of Directors
[INSERT SIGNATURE]
Cate L. Fulkerson
CEO

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Table of Contents
TO INSERT UPON COMPLETION

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Our Core Values

At RA, we rely on our Core Values to help define our actions and
behaviors. These are the values upon which our Code of Ethics are
built. When a specific Core Standard does not address a particular
circumstance or question you may have, please view the issue through
the lens of the following Core Values.
We call upon them not only to shape our relationships with and among
Board Members, Staff and Volunteers, but also with our Members, the
broader community and all of the stakeholders that help make Reston
great.
Respect
Treat each person as an individual with dignity and respect
Empower with mutual respect and cooperation
Work with a sense of fairness and equity
Show respect for the ideas of others
Service
Be more responsive than a member would expect
Be an attentive listener
Handle issues with courtesy and a genuine desire to help
Provide programs that are valued by our members
Provide an environment that fosters volunteering
Collaboration
Engage diverse groups in the community
Create and facilitate excellent communications
Invite and enable interaction among community groups
Stewardship
Maintain the quality of our natural resources and preserve the
character of our built environment
Encourage others to become stewards
Maintain member information and physical facilities with care
Work to avoid material and financial waste
Mentor employees and volunteers
Innovation
Encourage creativity and celebrate its outcomes
Consider risks carefully, and be willing to fail and learn from
every experience
Challenge the status quo in order to better accomplish the
associations goals

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Leadership
Keep the community involved and informed
Meet challenges to advance the community
Make community focused decisions
Accept responsibility and acknowledge errors
Act with both conviction and humility
Provide a clear sense of direction

The Reston Association Core Standards

The following nine Core Standards underpin all that we do and are
designed to assist us in fulfilling our Core Values as well as the roles
and responsibilities we have been charged with carrying out to the
very best of our abilities.
1. Integrity.
integrity.

We will act with personal and professional

2. Loyalty. We will be loyal to the Reston Association and its

mission.
3. Confidentiality. We will protect confidential information.
4. Respect. We will respect others and support and protect
diversity.
5. Responsibility. We will manage our resources in a
responsible manner maximizing our ability to advance the
Reston Associations mission.
6. Transparency.
We will be open and candid about our
activities and operations.
7. Governance.
We will govern thoughtfully, fairly and
effectively to best advance the interests of the entire
community.
8. Compliance. We will comply with our Code of Ethics, RAs
rules and regulations and federal, state and local laws.
9. Duty.
We will seek guidance concerning, and report
breaches of, our Code of Ethics.

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Core Standards
Core Standard 1:
professional integrity.

Integrity.

We will act with personal and

1. We will communicate candidly, honestly and openly in the

statement of any material facts related to our official duties and
activities.
2. We will treat each other as well as others fairly.
3. We will strive to achieve the highest standards of performance,
service and excellence.
4. We will have the courage to suggest improvements when
circumstances warrant it.
5. We will keep our promises.
6. We will be accurate, fair and timely in our communications.
Core Standard 2: Loyalty. We will be loyal to RA and its mission.
1. We will be loyal to RA and its mission not to any particular
individual or group of individuals.
2. We will not engage in any conduct that will undermine the
public's trust or will tarnish RAs reputation.
3. We will not engage in any activity or relationship that will create
a potential or actual conflict of interest or adversely affect our
ability to faithfully and loyally perform our service to RA.
Gifts and Gratuity
1. We will not solicit or accept gifts unless the item is excluded from
the definition of a gift or falls within a defined exception.
2. We will not solicit or coerce the offering of a gift, accept a gift in
return for being influenced in the performance of an official act or
accept frequent gifts (even of a small value) such that a
reasonable person is likely to conclude the individual is using his
or her position for private gain.
Nepotism
1. RA will not employ immediate family members of existing Board
Members, Staff or Volunteers in leadership positions. Exceptions
may be made only if there are special circumstances that are in
RAs best interests.
2. We will not have management or supervisory authority over a
family member.

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Outside Employment or Volunteer Opportunities

1. We will ensure that any outside employment or volunteer
opportunities do not interfere with our RA responsibilities and do
not adversely affect RA or its mission.
2. We will inform our manager of any significant outside activities
that might impact our RA responsibilities.
Seeking Other Employment
1. We will disqualify ourselves from a particular matter that, to our
knowledge, has an impact on the financial interests of a
prospective employer.
2. We will inform our manager and take whatever steps are
necessary to ensure we are not personally and substantially
participating in the matter related to a prospective employer.
Disqualification is, therefore, accomplished in most cases by: (1)
not participating in the particular matter; (2) notification to one's
manager; and (3) communications to the employee's co-workers
regarding the disqualification.
Misuse of Position
1. We will not use our position for private gain, the endorsement of
any product, or the private gain of any service or enterprise,
friends, family members or persons with whom the Board
Member, Staff or Volunteer is affiliated.
2. We will not misuse position of authority or power, particularly as
they relate to interpersonal relationships; therefore, romantic
relationships between individuals in a position of authority and
anyone reporting to them will be revealed to __________________.
3. We will not endorse or make financial contributions to a
particular candidate or political party on behalf of RA.
Restrictions on Former Employees and Volunteers
1. We are aware that the duty of loyalty to RA continues even after
the formal employment or volunteer relationship has ended.
2. We are aware that our duty to not disclose confidential
information continues even after our employment or volunteer
relationship has ended.
3. We will not use confidential information gained in the course of
our employment or volunteer efforts for our own personal gain

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either during or after our employment or volunteer relationship

has ended.

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Vendor Relationships
1. We will treat vendors fairly and avoid favoritism.
2. We will offer vendors the opportunity to offer or qualify their
products or services on a fair, competitive basis.
3. We will refrain from influencing the selection of vendors who are
family members, personal friends or are affiliated with, employ or
are employed by a person with whom they have a relationship
that would create a potential or real conflict of interest.
Full Disclosure
1. We will make full disclosure of all potential and actual conflicts of
interest.
2. We will abide by the operative rule of thumb: "when in doubt
disclose."
Core Standard 3:
information.

Confidentiality.

We will protect confidential

1. We will not disclose to any unauthorized individual or

organization without the consent of RAs Legal Counsel or his or
her explicit designee any confidential, privileged or nonpublic
information entrusted to us.
2. We will respect the privacy of others and private information.
3. We will recognize that all information, whether hard copy or
electronic, is RAs property and may not be copied or removed
without express permission of a manager or, if appropriate, RAs
Legal Counsel or his or her explicit designee.
4. We will require that all Board Members, Staff, Volunteers and
relevant vendors sign a "confidentiality statement" as a condition
of their employment or service with RA.
5. We will prohibit all Board Members, Staff and Volunteers from
engaging in any financial transaction using non-public or
confidential information to further their own private interests.
6. We will justify the reliance that our Members, vendors and
partners have in our ability to utilize and manage information
with the highest degree of confidentiality by ensuring that our
computer and management information systems are protected
from unauthorized use.
7. We will respect the privacy of our Members and safeguard the
confidentiality of information that a Member reasonably would
expect to be private.
8. We will make the annual IRS form 990 tax return and exempt
application of RA available for public inspection, as required by
law. In doing so, we will ensure that the portions of the form 990
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tax return, that are not available for public inspection are so
designated.
9. When providing information to the media, we have an obligation
to report accurately and completely all relevant material facts. In
order to ensure that we comply with this obligation, Board
Members, Staff and Volunteers receiving requests for information
from the news media shall __________________.
Core Standard 4: Respect. We will respect others and support and
protect diversity.
1. We will treat others equitably and respectfully in all aspects of
our activities without regard to race, color, religion, creed, age,
sex, national origin or ancestry, marital status, veteran status,
sexual orientation, or status as a qualified disabled or
handicapped individual.
2. We will support equal opportunity throughout all our efforts.
3. We will, in the furtherance of our RA responsibilities, refuse to
engage in any form of discrimination or harassment.
4. We will respect personal and family commitments and support a
healthy family-work balance for our Staff in furtherance of the RA
mission.
5. We will support a healthy work environment, by maintaining an
alcohol and drug-free workplace.
6. We will listen carefully with respect and civility and recognize
that healthy diversity means diverse points of view.
Core Standard 5: Responsibility. We will manage our resources in
a responsible manner maximizing our ability to advance RAs mission.
Responsible Operations
1. We will maintain accurate financial records and report our
financial results in an accurate and timely manner.
2. We will be honest and faithful fiduciaries and protect the funds
entrusted to us.
3. We will use RAs resources, equipment and material only for the
necessary performance of our duties.
4. We will comply with all limitations on incurring expenses in the
course of authorized activities for RA and will not seek or receive
reimbursement for expenses not incurred.
5. We will adopt a procedure for the selection of outside vendors
that ensures a fair price and avoids any conflict of interest.
6. In providing services to Members, we will establish clear,
publicly-stated criteria concerning how these services are
charged. The principles of fairness and good stewardship require
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that services such as overhead charges and pledge loss costs be

accurately and fairly assessed.
7. We will provide Board Members, Staff, Volunteers and vendors
with a confidential means to report suspected financial
impropriety or misuse of RAs resources.
8. We will establish an RA Ethics Committee, comprised of
_____________. The Ethics Committee, in conjunction with the full
Board, will be responsible for ensuring the communication of
training concerning the Code, as well as the fair and appropriate
enforcement the Code of Ethics.

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Responsible Citizenship
1. We will consider and monitor the impact of RAs projects on
Restons environment.
2. We will strive to ensure that that our work is conducted in an
environmentally responsible manner.
3. We will respect and comply with sound environmental principles
and rules.
4. We will encourage our Board Members, Staff and Volunteers to
raise questions and concerns regarding conditions that might be
harmful to human health, safety, and our environment.
5. We will remain open and receptive to environmental concerns
raised by our Members, partners, federal, state and local
governments and other stakeholders.
6. We will strive to model good environmental behavior.
A Responsible On-Line Presence
1. We will use RAs on-line and technical resources and equipment
only for the necessary performance of our duties.
2. We will not visit websites nor download content from the Internet
that is prohibited by RA.
3. We will not post information about RA, its Members, Board
Members, Staff and Volunteers on-line without the express
permission and/or direction of the RA INSERT DEPARTMENT
NAME.
Core Standard 6: Transparency. We will be open and candid about
our activities and operations.
1. We will openly, candidly and transparently report RAs activities
and operations.
2. We will publish and widely disseminate an annual report that will
convey information to the public in at least five critical areas
RAs: (1) Board Members and Staff leadership; (2) mission, goals
and core standards; (3) central governance structure and
mechanisms of the organization; (4) programmatic activities and
achievements; and (5) audited financial statements.
3. We will provide Members, partners and other stakeholders who
express an interest in RAs affairs with a meaningful opportunity
to communicate with an appropriate RA representative.
4. We will make available for public inspection a copy of RAs
annual report and its most recent IRS form 990 filings, as well as
a copy of its exempt status application.

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Core Standard 7: Governance. We will govern thoughtfully, fairly

and effectively to best advance the interests of the community.
1. We will strive for excellence and professionalism in all RA-related
activities.
2. We will commit ourselves to RAs mission and competently,
efficiently and professionally perform the duties and tasks we
agreed to assume.
3. We will work cooperatively with each other always striving to be
or become genuinely united in our actions and decisions.
4. We will honor the democratic process and support the final
decisions of the Board even if we may disagree with them.
5. We will fully and candidly discuss issues entrusted to us and
respect others' viewpoints.
6. We will invest in the education and training of our Board
Members, Staff and Volunteers as a means of ensuring
excellence in operations, service and programs.
7. We will ensure that we are competent to accomplish the tasks
assigned to us and, if not sufficiently competent, will ask for
assistance so that we may become competent.
8. We will personally and professionally endeavor to be active
listeners and learners, embracing opportunities for others to
express their ideas.
9. We will provide a genuine opportunity to all qualified applicants
for Board, Staff or Volunteer positions. Position announcements
will be communicated in advance and all qualified applicants will
be given an opportunity to apply and be considered.
10.
We will provide new Board Members, Staff and Volunteers
with a clear and meaningful orientation to RAs mission, its
policies and procedures, Code of Ethics, job description, any
office equipment and overall performance expectations.
Core Standard 8: Compliance. We will comply with our Code of
Ethics, RAs rules and regulations, we well as federal, state and local
laws.
1. We will establish and implement systems to ensure compliance
with all applicable federal, state and local laws.
2. We will specifically designate the Legal Counsel as our
compliance officer with the specific responsibility for assisting,
educating or training everyone to comply with all federal, state
and local laws and regulations.
3. We will periodically conduct an internal review of our compliance
with known existing legal, regulatory and financial reporting
requirements and provide a report of the results to the Board.

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4. We will consider non-compliance with applicable laws to be a

disciplinary offense subject to disciplinary measures.
Core Standard 9: Duty. We will seek guidance concerning, and
report breaches to, our Code of Ethics.
1. We will seek guidance concerning the Code of Ethics, its
implications and its application to our actions and decisions.
2. We will report potential or actual breaches of the Code of Ethics.
3. We will treat reports of potential or actual breaches of the Code
of Ethics or laws as confidentially as the law will allow. If absolute
confidentiality cannot be maintained, the individual disclosing
the potential or actual breach will be notified.
4. Retaliation against an individual or group who reports a potential
or actual breach of the Code of Ethics is an independent violation
of this Code and will not be tolerated.
5. We will make all reasonable efforts to fairly, and in a timely
manner, investigate and resolve all reports concerning potential
or actual breaches of the Code of Ethics.

Information and Resources

For More Information
If you have a question on how to interpret the provisions in this Code of
Ethics, you can always begin by asking your manager, RAs Chief
Executive Officer who can be reached directly at INSERT BEST PHONE
NUMBER or a member of RAs Ethics Committee:
INSERT CONTACT INFORMATION FOR ETHICS COMMITTEE MEMBERS

To Report a Concern
When a concern arises involving suspected misconduct, Board
Members, Staff and Volunteers must not investigate themselves.
To report misconduct or any suspected violation to this Code of Ethics,
you can speak confidentially, without fear of retaliation, to RAs
Compliance Officer or the Chair of the Ethics Committee.
INSERT CONTACT INFORMATION FOR COMPLIANCE OFFICER and CHAIR
OF THE ETHICS COMMITTEE

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RA forbids retaliation against any Board Member, Staff or Volunteer

who reports a suspected violation of this Code of Ethics in good faith or
who participates in good faith in an investigation of such a report.
Board Members, Staff or Volunteer are not authorized or permitted to
retaliate or take any adverse employment action whatsoever against
anyone for reporting in good faith a suspected violation of the Code of
Ethics. Any individual who feels that he or she has been retaliated
against in violation of this policy is responsible for reporting the
retaliation in the same manner as suspected violations of the Code of
Ethics. Any individual who engages in retaliation prohibited by this
policy will be subject to disciplinary action, up to and including
termination of employment.
DDRRAAFFTT 3.00

The Reporting Procedures

Anyone who knows or suspects RAs Code of Ethics has been violated
must immediately report the matter to the Compliance Officer or Chair
of the Ethics Committee. If an individual is uncomfortable reporting the
matter to either of these individuals, he or she may contact the CEO or
the Chair of the Board.
Reports of suspected violations of the Code of Ethics may be made
anonymously. However, individuals who make reports are encouraged
to identify themselves to allow RA to ask follow-up questions and
gather additional information as needed. In conducting investigations
of reports, RA will respect a request for confidentiality and/or
anonymity to the extent possible, consistent with the need to conduct
an adequate review and investigation. All information provided in
connection with reports pursuant to this policy will be forwarded to the
Ethics Committee Chair.
The Ethics Committee Chair will determine whether the report involves
an ethical issue. If not, the Ethics Chair will refer the matter to the
________ to address unless the report involves a Board governance
issue, in which case the Ethics Committee Chair will refer the matter to
the Governance Committee Chair. If the report involves an ethical
issue, the Ethics Committee Chair will make a recommendation to the
Chair of the Board concerning: (1) Whether an investigation should be
conducted; and, if so, (2) What issues should be investigated; (3) Who
should conduct the investigation; and (4) Whether outside legal,
accounting or other advisors, as appropriate, should conduct or assist
with investigations of potential violations of the Code of Ethics.
After considering the recommendations of the Ethics Committee Chair,
the Chair of the Board will determine whether the matter will be
investigated and, if so, what issues should be investigated and who
should conduct the investigation. If the report involves alleged conduct
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by the Chair of the Board, these decisions will instead be made by the
Executive Committee without the Board Chair's participation. The
Executive Committee has the authority to enter into contracts with
outside legal, accounting or other advisors for services related to
investigations ordered by the Ethics Committee Chair.
Results of investigations conducted pursuant to this policy shall be
reported to the Executive Committee, Ethics Committee and the
_________. If the Executive Committee and Ethics Committee determine
that there has been a violation of the Code of Ethics, they will take
appropriate corrective and remedial action, including but not limited to
disciplining the offender. RA considers Code of Ethics violations to be
major offenses which, depending on the circumstances, may result in
the suspension or termination of the offender.

Glossary of Key Terms

Confidential Information -- Confidential information is the nonpublic,
proprietary, private or secret information preserved by RA.
Conflict of Interest, or Perceived Conflict of Interest A Conflict
of Interest exists when an individual has, or is perceived to have,
divided loyalties. For example, when you might have a direct or
indirect personal interest in a Reston Association matter such that it
might reasonably affect, or even appear to affect, your judgment or
lead you to neglect the Reston Associations primary interests.
Ethics Committee -- The Ethics Committee is a group of three
members of the Board who, in conjunction with the Executive
Committee, are responsible for enforcing RAs Code of Ethics, and
reporting to the Board of Directors RAs ethics activities.
Employee -- An employee is anyone who acts in a Staff capacity and
provides services to RA on a full, part-time or leased basis.
Immediate Family Member -- Family members are persons who are
related to an RA Board Member, Staff or Volunteers by blood or by
marriage, or in other significant ways (e.g. significant other, life
partner, common-law marriage, etc.)
Gift A gift includes any gratuity, favor, discount, entertainment,
hospitality, loan, forbearance or other item having monetary value. It
includes services, as well as gifts of training, transportation, local
travel, lodgings and meals, whether provided in-kind, by purchase of a
ticket, payment in advance, or reimbursement after the expense has
been incurred. It does not include: (1) Modest items of food and
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refreshments, such as soft drinks, coffee and donuts, offered other than
as part of a meal; (2) Greeting cards and items with little intrinsic
value, such as plaques, certificates, and trophies, which are intended
solely for presentation; (3) Loans from banks and other financial
institutions on terms generally available to the public; (4) Opportunities
and benefits, including favorable rates and commercial discounts,
available to the public, whether or not restricted on the basis of
geographic considerations; (5) Rewards and prizes given to competitors
in contests or events, including random drawings, open to the public
unless the employee's entry into the contest or event is required as
part of his official duties; (6) Pension and other benefits resulting from
continued participation in an employee welfare and benefits plan
maintained by a former employer; or (7) Anything for which market
value is paid by the employee.
Manager -- A manager is anyone at RA (Board Member, Staff or
Volunteer) who has supervisory responsibilities over others.
Nonpublic Information Nonpublic information is any business,
financial or personal information that is not widely known or publicly
available.
Privileged Information -- Privileged information is a communication
that is protected from disclosure by legally recognized privileges such
as attorney-client, doctor-patient, and others.
Retaliation Retaliation is any adverse action taken against an
individual for filing a complaint or supporting another individuals
complaint.
Vendor -- A vendor is an individual or entity that provides services to
RA for a fee.
Voluntary Act -- A voluntary act is an intentional action or decision
made without coercion or duress.
Volunteer -- A Volunteer is all members of the Board of Directors,
Board Committees, RA Committees and the many other individuals who
perform their duties in support of the RA mission without
compensation.

About the Ethics Committee

The RA Board of Directors established the Ethics Committee to serve as
a central resource concerning RAs ethical standards and the Code of

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Ethics. The Ethics Committee reports directly to the Executive

Committee of the Board and consists of _____________________.
The central role of the Chair of the Ethics Committee is to:

Serve as a central and confidential place to report potential or

actual breaches of the Code of Ethics.
Determine whether reports of misconduct involve ethical issues
that should be processed in accordance with the Reporting
Procedures specified in this Code of Ethics and INSERT NAME FOR
EMPLOYEE HANDBOOK/PERSONEL POLICIES.
Make recommendations to the Chair of the Board concerning
whether an investigation of a potential breach of the Code of
Ethics should be conducted and, if so, what issues should be
investigated; who should conduct the investigation; and whether
outside legal, accounting or other advisors, as appropriate,
should conduct or assist with investigations of potential
violations of the Code of Ethics.
Act as a liaison between RA and any outside legal, accounting or
other advisers retained by RA to assist with investigations of
Code of Ethics issues.

The central role of the Ethics Committee is to:

Report to the Boards Executive Committee on at least an annual

basis concerning RAs ethics activities and issues.
Receive reports of investigations of potential ethical violations
and, in conjunction with the Executive Committee, determine
whether RAs Code of Ethics has been breached and what, if any,
corrective action should be taken.
In conjunction with RAs leadership, establish appropriate policies
and procedures for RAs management ethics effort and the
activities of the Ethics Committee.
Conduct an evaluation of and recommend modifications,
amendments or examples to the Code of Ethics on at least a biannual basis.

Certificate of Receipt & Agreement

[To be signed by Board Members, Staff and Volunteers]
I acknowledge that I have received and read my personal copy of the
Reston Associations Code of Ethics. I understand that it is the
responsibility of all Reston Association Board Members, Staff and
Volunteers to comply with the Code of Ethics as the Reston Association
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Board of Directors has adopted it as the official policy of the

organization.
Furthermore, I understand that if there is any doubt concerning the
applicability of the Standards or Guidelines to a particular situation, I
am to make contact with the individuals described in the section
entitled Information and Resources to seek guidance. I further
understand it is my responsibility to bring violations or suspected
violations of the Code to the attention of one or more of the individuals
described in To Report a Concern. I have also been informed that any
direct or indirect retaliation for the making of a communication
concerning violations or suspected violations of the Code is itself an
independent violation of the Code.
The Certification process is mandatory for all Reston Association Board
Members, Staff and Volunteers.

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I pledge to abide by the Reston Association Code of Ethics:

[INSERT SIGNATURE BLOCK]
Typed or Printed Name
Signature
Date
Please return this certificate directly to the Chair of the Ethics
Committee at: 12001 Sunrise Valley Drive, Reston, VA 20191.

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