KAIST

Article 1(Purpose) As its purpose, the Code of Conduct (hereinafter Code), which abides by the rules in Article 32, outlines the judgment in moral value and sets a standard for actions for all employees of the Korea Advanced Institute of Science and Technology (KAIST).

Article 2(Definition) The following terms from the Code are defined as :

• 1. “Employee” is defined by Article 2, Number 2, under the “b” category of the anti-corruption act, refers to the president and the employees of Korea Advanced Institute of Science and Technology (hereinafter KAIST).
• 2. “Job related personnel” refers to an individual related to the employee’s work; a person (considered an individual depending on signatory status ) or relates to one or more of the following items :
  • ① A person or organization that is clearly currently requesting civil affair duties by KAIST or wishes to request its services.
  • ② A person or organization subject to permission, approval, inspection, audit, enforcement, and guidance.
  • ③ A person or organization that encounters disadvantages or advantages due to fabrication, circumstance, examination, appraisal, and decision.
  • ④ A person or organization that clearly shows the intent to sign a contract or has signed a contract with KAIST.
  • ⑤ A person or organization requesting special action or has interests in the use and/or disuse of an employee’s official authority from other science and technology institutes.
  • ⑥ A person or organization related to any other items selected by the president.
• 3. “Job related employee” refers to an employee that is directly affected by the advantages and disadvantages related to the employee’s duties, and relates to one or more of the following listed items :
  • ① A superior related to matters under the jurisdiction of an employee and an employee receiving work related orders from superiors.
  • ② An employee in charge or directly related to the following duties: human resource, audit, awards and decorations, evaluation, budget, and organization.
  • ③ An employee supervising entrusted and consigned with the management duties at KAIST and an employee in charge of those duties.
  • ④ Any other employee selected by the president.
• 4.“Gift” means an object, marketable securities, lodging voucher, membership, admission ticket and etc., provided without consequences (includes circumstances where the market price or the transaction practice is noticeably lower than the circumstance).
• 5.“Treatment” means entertainment such as food, golf, and etc., and other amenities such as travelling and lodging expenses and etc.

Article 3 Applicable Subjects

The Code applies to all employees (including contract workers) affiliated with KAIST.

Article 4 Compliance with Duties and Responsibilities

1. All employees are responsible to study and abide by the Code, and will be held responsible if violated.
2. For anti-corruption and the formation of a clean public environment, the president may take, as collateral and a promise to comply with the Code, an Integrity Pledge or Code Compliance Pledge from the employee that may be submitted to the person supervising the Code.

Article 5(Prohibition of Discrimination)

An employee may not give preference or discriminate due to regionalism, blood relation, academic ties, and etc. when fulfilling his or her duties.

Article 6(Prohibition of Mediation and Favors)

1. An employee will not mediate or do favors, for themselves or others, to make unfair profits that hinder the fair performance of another employee.
2. An employee, in relation to the fulfillment of duties, may not introduce a job related personnel to another job related personnel for the earning of unfair profits, whether it is for themselves or others.

Article 7(Prohibition of Hiring Favors)

1. An employee may not request favors to an employee in charge of human resource matters regarding their appointment, promotion, and transference.
2. An employee may not use their status and unjustly interfere with human resource matters relevant to the appointment, promotion, and transference of another employee.

Article 8(Avoidance of Job Interest)

1. An employee performing one or more of the following duties listed below must avoid making decisions and participating in matters related to the avoidance of duties.
   • 1. The individual, spouse, direct family and first cousins.
   • 2. A workplace where the employee has either worked in the past or wishes to work in the future.
   • 3. An employee deemed unfit to fulfill duties honestly, due to regionalism, blood relation, and/or academic ties, with other employees.
2. If the employee wishes to avoid certain duties under section 1, he or she must inform their direct superior or Code supervisor. If the employee is uncertain whether to avoid duties, he or she should request consultation from their direct superior or Code supervisor.
3. As stated in section 2, the direct supervisor or Code supervisor that received the consultation request must report to the president, if one or more of the items listed below are relevant, and if he or she concludes that the relevant employee’s situation is unfit for the continuation of their duties. The direct supervisor may, within his or her authority, reassign an employee’s duties temporarily, which exempts the direct supervisor from having to report to the president.
   • 1. Degree of job avoidance.
   • 2. Degree of power abuse in the relevant employee’s duties, and the role and importance in those actions.
   • 3. Internal and external sensitivity relevant to duties.
   • 4. Degree of difficulty when duty was entrusted to another employee.
   • 5. Degree undermining the fairness of other duties.
4. The president, having been reported the situation according to Section 2, will take necessary measures, such as the reassignment of employees, to ensure a fair settlement.

Article 9(Handling of Instructions that Hinder the Fair Operation of Duties)

1. An employee must not direct a subordinate to violate the laws and regulations that clearly hinder the fair operation of duties for the purpose of benefitting a third party.
2. In the case of section 1, the subordinate may explain their situation to the relevant superior and be excused from carrying out the instructions that clearly hinder the operation of duties.
3. If the employee persists on instructing the same duties, despite the laws outlined in section 2, the subordinate must consult with the Code supervisor or report to the president.
4. The Code supervisor who consulted the subordinate, in compliance with Section 3, must confirm the details and report to the president if there is a need to cancel or change the given instructions.
5. If the president, who received the report from the Code supervisor acknowledges the need, in compliance with Section 4 and 5, shall cancel or change the given instructions or take appropriate measures to handle the situation.
6. The employee will not be discriminated or disadvantaged in any way for not following instructions to comply with Section 1 and 2.

Article 10(Prohibition of Budget Spending on Unrelated Matters)

An employee must not damage KAIST’s assets by using the budget for purposes other than for operating expenses such as: business trip expense, business operating expense, and other operating expenses.

Article 11(Handling of Unreasonable Demands by Politicians and etc.)

1. If an employee receives instructions to carry out unjust duties or unfair favors by a civil servant, politician or party, the employee must report to the president or handle matters after consulting with the Code supervisor.
2. The president who received the report or the Code supervisor who consulted the employee must take appropriate measures to ensure the just operation of duties.

Article 12(Prohibition in Intervening with Personal Rights)

1. An employee must not use their status to receive unjust profits or to reap unfair profits for others.
2. An employee may not use KAIST’s name or their status to obtain unjust profits for themselves or others.

Article 13(Prohibition of Using Assets for Personal Use and Profit)

An employee must not use company vehicles, items provided for the fulfillment of duties, and assets, including property, of the affiliated institution for personal use or to make profits.

Article 14(Limitations on Transactions Using Job-related Information)

1. An employee must not provide undisclosed job-related information to others for the purpose of asset transactions or assistance with investments.
2. The undisclosed job-related information obtained by the employee refers to, if one or more of the following items apply, information obtained while planning or heading the operation (including the decision maker) from the initial investigation stage until the undisclosed information is announced.
   • 1. Related sale, construction, service, purchase, and other contract related information.
   • 2. Information related to the research plan, method, progression and results of experiments.
   • 3. Information related to the entrance exam procedure, selection method, and exam content and results.
   • 4. Information related to plans and operation of a business.
   • 5. Information related to special duties and its operations set forth by the president.

Article 15(Limitations on Receiving Valuables and Other Items)

1. An employee must not receive a gift: financial, real estate, gift or treatment, (hereinafter gift) valued over 30,000 KRW, except if one or more of the following items apply :
   • 1. Gifts provided for the fulfillment of duties or legal claims.
   • 2. Food and convenience provided within the general scope.
   • 3. Travel, lodging, food and other expenses paid for by the host of an official job-related event.
   • 4. Distribution of souvenirs and advertisement products to unspecified personnel.
   • 5. Disclosed gifts provided to help an employee suffering from difficult circumstances due to illness or natural disaster.
   • 6. Gifts, within the scope allowed by the president, provided for the smooth operation of duties.
2. An employee must not receive any gifts from a job related employee, except if one or more of the following apply :
   • 1. If one or more conditions apply to Article 1.
   • 2. Small gifts provided within the customary scope.
   • 3. Disclosed gifts provided by an employee aiding society.
   • 4. A gift provided by the superior to the subordinate for consolation, encouragement, and reward, for the purpose of boosting moral.
3. An employee who has previous job relations or was a job related employee may not receive gifts related to the duties at the time, with the exception one or more items that fall under Article 1 and Article 2.

Article 16 (Prohibition of Providing Gifts)

An employee may not provide gifts to a civil servant or politician with the purpose of incurring profits for KAIST, except for the items listed in Article 15 Section 1.

Article 17 (Limitations on Providing Gifs to one’s Spouse)

An employee must not receive a gift outlined in Article 15 from their spouse or direct family, and will not provide any of the gifts listed in Article 16.

Article 18(Prohibition of the Borrowing of Finances)

1. An employee must not borrow finances or property for free (includes circumstances where the price is clearly lower than the market price or within the scope of usual transactions) from a job related employee (excluding up to first cousins, and as stated in this article). Exceptions apply if the transaction complies with Article 2 of the Real Name Financial Transactions Act and provides the borrowing of finances under the normal scope of transactions.
2. The employee must report to the president if the finances were borrowed from a job related personnel under unavoidable circumstances, despite the regulations set forth in Article 1.

Article 19(Integritous Signing and Execution of Contract)

An employee must not use their superior position for operations related to construction, service, and purchase of items, signing and execution of a contract initiated by KAIST, or request gifts, emphasize unfair terms and conditions, interfere with the management of the business, and etc.

Article 20(Procurement and Management of Just and Transparent Information)

An employee must obtain information through just methods and precisely record and report the information, and must not fabricate or destroy the information for the benefit of a certain individual or organization.

Article 21(Transparent Financial Management)

An employee must abide by the commonly accepted accounting regulations regarding accounting record and financial management, and provide clear grounds and transparently record and manage the information.

Article 22 (Prohibition of the Leakage of Information)

An employee must not leak important information obtained while fulfilling duties to a third party without the prior consent given by the affiliated organization.

Article 23 (Transparent Release of Information)

An employee must honestly and diligently abide by the related rules and regulations when requested financial information by the media and others, in order to create reliable foreign relations and secure transparency in finance management.

Article 24(Limitations on External Lectures)

1. With the exception of permitted employees according to the rules and regulations, presidential approval must be obtained for a seminar, public hearing, debate, presentation, symposium, education, lecture, and etc. (hereinafter lecture) for events without direct relation to the fulfillment of duties.
2. In reference to Section 1, if the president concludes that the event does not affect the fulfillment of duties and that there is no risk regarding the leakage of secrets and information, he or she may give their approval.
3. The employee hosting the external lecture, as stated by Section 1, must not exceed the general scope of standard compensation.

Article 25 (Establishment of a Healthy Family Relations Culture)

1. An employee must lead by example for the establishment of a healthy family relations culture.
2. An employee should not report family relations to job related personnel or employees, unless the information falls under at least one of the following items :
   • 1. Notice about relatives.
   • 2. Notice about a current or past employee of the organization.
   • 3. Notice to unspecified recipients through the newspaper and broadcasts.
3. In the case of a death of an employee’s family member, normally condolence money should typically amount to less than 50,000 KRW and not exceed 100,000 KRW, except if the given circumstances falls under one or more of the following items :
   • Gifts and items given in relation to the family event between the employee and relatives.
   • Gifts provided by a religious organization or social group, as decided by its rules and regulations.
   • Gifts selected by the president in relation to the family event.

Article 26 (Limitations on Speculative Activities)

An employee must not participate in speculative activities like gambling and betting while playing golf, which both exceed the normal bounds set by society.

Article 27(Prohibition of the Formation of Private Groups)

An employee may not create a clique or private group depending on blood relations, regionalism, and academic ties.

Article 28 (Prohibition of Sexual Harassment)

An employee must not induce sexual temptation and sexual humiliation among colleagues, and must refrain from any of the actions listed below:

• 1. Touching or coming into contact with certain parts of the body.
• 2. Making sexual jokes and telling obscene and vulgar stories.
• 3. Making sexual comparisons or evaluations regarding the outward appearance of an individual.
• 4. The posting or showing of erotic photographs or pictures.
• 5. The act of pressuring the serving and consumption of alcohol and/or dance at a company outing.
• 6. Other acts that induce sexual humiliation that defy socially accepted rationale.

Article 29(Training)

1. The president must formulate and implement the education of employees with respect to ethics and anti-corruption, to support the compliance with the rules and regulations related to the Code.
2. The education of employees, in compliance with Section 1, must be held at least once a year and be included in the training of new employees.

Article 30(Consultation Regarding Violation)

1. When an employee is fulfilling his or her duties and the status regarding the violation of conduct is unclear, the issue must be handled after consulting with the Code supervisor.
2. The president must, for the smooth operation of Section 1, install a private phone, counseling office, or take necessary actions to handle the situation.

Article 32(Informant Identity Protection)

1. The president and Code supervisor must guarantee the confidentiality of the informant and the information provided, so that the informant does not receive any discrimination or disadvantage.
2. If the informant receives discrimination or is disadvantaged, despite the information outlined in Section 1, the informant can request protection and alleviation from the disadvantages; and in this case, the president and Code supervisor shall take appropriate measures to handle the situation.
3. The punishment will be reduced or excused if the informant reporting the unjust action is found to have violated certain rules and regulations.
4. Section 1 and 3 is applied when consulting according to the regulations set forth in Article 10, regarding the hindrance due to the refusal to follow orders and the Code.

Article 33(Handling of Prohibited Gifts)

1. An employee who has received a gift prohibited by the Code, will have to return the share exceeding the standards or immediately return the prohibited gift to the supplier. In this case, the employee may request for reimbursement for the cost of returning the gift.
2. If there is danger of decomposition or spoilage of the gift or the return address is uncertain, the employee must report directly to the Code supervisor or president.
3. The president or Code supervisor who received the report, according to Section 2, should discard or donate the gift to a social welfare center or handle using appropriate measures.
4. According to Article 3, the Code supervisor shall accurately record the supplier, receiver, the received gift, date and time the gift was supplied, and the processed results regarding the gift and must notify the supplier regarding matters related to this process. However, when the exact address of the supplier is unknown, the supplier may not be notified.

Article 34(Appointment of the Code Supervisor)

1. For the smooth operation of the Code, the president will appoint the head of the human resources department as the Code supervisor.
2. The Code supervisor will perform one or more of the following duties :
   • 1. Matters related to the education and consultation of the Code.
   • 2. Inspection and assessment of compliance with the Code.
   • 3. Matters related to reporting, registering, and processing violations to the Code and protection of the informant.
   • 4. Matters necessary for the facilitation of the Code and other Code of Ethics Regulations.
3. In accordance to performance of duties in Article 2, the Code supervisor shall not reveal any private information acquired in the performance of duties.

Article 35(Compliance Inspection)

1. The Code supervisor should perform routine inspections (at least once per quarter), checking the fulfillment status and compliance of conduct of affiliated employees.
2. The Code supervisor may perform non-scheduled inspections at times judged to be especially vulnerable to decomposition – times other than the routine inspections mentioned in the above article such as vacation season and before and after holidays.
3. In instances of Article 1 and Article 2, the Code supervisor must report the inspection results to the president.

Article 36(Discipline)

1. The president can take disciplinary action against employees who have violated the Code.
2. The disciplinary type, procedures, and severity regarding the regulations of Article 2 are decided according to KAIST’s disciplinary guide lines. However, if in violation of Article 32 the informant’s identity is not protected, the disciplinary measures taken against the accused will increase in severity.

1. Date of Implementation: The Code is to be implemented on the day it receives the president’s approval