Compliance Training for

Student Employees

The University of Texas at Dallas

Purpose of this training

Federal and state laws require UT Dallas to deliver training on the following topics to all employees:

Protecting Student Information (FERPA)

Information Security

Sexual Harassment

UT Dallas Ethics Policy

Drug-Free Workplace Policy

Workplace Safety

This training outlines your responsibilities as an employee.

Developed by The University of Texas at Dallas

Office of the Registrar

Topic 1: FERPA

Know what FERPA protects.

FERPA uses the term “education record” to describe the information it protects.

If you answer YES to these questions, it’s probably protected by FERPA, and you shouldn’t give it out.

Was the information created because the person was a current student? (This applies to most information on campus.)

Do we keep the information on file? Files can be:

o Paper

o Electronic

Is it shared or accessible to other UT Dallas employees? For example:

o On shared UT Dallas network drives

o In department file cabinets

What is FERPA?

FERPA is the commonly-used acronym for the Family Educational Rights and

Privacy Act, which is a federal law that:

• Is intended to protect the privacy of education records

• Provides guidelines for the appropriate use and release of student

education records

• Applies to institutions that regularly receive federal funding from

the Department of Education.

UT Dallas takes FERPA very seriously. Failing to comply with FERPA can

lead to loss of federal funding, lawsuits and/or conviction of a misdemeanor

under the Public Information Act.

Guard student information.

Keep the information private, even from yourself. Do not look at student

records unless you have a legitimate need to know. (In other words, only if

your job requires you to look.)

Do not give out student information (for example, grades or UTD ID numbers)

unless you are certain that it’s allowed. When you’re in doubt, don’t give it

out. (Then ask.)

If you’re unsure of what to do or how to respond to an information request,

refer the request directly to the Registrar’s Office. Follow up and find out the

answer, so you know for next time.

Make sure your office protects student

information.

If you are working with FERPA-protected information, make sure to:

Position your computer screens so people passing by can’t see them.

Put away or flip over paper documents when someone comes to your desk.

Dispose of paper documents properly. Don’t just throw it in the trash!

o Shred it, or

o Put it in a secure/locked recycling bin, if your office has one.

Never email confidential information

unless you encrypt it.

• Don’t send FERPA-protected information if you don’t need to. Often, you

can send alternate information instead.

o If you absolutely must refer to a student’s UTD ID, send only the last

four digits. For example, you could email 1234567890 as x7890.

• Encrypt confidential information no matter where you’re sending it, even if

you’re sending it to another UT Dallas employee. (Note: Zmail cannot

encrypt emails.)

• If you can’t encrypt it, find another secure way to deliver it (in person, for

example).

Always use campus police when

someone’s looking for a student.

Never give out student schedule information.

Let campus police take care of it.

If someone is looking for a student:

Send them to campus police for help.

Call campus police at extension 2222, and tell them that you sent

someone over that is trying to locate one of our students.

Report FERPA violations.

UT Dallas takes FERPA very seriously. Report FERPA violations to:

Jennifer McDowell

• jpazik@utdallas.edu

• 972-883-6301

Anonymously on the UT Dallas website

Topic 2:Information Security

Developed by

The University of Texas at Dallas

Department of Information Security

What are the consequences of poor

information security?

You must take the following actions to keep our information secure.

If you don’t:

You could be held criminally and civilly liable for any

breaches or data exposure

Our university’s reputation could be damaged, resulting in

loss of public trust

UT Dallas could lose revenue, grants, gifts and donations.

To keep UT Dallas information secure, you must take the following actions.

Prevent our computers and devices

from getting stolen.

Criminals are betting that our devices have:

• Valuable information

• Access to our networks

Keep UT Dallas devices safe. This includes:

• Desktop computers

• Laptop computers

• Smart phones

• Some printers

• Removable hard drives

• USB drives (flash drives, thumb drives)

• and more...

Protection

Never leave devices unattended. Never leave them in the car.

Protect your password.

To follow state law, you must:

• Be careful that someone isn’t watching over your shoulder while you enter your password.

• NEVER share your password with anyone.

• NEVER log in with someone else’s password.

• If you write down your password on paper, keep the paper locked up.

• If you keep your password in a computer file, encrypt the file.

Don’t fall for email traps.

Think before you click.

Criminals love to send emails that try to trick you into giving away your password or personal information. This is called phishing (like fishing for information).

Phishing emails are easy to spot if you know what to look for.

• They ask for your personal information.

• They make you feel like it’s urgent. (The most common ones say things about your email account. For example, that you need to take action or else your mailbox will be deleted.)

• They ask you to click on a link in the email. Think before you click.

If you get an email that you think is a trap, forward it to Information Security (infosecurity@utdallas.edu), and they will check it for you.

See the UT Dallas Information Security website for more tips.

Never post sensitive information on the

web or store it in the cloud.

1. Double-check your document before you make it available on the web. It might contain sensitive information. When in doubt, ask UT Dallas Information Security first.

2. Do not use cloud computing (Dropbox, Windows Live, GMail, Google Docs, etc.) to store any university information. It doesn’t meet our security standards.

3. If you accidentally post sensitive information, remove the information and tell UT Dallas Information Security right away.

Examples of sensitive information:

• UTD ID numbers

• Grades (test/assignment scores, etc.)

• Social Security Numbers

• Student phone numbers

• Patient/donor/alumni information

• Passwords, access codes

• Physical plant or critical infrastructure detail

• Financial records

• Legal records

Protect sensitive information when

you’re not around.

• Lock your computer or log off the

network when you’re away from your desk

(even for a minute).

• Lock documents in file cabinets or desk

drawers when you’re away from your

office.

• Lock the door when you leave your

office.

Only use computers you trust.

To trust a computer, you should know that it:

• Has all the proper software updates

• Is protected by anti-virus software

If you don’t know how to keep your computer updated, ask your supervisor or contact the UT Dallas Help Desk.

To get McAfee Anti-virus software, go to the UT Dallas NetID website (netid.utdallas.edu).

If you choose to access UT Dallas resources or data on an unprotected computer, you could be held criminally liable for any resulting security breaches or data exposure.

Make sure your smart phone or tablet

is secure.

If you use a smart phone or tablet to handle university information (including email), you should set your device to automatically:

• Ask for a passcode

• Lock after inactivity

• Erase its data after 10 unsuccessful passcode attempts

• Block Bluetooth access (if possible)

For help setting up your Android, iOS, or Blackberry device, please:

• Use the instructions on the UT Dallas Information Security website

• Consult your device’s manual

If you know about a problem, notify

Information Security immediately.

UT Dallas Information Security can take steps to prevent problems from

getting worse.

If anything is stolen, also notify UT Dallas campus police right away.

Topic 3: Sexual Harassment

Developed by

The University of Texas at Dallas

Office of Human Resources

Sexual misconduct and sexual harassment

are never acceptable behaviors at UT

Dallas. What is the difference between sexual misconduct and sexual harassment?

Sexual misconduct can take many forms, such as:

• Unwelcome sexual advances

• Requests for sexual favors

• Words or actions of a sexual nature

Sexual misconduct becomes sexual harassment if the behavior is severe or persistent enough to substantially interfere with a person’s work or educational environment.

Sexual misconduct and sexual harassment are violations of university, state, and federal regulations and laws. Anyone engaging in these behaviors will be subject to appropriate discipline, including the termination of their appointment with UT Dallas.

Harassment could come from anyone.

For example:

• Supervisors

• Professors

• Co-workers

• Students

• Service providers

• Visitors

Examples of sexual harassment

Exchanges

• Asking for sexual favors:

• As the basis for evaluations or grades

• In exchange for special treatment

• As part of a threat (loss of job, bad performance review, etc.).

Words

• Hints or direct offers to engage in sexual activity

• Sexual comments, questions, jokes, or stories

• Remarks of a sexual nature about a person’s appearance or sexual activity, speculation about sexual experience, etc.

Actions

• Physical contact of a sexual nature, including touching, patting, hugging, or brushing against a person’s body.

• Exposure to sexually-oriented pictures, posters, materials, etc.

• Physical interference with or restriction of an individual’s movements.

Outside of work

• Harassment outside of the workplace happens, too.

• It could happen at any social gathering, even if it’s not work-related.

• It could happen online.

Always report problems.

You must report misconduct and harassment immediately, even if you are not the one being harassed.

You should report it to:

• An appropriate supervisor

• The Office of Human Resources (972-883-2221)

• If the victim is a student, to the Dean of Students (972-883-6391)

Report it right away. The law protects you, but it also requires that you report the problem within 60 days.

Understand that you’ll be taken very seriously. The effect on the victim carries more weight in court and investigations than the other person’s intent.

Topic 4: UT Dallas Ethics Policy

Developed by

The University of Texas at Dallas

Office of Human Resources

Ethical behavior is your number one

job responsibility.

In other words, it’s your job to do the right thing.

You can find the UT Dallas Ethics Policy and Standards of Conduct online.

Be mindful and professional in all your actions:

• We work with money and resources from taxpayers, students, parents, and donors. Respect what they have given us. Don’t steal, waste, or misuse supplies or money.

• Your UT Dallas email account is a state account. The emails can be looked at by UT Dallas administrators or anyone using the Texas Open Records laws.

• Always be truthful. Never forge or alter checks, time sheets, logs, invoices, transcripts, etc.

• Never use UT Dallas resources or information for personal gain.

Avoid conflicts of interest.

What’s a conflict of interest?

A conflict of interest exists when your professional obligation to UT Dallas is

(or might be) compromised by your outside interests. In other words, it’s when

your outside interests compromise your ability to do your job properly.

Outside interests are things like:

• Professional activities (other jobs, serving on boards and

committees, etc.)

• Financial interests (investments, owning a company, etc.)

• Accepting gifts (meals, flights, hotel stays, etc.)

Good intentions are not enough.

Even if you know you’re not doing anything wrong, you must still avoid

situations that might look like conflicts of interest. As state employees, we

must maintain public trust in our integrity.

What are the rules? As a UT Dallas employee, you must:

• Never accept cash or any other gift in connection with any official action

o Non-cash gifts that are less than $50 in value and are not given in exchange for official action are acceptable. For example: pens, mugs, t-shirts, etc.

• Not begin a second job without getting authorization first (full-time employees only)

• Not have a direct or indirect financial interest in a business that conflicts with the university’s interests or that might influence how you do your job. If you have an interest that you think might constitute a conflict, you must tell your supervisor.

• A new UT System policy (UTS 180) requires all FLSA-exempt employees to use an online tool to acknowledge the policy and report any conflict of interest, commitment, and outside activities. (In general, FLSA-exempt means that overtime rules do not apply to your job. For more information on FLSA, please contact UT Dallas Human Resources or read the UT Dallas FLSA policy.)

Speak and act for yourself, but not for UT Dallas.

You cannot make contracts/agreements and purchases on behalf of UT Dallas. (Unless your job gives you this authority.) For example:

• If a document says “contract” or “agreement” at the top, do not sign it. It must only be signed by an authorized university official.

• Purchase Orders may only be signed by the Assistant Vice President for Procurement Management, the Purchasing Manager, or the Vice President for Budget and Finance, as designated by the President.

If you’re contacted by the news media, please promptly refer them to the Communications Office (972-883-2155).

You can take part in whatever political activities you want, but:

• Make it clear that you’re speaking for yourself, not for UT Dallas or as a UT Dallas employee.

• Use your own supplies and money, not what belongs to UT Dallas.

• Do it on your own time, not using work time.

Return personal favors or gifts on your own, not with UT Dallas resources.

Take ownership. Solve the problem. If you know that someone is violating our ethics policy, do something about it.

Use the chain of command.

1. Ask your supervisor. This solves most problems, so start here.

2. Talk with the next supervisor up. It’s okay to do this, especially when:

o Your supervisor is the problem.

o You’ve told your supervisor many times, but the problem is still there.

3. Keep going until you see results. Saying something once or twice is not enough.

If you believe you cannot use the chain of command, you still have options.

1. Ask the UT Dallas Office of Compliance.

o compliance@utdallas.edu

o Extension 2233

2. If you feel uncomfortable asking about or reporting the wrongdoing in person, use the hotline.

o 888-228-7707

o www.reportlineweb.com/utdallas

What is the hotline? The UT Dallas Ethics & Compliance Hotline is a service that anyone can use to ask about or report wrongdoing.

• It’s anonymous. UT Dallas uses an outside company to take your report. The company removes information from your report that could identify you before sending it to the UT Dallas Compliance Office.

• You’re protected. UT Dallas policy and State of Texas laws protect you from retaliation. If you believe you are the victim of retaliation, contact Human Resources immediately. (See detailed procedures for reporting retaliation.)

• It will get resolved. You’ll get a case number when you make your report. Use that number when you call back in a week to track what’s being done.

Topic 5: Drug-Free Workplace

Developed by

The University of Texas at Dallas

Office of Human Resources

You must follow the UT Dallas

employee drug-free workplace policy.

As part of our mission to provide a healthy and productive educational

environment, UT Dallas does not allow the abuse of alcohol and the use of

illicit drugs on campus.

What could happen if you don’t follow this policy?

• UT Dallas could lose federal funding

• You could face disciplinary action or lose your job

What’s okay? What’s not?

Allowed

You can drink alcohol, as long as:

• It does not adversely affect your job performance

• You’re at an authorized UT Dallas function/event

You can take prescription and over-the-counter medications, as long as:

• You take an appropriate or prescribed dose

• It does not adversely affect your job performance

NOT allowed

• Use, possession, transfer, or sale of alcohol or illegal drugs during work or on UT Dallas property (including vehicles used for UT Dallas business)

• Alcohol and drug use at other times and places if it adversely affects your job performance

• Distribution of prescription drugs to anyone other than the person for whom the drug was prescribed

If you need help...

• Call the Employee Assistance Program (EAP): 214-648-5330.

• It’s free and confidential.

• The EAP can help with a broad range of problems, including alcohol and drug abuse.

Topic 6: Workplace Safety

Developed by

The University of Texas at Dallas

Department of Environmental Health & Safety

In any situation, always choose the

safest option. In any situation, choose the safest option. Remember that the unexpected can happen anytime.

Don’t do it yourself!

• Ask others for help when you need to move heavy items. Never try to do it yourself. (If you need a lot of extra help, ask your supervisor what your options are.)

• Only operate machines that you’re authorized to operate or with complete instructions. Never guess.

• Never try to install electrical equipment yourself.

Make safe choices.

• If you need to reach something high, use a ladder. Never stand on furniture.

• Don’t fully extend two file cabinet drawers at the same time. The cabinet could tip over.

• Use the handrail when using stairs.

• Don’t tilt back in chairs or put your feet up on desks.

• Unplug electrical items by holding the plug. Never pull them out by the cord.

Treat suspicious items carefully.

Use EXTREME care when you encounter a suspicious package or letter.

• Isolate the package in an area away from employees, and warn

employees to stay away from it.

• Contact the UT Dallas Police department right away.

NEVER:

• Open the packages/letters until the contents can be verified

• Submerge the package/letter in water

• Place the package/letter in a confined space such as a desk drawer

• Move the package unnecessarily

Keep your work environment safe.

Place objects so they don’t:

• Block exits, walkways, and stairways

• Easily tip over

For example:

• Place file cabinets so the drawers don’t open into walkways

• Bolt file cabinets together or to the wall/floor for added stability

Fires start easier than you think, so don’t:

• Store file cabinets or furniture in stairways or mechanical rooms

• Burn open flames (for example, a candle)

• Use a space heater unless you’re sure it follows the UT Dallas space heater policy

Be safe with machines and electrical

equipment.

Make sure electrical items (coffee makers, lamps, etc.) have UL approval. Look for this logo.

Store the sharp end of objects away from you. Never leave sharp objects with the point up.

Secure machines that tend to “creep” during operation.

Do not:

• Cross the floor with cords. Someone could trip or accidentally cut the wire. (If you can’t avoid it, place plastic channels over the cords.)

• Use extension cords, unless approved by EHS

• Place any machine close to the edge of a desk or table

Use extreme caution with chemicals,

radiation, and biohazards.

If you need to use radiation on campus, be aware that:

• Radiation use is strictly controlled by federal/state laws and UT Dallas policies.

• Radiation is restricted to licensed users and authorized locations.

• Employees working in radiation areas require specialized training.

Anyone doing laboratory work involving potentially hazardous biological materials should be aware of the standard universal precautions:

• Biological hazards pose a risk to the well-being of persons through infection.

• Proper handling and disposal of biological material greatly reduces the potential for exposure to infectious/harmful agents.

If you’re required to work with chemicals, you have a right to know about them. You’ll receive two types of training:

• General training from EHS. Call extension 4111 for more information.

• Specific training from your department.

Report hazards and accidents.

Report hazards and accidents (including near misses) to:

• Your supervisor and

• Environmental Health & Safety (extension 4111)

Report defective tiles, boards, carpets, etc. to:

• Facilities Management (extension 2141)

Know what to do in emergencies.

To report an emergency: Call 911

Tell the 911 dispatcher your exact location. For example, “I’m at UT Dallas, in the School of Management building, room 2.722.”

Prepare for emergencies

• Know the emergency plan and evacuation routes for your floor/building/area

• Know how to operate fire extinguishers

• Know what the emergency/fire alarm signals sound like, and stay aware of when the emergency systems are being tested (they’ll let you know ahead of time with emails and signs posted in the buildings)

• Know that you should never interfere with emergency personnel (firefighters, police officers, etc.) when they arrive

Preparing yourself will help you stay calm and not panic during an emergency.

Appropriate Contacts

The list below (and the rest of this training) is always available at the UT Dallas Office of Institutional Compliance website.

FERPA, student information

Office of the Registrar

records@utdallas.edu

972-883-2342

To report FERPA violations:

Contact Jennifer McDowell

• jpazik@utdallas.edu

• 972-883-6301

Or anonymously on the web

Encryption, phishing, safely storing/sending information, data breaches

Office of Information Security

infosecurity@utdallas.edu

972-883-6810

Discrimination, sexual harassment, drugs & alcohol policy

Office of Human Resources

972-883-2221

Employee Assistance Program (they help with a broad range of problems, including alcohol and drug abuse)

214-648-5330

Ethics policy, or if you’re not sure who to ask

Office of Institutional Compliance

compliance@utdallas.edu

972-883-2233

Compliance Hotline: 888-228-7707

www.reportlineweb.com/utdallas

If you’re contacted by the news media

Office of Communications

972-883-2155

Safety procedures, emergency procedures, and to report hazards/accidents

Office of Environmental Health & Safety

972-883-4111

Reporting broken or defective tiles, boards, carpets, etc.

Facilities Management

972-883-2141

Stolen/missing property

UT Dallas Police Department

972-883-2222

(In emergencies, call 911)

© The University of Texas at Dallas