Dr. Jaffus Hardrick Vice President of the Division of Human Resources

1. On behalf of the Division of Human Resources Welcome to New Faculty Orientation! Dr. Jaffus Hardrick Vice President of the Division of Human Resources

2. Talent Management & Development Division of Human Resources

3. EQUAL OPPORTUNITY PROGRAMS & DIVERSITY August 15, 2012 Presented by Shirlyon J. McWhorter Director EOPD

4. DIVERSITY & INCLUSION:“A MATTER OF RESPECT”Faculty Training Presented by S. J. McWhorter, Director EOPD

5. EQUAL OPPORTUNITY PROGRAMS & DIVERSITY Primera Casa Building (PC) Room 215 Tel. (305) 348-2785 Fax (305) 348-3459 Presented by S. J. McWhorter, Director EOPD

6. Training Objectives Participants will be able to: • Identify the “protected categories” and understand that complaints of discrimination/harassment must be based upon one or more of the “protected categories.” • Define and recognize behavior or conduct that can be perceived as sexual harassment. • Understand their responsibility when responding to discrimination/ harassment complaints. • Respond appropriately to student request for disability accommodations. Presented by S. J. McWhorter, Director EOPD

7. Gender Race Color Religion National Origin Political Beliefs Marital Status Age Sexual Orientation Veteran Status Pregnancy Sexual Harassment Disability PROTECTED CATEGORIES Presented by S. J. McWhorter, Director EOPD

8. ADA: American Disability Act Understanding and Accommodating Presented by S. J. McWhorter, Director EOPD

9. DISABILITY DEFINED Disability is defined as: Having a physical or mental impairment that substantially limits a major life activity (e.g., walking, talking, eating, breathing, seeing, etc.), Having a record of such impairment, or Being regarded as having such an impairment, even when no limitations exist Presented by S. J. McWhorter, Director EOPD

10. EOPD appreciates the initiative and proactive measures managers take to accommodate their staff; however, it is of utmost importance EOPD solely grant accommodations to ensure these practices are in compliance with government and university guidelines. Presented by S. J. McWhorter, Director EOPD

11. WHAT SHOULD YOU DO? Employee Student Refer the student to the Disability Resource Center. This office maintains records on student accommodations. • Encourage the employee to submit his/her request to the Office of Equal Opportunity Programs and Diversity, who acts as the ADA Coordinator for the University. Presented by S. J. McWhorter, Director EOPD

12. REQUIREMENT Under the auspices of the ADA, strict confidentiality requirements on medical information obtained from students, applicants and employees, regardless of whether they have disabilities or not, must be adhered to at all times. All information obtained from post-offer medical exams and inquiries must be collected on separate forms and maintained in confidential files. Presented by S. J. McWhorter, Director EOPD

13. Syllabus Statement One suggestion is to put a general statement on the course syllabus: Note to students with disabilities: FIU welcomes students with disabilities into the University's educational programs. If you have a disability-related need for modifications or reasonable accommodations in this course, contact Disability Resource Center. Instructors should be notified as early in the semester as possible regarding the need for modification or reasonable accommodations. Since many students have disabilities not readily noticeable this announcement or statement encourages students to identify their needs early in the semester so timely adaptations can be made. Presented by S. J. McWhorter, Director EOPD

14. SEXUAL HARASSMENT Presented by S. J. McWhorter, Director EOPD

15. DEFINITION OF SEXUAL HARASSMENT Unwelcome sexual advances, requests for sexual favors, and other verbal, physical or pictorial conduct of a sexual nature Presented by S. J. McWhorter, Director EOPD

16. TWO TYPES OF SEXUAL HARASSMENT • Quid Pro Quo • Hostile Work Environment Presented by S. J. McWhorter, Director EOPD

17. FACTS ABOUTSEXUAL HARASSMENT • The act(s) must be Severe or Pervasive. • The victim may be male or female. • The victim may be a third party. Presented by S. J. McWhorter, Director EOPD

18. SEXUAL HARASSMENT:Is it or is it not? Presented by S. J. McWhorter, Director EOPD

19. RETALIATION Presented by S. J. McWhorter, Director EOPD

20. RETALIATIONDEFINED • Retaliation occurs when an employer illegally strikes back at or seeks revenge on an employee or applicant who has participated in a civil rights action which is considered a: • Protected Activity • Filed a complaint • Opposed an unlawful practice. • Participated in an investigation • Adverse Employment Action • Causal Connection Presented by S. J. McWhorter, Director EOPD

21. INTERNAL COMPLAINT PROCESS Presented by S. J. McWhorter, Director EOPD

22. STANDARD PROCEDURE • Intake Process • Interviews • Summary Report • Findings • Review Process Presented by S. J. McWhorter, Director EOPD

23. EOPD STAFF • Shirlyon J. McWhorter, Esq. Director • Jonaura Wisdom Assistant Director Presented by S. J. McWhorter, Director EOPD

24. QUESTIONS Presented by S. J. McWhorter, Director EOPD

25. THE END REMEMBER “IT’S A MATTER OF RESPECT” Presented by S. J. McWhorter, Director EOPD

26. Talent Management & Development Division of Human Resources

27. Introduction to Ethics and Compliance ConsiderationsFlorida International University New Faculty Orientation* Leyda Benitez, J.D. University Compliance Officer August 15, 2012 *Information abridged to accommodate time allotted during New Faculty Orientation Talent Management & Development Division of Human Resources

28. Welcome to the University Talent Management & Development Division of Human Resources I. Understanding the Compliance basics II. Understanding the Code of Ethics basics III. Understanding the IT Security and Privacy basics IV. Resources

29. I. Compliance Basics Talent Management & Development Division of Human Resources The University Compliance Program is a means to an end: To demonstrate the University’s commitment to a culture that encourages ethical conduct and compliance with laws

30. II. Code of Ethics Talent Management & Development Division of Human Resources • We are subject to: • State of Florida Code of Ethicsfor Public Officers and Employees • University regulations and policies and procedures • Some situations we must pay particular attention to: • Solicitation and acceptance of gifts or favors • Contracts and transactions with the University • Misuse of public position or confidential information • Conflicting employment or contractual relationships • Employment of relatives

31. II. Ethics Personal Gifts/Benefits Talent Management & Development Division of Human Resources • Public officials and employees should: • conduct themselves independently and impartially • not use their offices for private gain • not solicit or accept personal gifts or benefits provided to influence official action • See Ethics in Purchasing and Gift Policy No. 140.105

32. II. Ethics Personal Gifts/Benefits (Cont’d) Talent Management & Development Division of Human Resources • Additional restrictions apply if you are: • a state “procurement employee” or • a “reporting individual” • A procurement employee influences decision-making in the purchase of goods/services of $1,000 or more • Examples: • Write specifications for bid • Select a consultant • Recommend purchase of scientific equipment

33. II. Ethics Personal Gifts/Benefits (Cont’d) • purchasing agents • finance/accounting directors • business managers • personnel officials • grant coordinators Talent Management & Development Division of Human Resources • A reporting individual is required by law to file an annual disclosure of financial interests with the Florida Commission on Ethics • At FIU, reporting individuals are: • board of trustee members • president • vice presidents • deans • legal counsel

34. II. Ethics Personal Gifts/Benefits (Cont’d) Talent Management & Development Division of Human Resources • What are the restrictions? • Procurement employees and reporting individuals cannot • solicit any gifts for themselves or immediate family members from lobbyists • accept gifts greater than $100 from any lobbyist of the University • Reporting individuals cannot accept personal gifts from registered lobbyists in any amount • “Lobbyists” include University vendors (prospective, current, or during previous 12 months)

35. II. Ethics Outside Activities/Conflicts of Interest Talent Management & Development Division of Human Resources What needs to be disclosed? Florida Law: All outside compensated professional activities and other activities that may create an actual or potential COI between your private interests and your public duties as an employee of FIU

36. II. Ethics Outside Activities/Conflicts of Interest (Cont’d) Talent Management & Development Division of Human Resources Under Florida’s Code of Ethics, a university officer or employee is prohibited from: • Doing business with the University in a private capacity • Doing business with an entity in which the employee, his/her spouse, or child owns more than a 5% interest • Holding an employment or business relationship with an entity that does business with the University • Holding an employment or contractual relationship that would create a frequent and recurring conflict • Secondary employment must be disclosed/approved by Academic Affairs (faculty)/HR (staff)

37. II. Ethics Outside Activities/Conflicts of Interest (Cont’d) Talent Management & Development Division of Human Resources Under narrow circumstances specified by law, these prohibitions on doing business with the University do not apply: • Formal bid process • Sole source • Emergency purchase • Aggregate transactions do not exceed $500/calendar year

38. II. Ethics Outside Activities/Conflicts of Interest (Cont’d) Talent Management & Development Division of Human Resources What needs to be disclosed? Federal Law: Research • New disclosure and training requirements under Public Health Service regulations effective August 24, 2012 • Significant financial interests (SFIs) in relation to the investigator’s institutional responsibilities (SFIs include those of the investigator’s spouse and dependent children) • Institution must determine whether the SFI is related to the research and, if so, whether the SFI is a Financial Conflict of Interest that could directly and significantly affect the design, conduct or reporting of PHS-funded research • Outside Activities/Conflicts of Interest are disclosed using the electronic portal available at: http://hr.fiu.edu/index.php?name=conflict_of_interest

39. II. Ethics Nepotism Talent Management & Development Division of Human Resources Nepotism (related employees may work at the University provided they do not supervise or control each other) “Relationship” is defined as individuals related by blood, marriage, or adoption (and also covers “dating,” “residing in the same household,” or “where the employee’s objectivity may be impaired”)

40. II. EthicsSafeguarding University Resources Talent Management & Development Division of Human Resources FIU employees have a responsibility to safeguard university resources As such, we need to be familiar with the types of improprieties that may occur within our areas of responsibility In the event we become aware of irregularities, we must notify our supervisor or other designated university representative

41. II. Ethics Non-Retaliation Policy and Hotline Reporting Talent Management & Development Division of Human Resources • The University has a strong non-retaliation policy for University employees who report in good faith Fraud Prevention and Mitigation/University Responsibility and Response Policy No. 140.110 • Concerns can be reported on an anonymous basis using the ethics and compliance hotline • Hotline provided by EthicsPoint is available 24/7, 365 days, via 888-286-5154, or via the Internet at http://www.fiu.ethicspoint.com

42. III. IT Security/Privacy BasicsLaws protect highly sensitive data Talent Management & Development Division of Human Resources • Examples of highly sensitive data: • Social security numbers • Student education records [FERPA] • Personally identifiable financial information • Personally identifiable health information • Research data • Hard Copy—Store in file cabinets w/locks and in a location that is locked except during business hours • Electronic—Must be encrypted while stored and accessed via a unique name/identifier • Data Stewardship Procedure No. 1930.020a

43. Know Your Safeguards Receive/Create Access Disclose University maintainsand keeps “secure” [Confidential, Integrity, Available] Technical / Administrative And Physical Safeguards Federal / State Laws Control Maintain Destroy Information created or received Talent Management & Development Division of Human Resources

44. III. IT Security/Privacy Basics Student education records (FERPA) Talent Management & Development Division of Human Resources

45. Student education records (FERPA) Directory Information at FIU (Cont’d) Talent Management & Development Division of Human Resources

46. Student education records (FERPA) (Cont’d) • If not directory information, then need the student’s consent (for external disclosures) • Within FIU, faculty, administrators, staff and consultants employed by FIU BOT or BOG may access student education records for their work if it involves the performance of: • Administrative, supervisory or instructional tasks which relate to students • Services which benefit students • Other persons specifically authorized by federal and state law may also access • Regulation FIU-108, Access to Student Education Records Talent Management & Development Division of Human Resources

47. Student Education Records (FERPA)(Cont’d) RULES OF THE ROAD • Don’t: • Disclose non-directory information without the written consent of the student • Use name, SSN or Panther ID number to publicly post grades • Discuss a student’s education record in class or with other students, or leave graded papers in a stack or unsecured location • Share your password or leave your computer logged-in and unattended • Share education records with any faculty or staff at FIU unless that individual has a legitimate educational interest • Provide anyone with a student enrollment list, class schedule, or assist someone in locating a student on campus, unless a legitimate educational interest exists • Do: • Learn FIU’s designated Directory Information • Pay attention to the confidential indicator on PantherSoft system to determine if student has opted out of the directory • Learn who is your College/School’s IT Security Administrator and how to reach the IT Security Office: (http://security.fiu.edu/) • Use strong passwords • Learn College/School specific policies & procedures regarding FERPA • Keep student education records in a secure location (hardcopy or encrypted) Talent Management & Development Division of Human Resources

48. IV. Resources University Compliance Directoryhttp://compliance.fiu.edu/directory.htm University Policies and Procedureshttp://policies.fiu.edu/ FIU Ethics and Code of Conduct http://compliance.fiu.edu/ethics.htm Division of Researchhttp://research.fiu.edu/compliance/compliance.htmlEnvironmental Health and Safety (EHS)http://www2.fiu.edu/~ehs/safety_training/ Equal Opportunity Programs & Diversityhttp://hr.fiu.edu/index.php?name=equal_opportunity_programs IT Security Officehttp://security.fiu.edu/Office of the General Counselhttp://generalcounsel.fiu.edu/Office of Internal Audithttp://www.oia.fiu.edu/University Police Departmenthttp://police.fiu.edu FIU Ethics and Compliance Hotline: (24 hours/365 days) Tel. 1-888-286-5154 http://www.fiu.ethicspoint.com http://www.ethicspoint.com Talent Management & Development Division of Human Resources

49. University Policies & Procedures Library http://policies.fiu.edu/ Search byKey Word Search by Subject Category Search by Table of Contents Search by Titles A-Z Search by UniversityArea Various Search Functions Allowed Talent Management & Development Division of Human Resources

50. University Compliance Office Florida International University Modesto Maidique Campus 11200 S.W. 8th Street – PC 520 Miami, FL 33199 Telephone: (305) 348-2216 Facsimile: (305) 348-7657 compliance@fiu.edu Leyda Benitez Associate Vice President, University Compliance Officer and Interim Privacy Officer JoAnn Bova Assistant Director and Paralegal Nelson Perez Assistant Compliance Officer Claudia Zapata Administrative Assistant Talent Management & Development Division of Human Resources