A. General Topics
Table of Contents
1. Equal Educational and Employment Opportunity - General
2. Harassment - Sexual
3. Harassment - General
4. Equal Educational and Employment Opportunity/Harassment - Complaints
5. Conflict of Interest
6. Drug Free Workplace
7. Smoke Free Workplace (Under Development)
8. Alcoholic Liquor and Cereal Malt Beverage
9. Internal Audits
10. Sensitive Information Protection and Identity Theft Prevention
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1.1 University Commitment. Washburn University is committed to providing an environment for individuals to pursue educational and employment opportunities free from discrimination and/or harassment. The University prohibits discrimination on the basis of race, color, religion, age, national origin, ancestry, disability, sex, sexual orientation/gender identity, or marital or parental status. Each unit within the University is charged with conducting its programs and activities in accordance with the University commitment to equal opportunity for all.
1.2 Equal Educational Opportunity. Equal educational opportunity includes,but is not limited to, admissions, recruitment, extracurricular programs and activities, counseling and testing, financial aid, health services, and employment.
1.3 Equal Employment Opportunity. Equal employment opportunity includes, but is not limited to, recruitment, hiring, assignment of duties, tenure and promotion determinations, compensation, benefits, training, and termination.
1.4 Responsibility. Responsibility for monitoring and implementation of this policy is delegated to the Equal Opportunity Director (EOD); however, all Employees will share in the specific activities necessary to achieve these goals.
1.4.1 The Equal Opportunity Director is Ms. Carol Vogel, Morgan Hall Room 380A. Phone: 785-670-1509. Email: carol.vogel@washburn.edu
2.1 Responsibility. All individuals must be allowed to pursue their activities at the University free from sexual harassment and unwelcome sexual advances. Such conduct will not be tolerated. The responsibility for maintaining a sexual harassment-free campus environment rests with all Employees.
2.1.1. Sexual harassment is defined as unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature when:
· Submission to such conduct is made either explicitly or implicitly a term or condition of an individual’s employment;
· Submission to or rejection of such conduct by an individual is used as the basis for employment decisions affecting such individual;
· Such conduct has the purpose or effect of unreasonably interfering with an individual’s work performance or creating an intimidating, hostile, or offensive working environment; or,
· Such conduct emphasizes the sexuality of an individual in a manner which prevents or impairs that individual’s full enjoyment of work and/or educational benefits, environment, or opportunities.
2.1.2 Unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature constitute sexual harassment when:
· The conduct has the purpose or effect of interfering with the individual’s work or academic performance, or of creating an intimidating, hostile, or offensive working or educational environment; or,
· Imposed by an Employee or agent of the University and denies, limits, conditions, or provides different aid, benefits, services, or treatment.
2.2 Employee Harassment. Section 703 of Title VII of the Civil Rights Act of 1964 defines harassment on the basis of sex.
2.3 Student Harassment. Sexual harassment of students is a violation of Title IX of the Education Amendments of 1972, which prohibits sex discrimination in education.
2.4 Complaints. Complaints of sexual harassment are to be made to the Equal Opportunity Director,Ms. Carol Vogel, Morgan Hall Room 380A. Phone: 785-670-1509. Email: carol.vogel@washburn.edu (See Section 4 below.)
3.1 Responsibility. All individuals must be allowed to pursue activities at the University free from harassment based on color, race, religion, age, national origin, ancestry, disability, sex, marital or parental status, or sexual orientation. Responsibility for maintaining a harassment free campus environment rests with all Employees and Students, and others while on the University campus or involved in University-sponsored activities.
3.1.1 Harassment is defined to have occurred when, on the basis of color, race, religion, age, national origin, ancestry, disability, sex, marital or parental status, or sexual orientation a hostile or intimidating environment is created in which verbal or physical conduct, because of its severity and/or persistence, is likely to interfere significantly with an individual’s work or education, or affect adversely an individual’s living conditions.
3.2 Legal Implications.
3.2.1 Harassment of an Employee is a violation of Section 703 of Title VII of the Civil Rights Act of 1964 which defines harassment on the basis of sex.
3.2.2 Sexual harassment of a Student is a violation of Title IX of the Education Amendments of 1972 which prohibits sex discrimination in education.
3.3 Complaints. Complaints of harassment (as defined in this section)are to be made to the Equal Opportunity Director, Ms. Carol Vogel, Morgan Hall Room 380A. Phone: 785-670-1509. Email: carol.vogel@washburn.edu Complaints must be filed within 180 days of the latest alleged incident. (See Section 4 below.)
3.4 Harassment—Complaint Procedures. Individuals who believe they may be or are victims of harassment in violation of the University’s equal opportunity/harassment policies, should promptly take one or more of the steps outlined in the complaint procedure. It is not necessary for all steps to be taken or to be taken in order. Nothing in these procedures shall be construed as preventing any individual from pursuing any other legal action. (See Section 4 below.)
4. Equal Educational and Employment Opportunity/Harassment—Complaints. Complaints of discrimination and/or harassment are to be made to the Equal Opportunity Director, Ms. Carol Vogel, Morgan Hall Room 380A. Phone: 785-670-1509. Email: carol.vogel@washburn.edu
4.1 Complaint Procedures. Individuals who believe they may be or are victims of discrimination or harassment in violation of the University’s equal opportunity and harassment policies should promptly take one or more of the steps outlined below, as applicable. It is not necessary for all steps to be taken or to be taken in order. Nothing in these procedures shall be construed as preventing any individual from pursuing any other legal action.
4.1.1 Any retaliation against an individual who files a complaint of discrimination/harassment or against individuals who participate in the proceedings is strictly prohibited.
4.1.2 The Equal Opportunity Director may become aware of an incident of alleged discrimination/harassment even though not reported by the alleged victim. Incidents of discrimination/harassment pose legal risks to the University. Therefore, the University retains the right to conduct investigations into alleged incidents of discrimination/harassment and take appropriate measures. This is true even if the alleged victim is unwilling or chooses not to report or to pursue the matter.
4.1.3 The complainant will be notified of the disposition of the complaint at each stage of the process. If a finding of discrimination/harassment is made, appropriate corrective and remedial action will be taken.
4.2 Self Help. The complaint procedure does not require the complainant to confront the alleged perpetrator in any manner or for any reason prior to initiating a formal grievance. The complainant may elect to employ self-help measures. One course of action by individuals who believe they have been discriminated against/harassed by someone is to inform that person emphatically the conduct is unwelcome, offensive, violates University policy, and must stop. There are two methods by which this may be done. An individual may:
· Personally inform the person either verbally or in writing; or,
· Ask a supervisor or the EOD to notify the person.
4.3 Consultation and Evaluation. Individuals who believe they may be or are a victim of discrimination/harassment may contact the EOD. This should be done normally within 10 days of the alleged incident giving rise to the complaint. The consultation/evaluation has several purposes.
4.3.1 To help the individual in determining if the perception of discrimination/harassment is valid;
4.3.2 To discuss the rights, under the policy, of both the individual and the person against whom the allegation is made;
4.3.3 To discuss possible methods the individual could undertake to address and to eliminate the unwanted conduct (whether or not it is discrimination/harassment); and,
4.3.4 To advise the individual. The EOD will:
· Help the individual determine what courses of action exist if an issue of discrimination/harassment is believed present.
· Assure the individual that all complaints will be promptly and thoroughly investigated and decided within the time frames set forth below at each stage of the process.
· Advise the individual that a complaint normally must be filed within 10 business days:
v Of the incident giving rise to the complaint; or,
v Following consultation with the EOD in 4.3 above.
· Notify the individuals that retaliation for having exercised their rights under this policy is strictly prohibited.
· Advise the individual of the EOD’s conclusion regarding whether or not an issue of discrimination/harassment is present. The conclusion will be based upon all of the information presented and gathered.
4.4 Confidentiality. The EOD shall take steps to keep information confidential to the greatest extent possible. No assurance of complete confidentiality may be given.
4.5 Document Retention. Records will remain with the EOD for a minimum of three years.
4.6 Informal Complaint Procedure.
4.6.1 An informal complaint may be filed by the individual believing to have been the victim of discrimination/harassment, normally within 10 business days:
· Of the incident giving rise to the complaint; or,
· Following consultation with the EOD in 4.3 above.
4.6.2 Or, the EOD may take action when the informal complaint procedure is deemed necessary. The EOD’s determination will be based upon the information and evidence provided by the alleged victim.
4.6.3 The complaint procedure identifies the alleged victim as the “complainant” and the alleged offender as the “respondent.”
4.6.4 The EOD initiates the following actions in no particular order, normally within 10 business days of the filing of the informal complaint:
· Apprising the respondent of the charge of discrimination/harassment;
· Eliciting from the respondent an explanation of what occurred from the respondent’s perspective;
· Gathering any other information or conducting any investigation or interviews the EOD deems to be necessary;
· Attempting to facilitate a solution acceptable to both the complainant and the respondent;
· Taking such other steps deemed appropriate by the EOD;
· Advising the individual of the EOD’s conclusion regarding whether or not an issue of discrimination/harassment is present, based on the information presented in the investigation;
· Making a written record of the informal procedure. Any resolution will be maintained in the EOD office for a minimum of 3 years; and,
· Notifying the complainant and the respondent that retaliation for having exercised their rights under this policy is prohibited.
4.6.5 A formal complaint may follow if a solution to the situation acceptable to the complainant cannot be reached. The request must be submitted in writing to the EOD within 10 business days from the completion of the informal complaint procedure.
4.7 Formal Complaint Procedure.
4.7.1 An individual’s request for a formal complaint procedure will be given to the President. The request:
· Must be in writing;
· May be submitted by either the complainant or the EOD on the complainant’s behalf;
· Shall be delivered to the respondent at the same time it is delivered to the President; and,
· Shall be granted by the President unless it appears some other disposition satisfactory to the complainant can be made.
4.7.2 The President will furnish the EOD, normally within 10 days from the date the request is granted, a list of 7 University Employees from which one member of a hearing committee will be selected.
4.7.3 The hearing committee will be established, normally within 20 business days of the individual’s request. THE EOD will coordinate the selection process. First, the complainant shall select one University Employee to serve on the hearing committee. The respondent then shall select one University Employee to serve on the committee. The third member shall be selected as follows:
· The first and second members will alternate eliminating one name at a time from the list of 7 University Employees furnished by the President, starting with the person selected by the complainant until only one of the names remains. This individual becomes the third committee member.
4.7.4 The first meeting of the hearing committee normally will be scheduled by the EOD within 10 days of the selection of the hearing committee, at which time the committee will set the hearing date. Time is of the essence in scheduling and conducting the hearing.
4.7.5 All committee members will serve without compensation. Wage and hour Employees’ service on such committee shall be deemed hours worked.
4.7.6 Reasonable provisions will be made for individuals to appear as witnesses at the hearing.
4.7.7 A record will be kept of the proceedings of the hearing.
4.7.8 The committee will deliberate in private and render its decision, normally within 10 days of the hearing.
4.7.9 Legal counsel, on behalf of either party, may serve only in an advisory capacity, and may not represent nor participate in the hearing.
4.7.10 The decision of a majority of the committee shall be the decision of the whole. The decision shall be considered final and binding upon both the complainant and the respondent.
4.8 Appeal Procedure. The decision of the committee may be appealed by either party by filing a written notice of appeal with the EOD specifying the basis for the appeal within 10 days of the decision.
4.8.1 The EOD shall promptly notify the Vice Presidents of the University who shall serve as an appeals committee.
4.8.2 The appeals committee shall consider the complete record of the hearing and render a decision, normally within 10 business days of receipt of the notice of appeal. It will not conduct a hearing. Its decision shall be final.
4.8.3 The hearing and appeal committees’ decision shall have no effect upon any other individual not participating in the specific complaint, nor will it operate to change any University policy or procedure.
4.8.4 Each decision shall be reviewed in due course by appropriate University policy-makers to determine if any policy change should be made.
4.8.5 Full and complete documentation of any complaint shall be retained by the EOD for a minimum of 3 years.
5.1 Purpose. The purpose of these regulations and procedures is to:
· Provide examples of conduct which is deemed to constitute actual or apparent conflict of interest;
· Describe the process by which disclosure of actual, potential or apparent conflicts of interests, are to be made by University Employees or representatives; and,
· Describe enforcement of the conflict of interest policy.
5.2 Definition. For the purpose of these regulations and procedures the following definition applies.
5.2.1 “Conflict of interest” means the existence of an Employee’s financial or personal considerations which may, or may appear to, impair or compromise the performance of the Employee’s duties as a University Employee for or on behalf of the University.
5.3 Types of Conflict. A conflict of interest, or apparent conflict of interest, exists when an Employee or person acting for or on behalf of the University:
· Seeks personal gain through his/her employment at the University;
· Engages in non-university employment or consulting activity for himself/herself or for another which impairs:
v His/her ability to fulfill her/his obligations to the University as an Employee; or,
v The Employee’s judgment in the performance of University duties and responsibilities.
5.4 Personal Gain. The following are examples of conduct which present a conflict of interest when personal gain accrues to the Employee or a member of his/her family or others with whom he/she is associated.
5.4.1 A person uses, or attempts to use:
· His/her position with the University to achieve a material and/or financial benefit for himself/herself or others;
· University property, resources or services, including but not limited to, University offices, office supplies, telephone, equipment, computing resources, for personal and private purposes to achieve a material or financial benefit for himself/herself or others;
· University Employees, Students, contractors, or volunteers to achieve a material or financial benefit for himself/herself or others; and,
· Any confidential information acquired in connection with University related activities or University employment to achieve material or financial benefit for himself/herself or others, or for other unauthorized purposes.
5.4.2 A person directly or indirectly solicits, receives or accepts anything of more than nominal value from any person or organization seeking to do business with or have an association with the University. Exceptions are:
· Registration for an event at which the Employee is making a presentation or providing a service, as an Employee of the University, to the event sponsor;
· Promotional items, such as coffee cups, pens, pencils, mouse pads, etc;
· Textbooks, software, and instructional materials to be reviewed by teaching faculty;
· An award, plaque, certificate, memento or similar item given in recognition of the Employee’s charitable, civic, professional, personal private, public or political achievements;
· Food and/or beverage of nominal or reasonable amount given to or consumed by an Employee at a single meal or event; or,
· The President or his/her designee may grant additional exceptions, in writing, when he/she determines, upon the basis of the facts presented:
v The benefit accruing to the individual is of nominal value; and,
v The exception will not impair either the individual’s or University’s ability to conduct business ethically, fairly and impartially; or,
v When the requested exception is a common and generally accepted practice in public higher education institutions.
5.5 Other Employment and Activity. The following are examples of non-University employment or activity, either with or without compensation, which impairs the ability of an individual to perform his/her obligations as an Employee or representative of the University.
5.5.1 Employment or other activity which occurs at times during which the Employee normally is to perform his/her obligations for the University.
5.5.2 Employment, without the approval of the applicable Major Academic Unit Dean and the VPAA, in a teaching capacity on a full-time or part-time basis with another higher education institution.
5.5.3 Employment or activity individually or with another person or entity providing goods or services which are in competition with goods and/or services provided by the University.
5.6 University Disclaimer. In all employment or activities outside of an Employee’s University employment, each Employee functions in his or her individual capacity, without the support of the University, and is solely responsible for his/her acts.
5.7 Disclosure—Creation of University Financial Obligations. All persons recommending or involved in creating any financial obligation of the University, including but not limited to the purchase of goods or services, contracts obligating the University, and leases, shall disclose to their supervisor the nature of any relationship whatsoever they may have with any vendor, contractor or lessor. A financial obligation in which an Employee or representative of the University has an interest will only be entered into if:
· It is deemed to be in the best interests of the University; and,
· Such person’s interest with the other party will not conflict substantially or materially with such person’s discharge of his/her University responsibilities.
5.8 Disclosure—Conflict with Duties. All persons considering non-university employment or other activity which may create a conflict of interest have a duty to disclose any actual or potential conflict to their supervisor by submitting a written statement describing the nature of the potential conflict. Supervisors who become aware of such actual or potential conflict with the University by persons within their supervision have a duty to request such individuals provide such a written statement.
5.9 Disclosure Advice. Any person who is in doubt whether he/she is confronted with an actual or potential conflict of interest should seek the advice of his/her supervisor or the appointing authority for his/her position to determine if the interest could conflict impermissibly with the person’s obligation to the University.
5.10 Annual Disclosure. All officers of the University or its Board of Regents, deans, directors and those persons identified by the President shall annually submit a completed “Annual Conflict of Interest Disclosure Statement” to the Vice President for Administration and Treasurer.
5.11 Enforcement.
5.11.1 The ultimate responsibility for the enforcement of the policies and regulations on conflicts of interest is that of the President who may delegate authority for enforcement to other University officials.
5.11.2 Violations of the policy or regulations, include, but are not limited to:
· The failure to file timely disclosures;
· Filing incomplete, erroneous, or inaccurate disclosures; or,
· Failure to comply with prescribed procedures for managing or resolving conflicts or potential conflicts of interest.
5.11.3 Violations shall subject the person to disciplinary sanctions which may include, but are not limited to, suspension from or termination of employment.
5.12 Examples. Examples of situations in which a conflict of interest will be deemed to exist.
5.12.1 The use of the Employee’s or individual’s official title of employment or the University’s name, or any of the University’s component parts, including any of the University’s graphics, in any situation other than in the conduct of official University business.
5.12.2 The use of any University resource, including but not limited to University stationery, the University’s address, phone number, fax number or electronic mail address as a contact point for personal or private business use.
5.12.3 The use of the University’s name, its tax exempt status or its tax exempt number to purchase good or services for personal or private business use.
5.12.4 The use of University resources in such a way as to interfere with, or cause harm or damage to, another person, institution, or company within or outside the University community.
6.1 Purpose. To set forth regulations and procedures developed to ensure compliance with the Drug Free Workplace Act of 1988.
6.2 Definitions. The following definitions apply to Drug Free Work Place.
6.2.1 “Controlled Substance” means a controlled substance identified in Schedules I through V of the Controlled Substance Act ( 21 U.S.C. 812 ). These include, but are not limited to:
· Marijuana;
· Amphetamines;
· Heroin; and,
· Cocaine or its derivatives.
6.2.2 “Conviction” means a finding of guilt, including a plea of nolo contendere, or the imposition of a sentence, or both, by any court having jurisdiction over violations of federal or state criminal drug statutes.
6.2.3 “Criminal Drug Statute” means any federal or state law prohibiting the unlawful manufacture, distribution, sale, dispensation, use, or possession of any controlled substance.
6.2.4 “Workplace” means property owned or in control of the University.
6.3 Prohibition. The University shall not tolerate substance abuse or use which imperils the health and well-being of its Students and Employees or threatens the University’s mission, therefore, the following are prohibited:
· The unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance in the workplace or while the Employee is on duty, on official University business, or on standby duty; and,
· Reporting to work or performing work for the University while impaired by or under the influence of controlled substances or alcohol.
6.4 Disciplinary Action. An Employee will be disciplined when:
· Found to have violated the prohibition stated above; or,
· Convicted for violation of a criminal drug statute for a violation occurring in the workplace.
6.4.1 An Employee’s participation in an approved drug abuse or rehabilitation program will be considered in determining the disciplinary action to be taken. The participation may be voluntary or involuntary.
6.5 Drug Free Awareness Program. The Director of Human Resources shall establish and administer an ongoing drug free awareness program as required by law.
6.5.1 The Director shall cause notice to be posted stating:
· The University’s policy prohibiting the unlawful manufacture, dispensing, use or possession of controlled substances in the workplace;
· The dangers of the use and abuse of drugs in the workplace; and,
· That the Employees who violate the policy or who are convicted of a criminal drug statute for a violation in the workplace shall be subject to disciplinary action up to and including termination.
6.5.2 The Director shall prepare, and make available to all Area Heads, a list of available drug counseling or rehabilitation programs in the Topeka/Shawnee County area.
6.6 Federal Grant Related Requirements.
6.6.1 Each Employee in an area participating in a federal grant activity shall be provided a copy of the Drug-Free policy statement by the Principal Investigator.
6.6.2 Each Employee in an area participating in a federal grant activity shall be notified, in writing by the Employee’s Area Head, that as a condition of employment in the federal grant activity each Employee will:
· Abide by the terms of the policy statement; and,
· Notify the Area Head of any of the Employee’s criminal drug statute conviction for a violation occurring in the workplace no later than 5 calendar days after the conviction.
6.6.3 The Employee’s Area Head shall notify, or cause to be notified, any contracting agency of an Employee’s conviction within 10 days after receiving notice of the conviction.
7. Smoke Free Work Place (Under Development)
8.1 Purpose. To set forth regulations and procedures governing the selling, serving, and consumption of alcoholic liquor and cereal malt beverages on University owned or controlled property.
8.2 Prohibited. Except as authorized by the Board herein, the possession and consumption of alcoholic liquor and cereal malt beverages is prohibited.
8.3 Definitions. The following definitions apply to these regulations and procedures.
8.3.1 “Alcoholic Liquor” means alcohol, spirits, wine, beer, and every liquid or solid, patented or not, containing alcohol, spirits, wine, or beer and capable of being consumed as a beverage by a human being, but shall not include, any cereal malt beverage.
8.3.2 “Cereal Malt Beverage” means any fermented, but undistilled liquor brewed or made from malt or from a mixture of malt or malt substitute, but does not include any such liquor which is more than 3.2% alcohol by weight.
8.3.3 “Event” means a prearranged function not advertised to the general public and limited in attendance to members of the sponsoring individual and the sponsor’s guests.
8.3.4 “Guest” means the spouse of the person sponsoring the event, individuals invited to attend such event by the sponsor, or, in the event an event is sponsored by an organization, invited personal friends of a member of the organization sponsoring such event.
8.3.5 “Member” means an individual belonging to a sponsoring organization.
8.3.6 “Sale” means any transfer, exchange, or barter in any manner or by any means whatsoever for a consideration and includes all sales made by any individual, whether principal, proprietor, agent, servant or Employee.
8.3.7 “Sponsoring Organization” means a corporation, association or legal entity sponsoring an event.
8.4 Exceptions.
8.4.1 Alcoholic liquor and cereal malt beverages may be served and/or consumed:
· At an event occurring in or on the non-classroom instruction areas or grounds adjacent to non-classroom instruction areas or other areas designated in these regulations;
· With approval of the President obtained at least 15 days in advance of the event date; and,
· When the alcoholic liquor/cereal malt beverage is furnished by the University’s dining services provider.
8.4.2 For University approved tailgating during University home athletic game days, the alcoholic liquor and/or cereal malt beverages may be provided by the tailgaters. Such beverages shall be in non-breakable containers for personal consumption of members of the tailgaters’ party only.
8.5 Designated Areas. Alcoholic liquor and cereal malt beverages may be served and/or consumed at an event only in or on the following designated areas:
· President's residence and adjacent grounds;
· International House;
· White Concert Hall foyer;
· Carole Chapel;
· Mulvane Art Museum and Mulvane Art Museum foyer;
· Lobby area adjacent to Libation Station and the lobby area adjacent to the administrative offices of the Law School building;
· Memorial Union meeting rooms and adjacent lobbies;
· Bradbury Thompson Alumni Center;
· Gray University Theatre foyer;
· Hospitality areas of the Bianchino Pavilion;
· McPherson Room in Petro Allied Health Center;
· Lee Arena in Petro Allied Health Center;
· Athletic Conference Room; and,
· All outdoor areas of the University's campus; provided, however, the sponsoring organization shall designate and identify, subject to approval by the President, a specified area within which the consumption of alcoholic liquor and cereal malt beverages shall be limited.
8.6 Serving Alcoholic Liquor and Cereal Malt Beverage. The individual/sponsoring organization shall:
· Ensure that alcoholic liquor or cereal malt beverages shall be served in compliance with applicable state and local laws;
· Have appropriate procedures to limit serving and consumption of alcoholic liquor and cereal malt beverages to individuals 21 years of age or older; and,
· Have appropriate procedures for removal or disposal of alcoholic liquor and cereal malt beverages immediately following the sanctioned function.
8.6.1 All alcoholic liquor and cereal malt beverage service must be provided by the University’s dining services provider except as provided in 8.4.2 above.
8.6.2 All events with alcoholic liquor and cereal malt beverage service must include the availability of non-alcoholic beverage(s).
8.6.3 The individual/sponsoring organization shall ensure individuals in attendance at an event shall not carry alcoholic liquor and/or cereal malt beverages outside the area in which they are being served.
8.6.4 When alcoholic liquor and/or cereal malt beverages are being served, except for tailgating activities as provided in 8.4.2, special signage is required. As a special service University Scheduling shall:
· Request the designated outdoor area be physically marked with a temporary enclosure and signage restricting the possession and consumption of alcoholic liquor or cereal malt beverage within the space so marked; and,
· Coordinate with the University's dining services provider to provide signage for use in buildings restricting the possession and consumption of alcoholic liquor and cereal malt beverage to the room(s) for which permission has been granted.
8.6.5 If deemed to be in its best interest, the University or its provider shall, without penalty:
· Refuse service of alcoholic beverages to an individual; or,
· Discontinue service of alcoholic beverages at a function.
9. Internal Audits. For the purpose of maintaining proper accounting and management controls and efficient systems and procedures, the VPAT or VPAT designee shall conduct internal audits when the VPAT determines an audit is appropriate.
10. Sensitive Information Protection and Identity Theft Prevention.
10.1 Purpose. To set forth regulations and procedures for the administration and use of sensitive information and personally identifiable information and the establishment of an identity theft prevention program consistent with Board policies and applicable laws and regulations.
10.2 Definitions. For the purpose of these regulations and procedures the following definitions apply.
10.2.1 "Covered Account" means the extension of credit by the University to an individual for the purchase of goods or services involving multiple payments or transactions.
10.2.2 "Personally Identifiable Information" means information in any format, electronic or printed, pertaining to an individual by which the identity of the individual may be obtained and includes, but is not limited to, Social Security Number, the University WIN number, date of birth, birth name.
10.2.3 "Red Flag" means an indicator of potential fraud or threat for identity theft, including but not limited to:
- Alerts, notifications, or warnings from a consumer reporting agency;
- Suspicious documents; and,
- Suspicious personally identifiable information.
10.2.4 "Sensitive Information" means information in any format, printed or electronic, relating to an individual concerning the individual including, but not limited to the individual's personally identifiable information, academic performance, employment performance, credit transactions or history, credit card numbers, payroll information, or medical information.
10.3 Use of Sensitive Information.
10.3.1 When sensitive information is being used in printed format, University contractors and Employees shall:
- Lock cabinets, drawers, or storage spaces containing such information when not in use;
- Lock storage rooms and record retention areas at the end of the workday and at times when the rooms or areas are unsupervised;
- Ensure documents containing personally identifiable information may not be viewed or accessed by a member of the public or other individual having no need to know such information; and,
- Discard documents, or copies of such documents, containing personally identifiable information, upon useful life of the document by placing in a locked shred bin or immediately shredding it using a mechanical cross cut shredding device.
10.3.2 When sensitive information is used in electronic format, University contractors and Employees shall:
- Ensure such documents may not be viewed by members of the public or any individual having no need to know such information on computer monitors or other devices used to access and view such information;
- Provide access to such information to persons having a legitimate need to know such information;
- Store such information in a location requiring the use of a password to access it; and,
- Include a confidentiality statement in any email transmitting such information to a University contractor or Employee;
10.4. Identity Theft Prevention Program.
10.4.1 The Administration periodically shall review the University's business functions to determine whether the University offers or maintains covered accounts.
10.4.2 The Administration periodically shall conduct a risk assessment of its functions involving covered accounts taking into consideration:
- The method of opening such accounts;
- The methods provided to access such accounts;
- Experience of incidents of identity theft;
- Methods of identity theft; and,
- Appropriate supervisory guidance.
10.4.3 The Administration shall identify red flags which might evidence a potential instance of fraud or the risk of identity theft with respect to covered accounts. Employees and individuals involved in transaction involving covered accounts shall be provided a list of such red flags. Such red flags may include, but are not limited to:
- Alerts, notification, or warnings from a consumer reporting agency including, but not limited to:
- v A fraud or active duty alert from a consumer reporting agency in response to a request for a consumer report;
- v Notice of a credit freeze from a consumer reporting agency; or,
- v Notice of address discrepancy from a consumer reporting agency.
- Suspicious documents, including, but not limited to, a document which:
- v Appears to have been altered or forged;
- v The description or photograph on such document is not consistent with the appearance of the individual presenting the document; or,
- v Information on the document is not consistent with other information concerning the individual in the possession of the University.
- Suspicious personal identifiable information provided inconsistent when compared with external sources used by the University which may include, but is not limited to:
- v Non-matching addresses;
- v Social Security Number (SSN) has not been issued or is on the Social Security Administration's Death master File;
- v SSN provided matches an SSN furnished by another individual; and,
- v Personal identifiable information provided inconsistent with other such information furnished by the individual.
10.4.4 When a red flag is detected, the contractor of Employee shall gather all related documentation and present to the VPAT for investigation and determination of whether the activity is authentic or fraudulent.
10.4.5 When a red flag activity is determined to be fraudulent, the VPAT or designee(s) shall take action deemed appropriate to eliminate or minimize exposure to liability which may include, but is not limited to:
- Cancellation of transaction;
- Notification to, and cooperation with law enforcement personnel;
- Determination of liability; and,
- Notification to individual.
10.4.6 The Administration will review and revise the Identity Theft Program periodically and/or as needed.
10.5 Staff training. Staff training shall be conducted by the VPAT for all contractors, Employees, and individuals for whom it is reasonably foreseeable they may come into contact with covered accounts and/or personally identifiable information.
