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AGENDA

FLORIDA GULF COAST UNIVERSITY BOARD OF TRUSTEES

Tuesday, January 9, 2018 8:30 a.m. – 11:20 a.m. / 12:15 p.m.

COHEN CENTER BALLROOM, ROOM # 203-B FLORIDA GULF COAST UNIVERSITY

Indicated times within the agenda are approximate and are subject to change. Agenda items may be taken out of order at the call of the Chair and with the concurrence of the Board. A slot for an Executive Session will appear on each Agenda with an estimated allocation of time. If no Executive Session is necessary or if the time allocated is not used in its entirety, the public meeting may continue or be reconvened immediately thereafter. The agenda is presented in VERSION 1 BLUE TRACK for the Meeting with no Executive Session, and in VERSION 2 RED TRACK for the Meeting with an Executive Session.

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VERSION 1 BLUE TRACK: MEETING WITH NO EXECUTIVE SESSION:

8:30 a.m. Call to Order, and Roll Call – Vice Chair Ken Smith 8:35 a.m. Welcome to New Trustee Richard Eide, and Interim

Provost and Vice President for Academic Affairs James Llorens – Vice Chair Ken Smith

8:40 a.m. Student Success Showcase – President Mike Martin 8:55 a.m. Consent Agenda (Includes Public Comment) – Vice Chair

Ken Smith

Minutes of December 8, 2017 Meeting (TAB #1)

BOT Meeting Dates for 2018-2019 and 2019-2020 (TAB #2)

9 a.m. Election of Chair and Vice Chair of Florida Gulf Coast

FGCU Board of Trustees - January 9, 2018

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University Board of Trustees (Includes Public Comment) – Officers Nominating Committee Chair Leo Montgomery

Action Item (Committee Members): Minutes of December 14, 2017 Officers Nominating Committee Meeting (TAB #3)

Information Item: Report on Recommended Slate of Chair and Vice Chair Board Officers from Officers Nominating Committee

Action Item (Board): Election of Chair and Vice Chair Board Officers (TAB #4)

Action Item (Board): Suspension of Board Bylaws Provision on Term of Office for Chair and Vice Chair (TAB #5)

9:15 a.m. President’s Report – President Mike Martin

9:30 a.m. Standing Report from United Faculty of Florida (UFF)/FGCU Chapter – Co-Presidents Win Everham and Morgan Paine

9:35 a.m. Standing Report from FGCU Foundation Board of

Directors – Chair David Holmes 9:40 a.m. Standing Report from FGCU Financing Corporation

Board of Directors – Chair Joe Catti 9:45 a.m. Presentation on FGCU Student Housing – Director of

Housing Brian Fisher 10:05 a.m. Academic/Student/Faculty Affairs Committee (Includes

Public Comment) –Committee Chair Christian Spilker

Information Only:

Soar in 4 Results to Date – Dean of Undergraduate Studies Dawn Kirby (TAB #6)

10:15 a.m. Finance, Facilities and Administration Committee

Meeting (Includes Public Comment) – Chair Blake Gable Information Only:

Finance/Budget Update – Vice President for Administrative Services and Finance, and Executive


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Director of FGCU Financing Corporation Steve Magiera (TAB #7)

Block Tuition – Vice President for Administrative Services and Finance, and Executive Director of FGCU Financing Corporation Steve Magiera (TAB #8)

Action:

Transcript of Executive Session of January 12, 2016 – Vice President and General Counsel Vee Leonard (TAB #9)

10:35 a.m. Audit and Compliance Committee (Includes Public

Comment) – Committee Chair Joseph G. Fogg III Action:

Florida Gulf Coast University Financing Corporation Independent Auditor’s Report for the Year Ending June 30, 2017 – Director of Internal Audit William Foster (TAB #10)

Florida Gulf Coast University Foundation Independent Auditor’s Report for the Year Ending June 30, 2017 – Director of Internal Audit William Foster (TAB #11)

Regulation: FGCU-PR-TBA Code of Ethics – Chief Compliance and Ethics Officer Stacey Chados (TAB #12)

Code of Conduct – Chief Compliance and Ethics Officer Stacey Chados (TAB #13)

Program Plan for Compliance and Ethics Office – Chief Compliance and Ethics Officer Stacey Chados (TAB #14)

10:55 a.m. Standing Report from FGCU Faculty Senate – President

Michael McDonald 11 a.m. Standing Report from FGCU Student Government –

President Jalisa White

11:05 a.m. Standing Report from FGCU Staff Advisory Council (SAC) – President Teri Bigos

11:10 a.m. Old Business –Vice Chair Ken Smith


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11:15 a.m. New Business –Vice Chair Ken Smith 11:20 a.m. Chair’s Closing Remarks, & Meeting Adjournment –Vice

Chair Ken Smith

(END)

VERSION 2 RED TRACK: MEETING WITH AN EXECUTIVE SESSION:

8:30 a.m. Call to Order, and Roll Call –Vice Chair Ken Smith 8:35 a.m. Welcome to New Trustee Richard Eide, and Interim

Provost and Vice President for Academic Affairs James Llorens – Vice Chair Ken Smith

8:40 a.m. Student Success Showcase – President Mike Martin 8:55 a.m. Call for Executive Session – Vice President and General

Counsel Vee Leonard

9 a.m. Executive Session (45 minutes) 9:45 a.m. Break (5 minutes)

9:50 a.m. Reconvene Regular Meeting at 9:50 a.m. or Upon

Conclusion of Executive Session – Vice Chair Ken Smith 9:50 a.m. Consent Agenda (Includes Public Comment) – Vice Chair

Ken Smith

Minutes of December 8, 2017 Meeting (TAB #1)

BOT Meeting Dates for 2018-2019 and 2019-2020 (TAB #2)


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9:55 a.m. Election of Chair and Vice Chair of Florida Gulf Coast

University Board of Trustees (Includes Public Comment) – Officers Nominating Committee Chair Leo Montgomery

Action Item (Committee Members): Minutes of December 14, 2017 Officers Nominating Committee Meeting (TAB #3)

Information Item: Report on Recommended Slate of Chair and Vice Chair Board Officers from Officers Nominating Committee

Action Item (Board): Election of Chair and Vice Chair Board Officers (TAB #4)

Action Item (Board): Suspension of Board Bylaws Provision on Term of Office for Chair and Vice Chair (TAB #5)

10:10 a.m. President’s Report – President Mike Martin

10:25 a.m. Standing Report from United Faculty of Florida (UFF)/FGCU Chapter – Co-Presidents Win Everham and Morgan Paine

10:30 a.m. Standing Report from FGCU Foundation Board of

Directors – Chair David Holmes 10:35 a.m. Standing Report from FGCU Financing Corporation

Board of Directors – Chair Joe Catti 10:40 a.m. Presentation on FGCU Student Housing – Director of

Housing Brian Fisher 11 a.m. Academic/Student/Faculty Affairs Committee (Includes

Public Comment) –Committee Chair Christian Spilker Information Only:

Soar in 4 Results to Date – Dean of Undergraduate Studies Dawn Kirby (TAB #6)

11:10 a.m. Finance, Facilities and Administration Committee

Meeting (Includes Public Comment) – Chair Blake Gable


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Information Only:

Finance/Budget Update – Vice President for Administrative Services and Finance, and Executive Director of FGCU Financing Corporation Steve Magiera (TAB #7)

Block Tuition – Vice President for Administrative Services and Finance, and Executive Director of FGCU Financing Corporation Steve Magiera (TAB #8)

Action:

Transcript of Executive Session of January 12, 2016 – Vice President and General Counsel Vee Leonard (TAB #9)

11:30 a.m. Audit and Compliance Committee (Includes Public

Comment) – Committee Chair Joseph G. Fogg III Action:

Florida Gulf Coast University Financing Corporation Independent Auditor’s Report for the Year Ending June 30, 2017 – Director of Internal Audit William Foster (TAB #10)

Florida Gulf Coast University Foundation Independent Auditor’s Report for the Year Ending June 30, 2017 – Director of Internal Audit William Foster (TAB #11)

Regulation: FGCU-PR-TBA Code of Ethics – Chief Compliance and Ethics Officer Stacey Chados (TAB #12)

Code of Conduct – Chief Compliance and Ethics Officer Stacey Chados (TAB #13)

Program Plan for Compliance and Ethics Office – Chief Compliance and Ethics Officer Stacey Chados (TAB #14)

11:50 a.m. Standing Report from FGCU Faculty Senate – President

Michael McDonald 11:55 a.m. Standing Report from FGCU Student Government –

President Jalisa White

Noon Standing Report from FGCU Staff Advisory Council (SAC) – President Teri Bigos


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12:05 p.m. Old Business –Vice Chair Ken Smith 12:10 p.m. New Business –Vice Chair Ken Smith 12:15 p.m. Chair’s Closing Remarks, & Meeting Adjournment –Vice

Chair Ken Smith

(END)


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AGENDA INDEX

FGCU Board of Trustees

January 9, 2018

Tab # Item Action/Information

1 Minutes of December 8, 2017 Meeting Board Action (Consent Agenda)

2 BOT Meeting Dates for 2018-2019 and 2019-2020 Board Action (Consent Agenda)

3 Minutes of December 14, 2017 Officers Nominating Committee Meeting Committee Action

4 Election of Chair and Vice Chair Board Officers Board Action

5Suspension of Board Bylaws Provision on Term of Office for Chair and Vice

Chair Board Action

6 Soar in 4 Results to Date Information Only

7 Finance/Budget Update Information Only

8 Block Tuition Information Only

9 Transcript of Executive Session of January 12, 2016 Board Action

10Florida Gulf Coast University Financing Corporation Independent Auditor’s

Report for the Year Ending June 30, 2017 Board Action

11Florida Gulf Coast University Foundation Independent Auditor’s Report for the

Year Ending June 30, 2017 Board Action

12 Regulation: FGCU-PR-TBA Code of Ethics Board Action

13 Code of Conduct Board Action

14 Program Plan for Compliance and Ethics Office Board Action


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ITEM: __1__

Florida Gulf Coast University Board of Trustees January 9, 2018

SUBJECT: Minutes of December 8, 2017 Meeting

PROPOSED BOARD ACTION

Approve minutes

BACKGROUND INFORMATION

The Florida Gulf Coast University Board of Trustees met on December 8, 2017. Minutes of the meeting were kept as statutorily required.

Supporting Documentation Included: Minutes of December 8, 2017 Meeting Prepared by: Transcription Experts, and Director of Operations Tiffany Reynolds Legal Review: N/A Submitted by: Vice President and Chief of Staff Susan Evans


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FLORIDA GULF COAST UNIVERSITY BOARD OF TRUSTEES 1

2

Friday, December 8, 2017 3

4

COHEN CENTER BALLROOM, ROOM # 203-B 5

Florida Gulf Coast University 6

7

_____________________________________________________________________ 8

Meeting Minutes 9

10

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Members: 12 Present: Trustee Dudley Goodlette – Chair (via telephone); Trustee Kenneth Smith – 13

Vice Chair; Trustee Darleen Cors; Trustee Joe Fogg III; Trustee Blake Gable; Trustee 14

Mike McDonald; Trustee Leo Montgomery; Trustee Kevin Price; Trustee Russell Priddy; 15

Trustee Robbie Roepstorff; Trustee Christian Spilker; and Trustee Jalisa White. 16 17

Others: 18

Staff Advisory Council (SAC) President Teri Bigos. 19

20 Staff: President Mike Martin; Acting Provost and Vice President for Academic Affairs 21

Bob Gregerson; Vice President for Administrative Services and Finance, and Executive 22

Director of FGCU Financing Corporation Steve Magiera; Vice President for University 23

Advancement, and Executive Director of FGCU Foundation Chris Simoneau; Vice 24

President and Chief of Staff Susan Evans; Vice President and General Counsel Vee 25

Leonard; Chief Compliance and Ethics Officer Stacey Chados; Director of Internal Audit 26

Bill Foster; Director of Operations Tiffany Reynolds; and Project Manager Melissa Pind. 27

28 Guests: Trustee-elect Richard Eide. 29

30

31

Item 1: Call to Order, and Roll Call 32

Chair Dudley Goodlette, via telephone, called the meeting to order at 8:33 a.m. He 33 informed the Board he was in a meeting in Orlando, and Vice Chair Ken Smith would 34

conduct the meeting. He added he would remain on the phone to participate in the 35

meeting for as long as possible. Roll call was taken with all members present, thus 36

meeting quorum requirements. 37

38

Chair Goodlette recognized and welcomed Trustee-elect Richard Eide, who was 39

attending the meeting as a guest. 40

41

Chair Goodlette then called for Vice Chair Ken Smith to continue the meeting. 42

43

44 45

46


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Item 2: Consent Agenda (See Tabs #1-2) 47

Vice Chair Ken Smith called for a motion to approve the Consent Agenda, which 48

included the items of (1) Minutes of the October 10, 2017 Meeting, (2) Minutes of the 49

November 8, 2017 Roundtable Discussion/Meeting during the Board of Governors 50

Summit. 51

52

Trustee Priddy made a motion to approve the Consent Agenda. Trustee Gable 53

seconded the motion. There was no public comment, or Board discussion. The vote 54

was unanimous in favor of the motion. 55

56

57

Item 3: 2017-2022 FGCU Strategic Plan (See Tab #3) 58

Vice Chair Smith called on President Martin to present this item. 59

60

President Martin presented to the Board a draft of the Strategic Plan for Florida Gulf 61

Coast University for the next five years. He said the intention was to receive approval of 62

the FGCU Board of Trustees and then the approval of the Board of Governors in 63

January. 64

65

President Martin recapped the actions taken thus far which included an ad hoc 66

committee led by Director of the Regional Economic Research Institute in the Lutgert 67

College of Business Dr. Christopher Westley. He said this Committee examined the 68

core issues embedded in the original Strategic Plan and amended them to meet the 69

criteria and concerns of the Board of Governors (BOG), and made them broadly 70

inclusive of all units within the University. He said the Strategic Plan had been 71

rearranged to more fully emphasize the first Pillar of continuing improvement in student 72

outcomes and graduation rates. Parenthetically, he said he had emailed a BOG 73

member and pointed out it had taken Florida Atlantic University 53 years to achieve a 74

graduation rate that FGCU had achieved in 20 years. He assured all present this was 75

good progress, but more would be done. 76

77

President Martin said the Board had an opportunity to look at the Plan and discuss it 78

with him individually, and if there were any questions about the final process, Dr. 79

Westley and his group were there to address any issues. He thanked everyone for their 80

input. 81

82

Vice Chair Smith said if there were any changes to be suggested, they should come 83

from the floor. He recognized Trustee Kevin Price for a comment. 84

85

Trustee Price acknowledged inclusion of the original founding principles of FGCU. He 86

said student success was in the forefront of these principles. He said one important 87

aspect of student success was the cost of education and the ability to keep student debt 88

to a minimum. He said his suggestion was in the first pillar of student success; he felt 89

Objective Two and Objective Three were redundant and could be blended together, and 90 that a new Objective about cost and debt could be used as Objective Three. 91

92


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Dr. Martin responded this suggestion was a point well-made and would be addressed. 93

94

Trustee Joe Fogg commented Pillar 4 put Health Sciences as the program for which the 95

University wanted to be known. He stated that water had been discussed as the focus 96

as indicated in the Legislative Budget Request (LBR). He asked for which focus does 97

FGCU want to be known. 98

99

Dr. Martin responded Health Sciences was something FGCU could focus on with the 100

ability for it to be accomplished and impact the local region optimally over the next five 101

years. He added that in conversations with the community, particularly in the health 102

sciences and health professions areas, there was real interest in FGCU continuing to 103

expand and improve in this area. He said to some extent, there was emphasis on what 104

could be done immediately to have a significant impact. 105

106

President Martin pointed out another example was the nursing program, one of the best 107

in the state, and there were individuals who believed its size should be doubled. He 108

said that program had been emphasized because there was a genuine need. To some 109

extent, he said it was a focus on what could be achieved with great impact locally in a 110

relatively short period of time. He said greater emphasis on some of the other areas 111

would be built into annual work plans. 112

113

President Martin stated to his understanding there was a three-phase related process. 114

The Strategic Plan gives a broad directive, the Annual Work Plan gives tactical means 115

to make progress, and the Legislative Budget Request gives the financing to implement 116

the tactics. 117

118

Trustee Fogg said he understood the process, but it seemed to him FGCU had shifted a 119

little to focusing on the water program, not in lieu of, but in addition. 120

121

President Martin responded it was in addition, and the water project hinged heavily on 122

the PECO request. He said it was also part of FGCU’s budget request, and the water 123

project was being pursued in part to acquire the means to give FGCU a bigger role in 124

applied research. He said that was part of academic excellence in research. 125

126

Trustee Robbie Roepstorff commented that with the capital request, the real need for 127

this building was for lab space. She said the lab space would flow over into Health 128

Sciences and so many other Colleges within the campus. She said FGCU was sitting in 129

the heart of the issue of water, and this focus would allow the program to move forward. 130

She said this was where the emphasis was put, so it would allow the University to start 131

getting deeper into exploration and research. At the same time, the University was not 132

adequately equipped for lab space. 133

134

Vice Chair Smith called for further discussion. Hearing none, he called for a motion. 135

136

Trustee Blake Gable asked if the changes Trustee Price put forward would be seen by 137 the Board. 138


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Vice President and Chief of Staff Susan Evans responded that with a concurrence of 139

the Board that it wished to address the cost of education and keeping the debt load low, 140

then a vote could be taken, and language would be created. 141

142

President Martin said the additional language would be circulated as soon as it was 143

drafted, which would be done as soon as possible. 144

145

Trustee Gable said that would be perfect. 146

147

Vice Chair Smith suggested the motion contain this addition. 148

149

Trustee Gable made a motion to approve the 2017-2022 FGCU Strategic Plan with the 150

changes discussed above. Trustee White seconded the motion. 151

152

Trustee White stated her Student Government Chief of Staff was on the Strategic Plan 153

committee, and the plan had been presented to the Student Senate. She said they 154

were very supportive of it. 155

156

There was no public comment, or further Board discussion. The vote was unanimous in 157

favor of the motion. 158

159

160

Item 4: 2017 FGCU Equity Report (See Tab #4) 161

Vice Chair Smith called Director of Institutional Equity and Compliance and Title IX 162

Coordinator Precious Gunter to present this item. 163

164

Ms. Gunter directed the Board to the report in the agenda packet. She stated her 165

presentation would highlight the report, which was required each year pursuant to the 166

Florida Educational Equity Act and Board of Governors Regulation 2.003. The 167

guidelines and time period (July 1, 2015 through June 30, 2016) for the report were set 168

forth by these agencies. 169

170

Ms. Gunter stated there were nine sections of the report, and the three main highlighted 171

areas were (1) Academic Program Reviews, (2) Gender Equity in Intercollegiate 172

Athletics, and (3) Employment Representation. She said all had been included and 173

FGCU was compliant with the Board of Governors regulation and the Equity Act. 174

175

Ms. Gunter pointed out some areas in which significant progress had been made in the 176

past recording year. In terms of Academic Program Reviews, she reported student 177

enrollment during the applicable time period was 14,824, and of these 56 percent were 178

female and 44 percent were male. She said this was on trend with national statistics. 179

She said of the students who identified their race, 32.5 percent identified as non-white, 180

which was significant as FGCU continued to increase representation of minority 181

students. She reported bachelor degrees awarded had increased to 2,331, and in line 182

with overall enrollment, 59 percent of those degrees were awarded to female students. 183


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Ms. Gunter reported in terms of Gender Equity in intercollegiate Athletics, 57 percent of 184

student athletes were female and 43 percent were male. She said this was 185

proportionate to overall student enrollment, and this proportion had been consistent 186

over the past few years. 187

188

Ms. Gunter reported in terms of Employment Representation, there were 459 non-189

tenure-earning faculty members. Of those faculty members, 46 percent were women. 190

She said in the area of promotions, there had also been an increase for women and 191

minorities. 192

193

Ms. Gunter stated in terms of recruitment, her department was going to speak to search 194

panels and committees and discuss casting a wider net and reaching out to different 195

groups to bring in a diverse pool of applicants. She said sexual harassment and 196

awareness prevention were also being promoted. She said it was mandatory for all 197

employees to receive training in this area. 198

199

In closing, Ms. Gunter reported on measures the University had taken to combat 200

inequity. She highlighted there were three presidentially appointed committees: (1) the 201

ADA committee, (2) the Title IX committee, and (3) the Diversity and Inclusion 202

committee. She said all of these committees serve to promote awareness. She also 203

reported there was an Enrollment Management and Success Access initiative, which 204

was in the process of being implemented and had the goal of bringing faculty, staff and 205

administrators together to assess equity in terms of retention and graduation rates. 206

207

Ms. Gunter reported there was a New Employee Orientation (NEO) which included the 208

Five Star Academy, which was a six-month program and included diversity and 209

inclusion awareness. She said a mandatory supervisor training in the areas of 210

workplace bullying, harassment and mandatory reporting had been given; and in the 211

upcoming year, there would be training for disability discrimination. 212

213

Ms. Gunter added her department had established the Office of Retention and First 214

Year Experience, the goal of which was to provide services to help the transition from 215

high school to college. 216

217

Ms. Gunter called for questions. 218

219

Trustee Fogg asked Ms. Gunter how the number of cases or complaints within the last 220

year compared to previous years. 221

222

Ms. Gunter said that information was not included in the report, but in the past year 223

there had been 112 complaints. Of those, there were 13 investigations (7 had sufficient 224

findings and 9 insufficient findings), 23 informal resolutions, and 72 inquiries out of 225

those cases. She said the majority of the cases received were Title IX student cases 226

which center on sexual harassment, dating, domestic violence, and stalking. 227

Trustee Fogg asked how many received a “guilty” verdict, so to speak. 228


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Ms. Gunter responded her department was fact finding and then the cases were 229

referred to Student Conduct to be adjudicated. She said in terms of her office, there 230

were seven sufficient findings of fact. 231

232

Trustee Fogg asked how this compared to other universities of similar size within the 233

State University System, and to years past at FGCU. 234

235

Ms. Gunter responded in the two-and-a-half years she had been with the University, 236

there had been a definite increase in the number of reported cases, which she attributed 237

to increased awareness. She stated in terms of comparison to other universities, she 238

did not know but could find out. 239

240

Trustee Fogg stated it would be important to keep track of how FGCU was doing 241

compared to years past, and also other institutions and to make that information part of 242

her annual presentation. 243

244

Trustee Mike McDonald said he was interested in the statistic of students identifying as 245

non-white, and asked what the threshold was for an institution to qualify as a minority 246

serving institution. 247

248

Ms. Gunter said she was not sure what the threshold was, but she could say when 249

compared to other universities within the System, FGCU was similar. 250

251

Trustee Price asked Ms. Gunter to expand on the Success Initiative. 252

253

Ms. Gunter responded that was an initiative which the President was currently 254

proposing. She said it was her understanding it was still being set up. 255

256

Trustee Roepstorff complimented Ms. Gunter on her presentation. She said on page 257

60, the opening of the Executive Summary in the first paragraph needed to be 258

considered. She asked the Board to remove the second sentence. She said she did 259

not disagree with the sentence, but she felt the sentence would subject FGCU to 260

unnecessary discussion and focus outside the University. She read the sentence: “In 261

all ways, FGCU has exceeded expectations in terms of growth, performance and 262

impact.” She added because of the Performance Metrics, it may bring about dialogue. 263

264

Ms. Gunter responded she was fine with removing the sentence. 265

266

Trustee Christian Spilker made a motion to approve the 2017 FGCU Equity Report with 267

the change described above. Trustee Gable seconded the motion. There was no public 268

comment or discussion. The vote was unanimous in favor of the motion. 269

270

271

Item 5: 2018 Legislative Budget Request (Tab #5) 272

Vice Chair Smith called on President Martin to lead this discussion. 273

274


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President Martin reported he and his staff continued to carry the message from the 275

Board regarding what a fair and appropriate response from the legislature would be to 276

bring FGCU to the average support for students of the State University System. He 277

said this was $32 million of recurring funding. He said recognizing the political realities 278

of the times, and on the recommendation of a number of individuals, including members 279

of the local delegation, the approach will be to take the funding in a few bites. He 280

introduced Director of Government Relations Jennifer Goen, who discussed the strategy 281

and where FGCU was in the process. 282

283

Ms. Goen said the Board’s material included the 2018-19 Appropriations Packet, which 284

would be shared with members and their staffs. She said the packet included details 285

about both projects, and the two requests were for the $32.9 million for Integrated 286

Watershed and Coastal Studies and $13.7 million operational recurring funding for 287

Pathways to Success. Since the last FGCU Board of Trustees meeting, she stated 288

there had been several meetings and discussions about a $32 million request, and a 289

three-year phase in would be the most appropriate approach. She said the first phase 290

was a $13.7 million request which was detailed in the packet. She said her team was 291

almost finished developing a “palm” card, which would have the FGCU agenda on one 292

side and the other side would be the Board of Governors (BOG) agenda. She said she 293

would share those with the Board at trustees’ request. 294

295

President Martin added originally FGCU had been encouraged to take this through the 296

BOG to make it part of an endorsed Legislative Budget Request. He acknowledged 297

Trustee Gable who gave a great deal of help in terms of refining the language and the 298

metrics. He said for a variety of reasons the BOG decided not to take it up at their last 299

meeting. He said, however, FGCU did have a commitment on behalf of the BOG 300

leadership to assist FGCU in carrying the message to the Legislature. 301

302

Trustee Price suggested maybe a graphic should be developed to represent the 303

request. 304

305

President Martin said he agreed and thought FGCU was in part, the victim of an 306

economic anomaly. FGCU’s growth occurred exactly when the recession hit and the 307

legislature stopped funding growth. He said FGCU grew through the recession. He 308

said his message was when FGCU is underfunded; it actually underfunds the people 309

FGCU serves. He said his message would be FGCU was the means to the end, and 310

the growth which had been achieved suggested the University was needed in this area. 311

312

313

Item 6: Old Business 314

Vice Chair Smith called for old business. He said that Vice President and Chief of Staff 315

Susan Evans had crafted language on cost and debt for the Strategic Plan, and asked 316

her to read it to the Board. 317

318 Ms. Evans said going back to Pillar 1, Student Success, and Objective Two and 319

Objective Three would be combined as described by Trustee Price. She stated a new 320


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Objective Three, using the same approach as the others, would read, “Focus on 321

delivering affordable high-quality education, and eliminate or minimize the need for 322

student debt.” She asked Trustee Price if this accomplished his goal, and he responded 323

it did. 324

325

Vice Chair Smith asked if all were in agreement and the response was positive. The 326

new Objective will be inserted into the approved Plan. 327

328

329

Item 7: New Business 330

There was no new business for discussion. 331

332

333

Item 8: Chair’s Concluding Remarks, and Meeting Adjournment 334

Vice Chair Smith stated there had been a successful naming ceremony for Bernie and 335

Elaine Lester for the “W. Bernard and Elaine Lester Athletics Administrative Complex” 336

with more than 150 people in attendance. He thanked Chair Goodlette, Trustee Robbie 337

Roepstorff, and Trustee Darleen Cors for their attendance at this ceremony. He said it 338

was a well-deserved honor for the Lesters, and thanked President Martin for bringing 339

the recommended naming to the Board for approval earlier this year. 340

341

President Martin added it was a well done event and well attended because the Lesters 342

were held in high regard by many people. He encouraged all members of the Board to 343

visit and tour the new addition. 344

345

Vice Chair Smith reported Chair Goodlette had appointed an Officers Nominating 346

Committee comprised of Trustee Leo Montgomery, who would serve as Chair, with 347

Trustees Kevin Price and Russell Priddy. He said the Committee would meet on 348

Thursday, December 14, at 9:30 a.m. in Edwards Hall, Room 309. He said Chair 349

Goodlette has charged the committee to bring to the full Board for action at the January 350

meeting, a recommended slate of officers for the positions of Chair and Vice Chair. 351

352

Vice Chair Smith said the next regular meeting of the FGCU Board of Trustees would 353

be on Tuesday, January 9, at 8:30 a.m. 354

355

Vice Chair Smith reminded the Board that after adjournment of the meeting, Audit and 356

Compliance Committee Chair Joe Fogg would call to order a meeting for the purpose of 357

acting on items which would be brought to the full Board in January. 358

359

Vice Chair Smith adjourned the meeting at 9:12 a.m. 360

361

362

363

364 365


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Minutes prepared by Transcription Experts, and reviewed by Tiffany Reynolds, Director 366

of Operations. 367

368

Agenda Items: 369

A. See Tabs #1 – 5 370

a. https://www2.fgcu.edu/Trustees/AgendaFile/2017/12-08-371

2017/FGCUBOTMTG-AGENDAPACKET_12-8-2017.pdf 372

B. Handouts 373


2017/FGCUBOTMTG-HANDOUTS_12-8-2017.pdf 375

376

377

Attachment: 378

A. Record of Votes 379


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https://www2.fgcu.edu/Trustees/AgendaFile/2017/12-08-2017/FGCUBOTMTG-AGENDAPACKET_12-8-2017.pdf

https://www2.fgcu.edu/Trustees/AgendaFile/2017/12-08-2017/FGCUBOTMTG-AGENDAPACKET_12-8-2017.pdf

https://www2.fgcu.edu/Trustees/AgendaFile/2017/12-08-2017/FGCUBOTMTG-HANDOUTS_12-8-2017.pdf

https://www2.fgcu.edu/Trustees/AgendaFile/2017/12-08-2017/FGCUBOTMTG-HANDOUTS_12-8-2017.pdf

Consent Agenda

(Tabs #1-2)

1- Priddy

2- Gable

2017-2022

FGCU Strategic

Plan as

amended

(Tab #3)

1- Gable

2- White

2017 FGCU Equity Report as

amended

(Tab #4)

1- Spilker

2- Gable

TRUSTEES Yes/No Yes/No Yes/No

1 Trustee Darleen Cors Yes Yes Yes

2 Trustee Joseph Fogg Yes Yes Yes

3 Trustee Blake Gable Yes Yes Yes

4 Trustee Mike McDonald Yes Yes Yes

5 Trustee Leo Montgomery Yes Yes Yes

6 Trustee Kevin Price Yes Yes Yes

7 Trustee Russell Priddy Yes Yes Yes

8 Trustee Robbie Roepstorff Yes Yes Yes

9 Trustee Kenneth Smith Yes Yes Yes

10 Trustee Christian Spilker Yes Yes Yes

11 Trustee Jalisa White Yes Yes Yes

12 Trustee Dudley Goodlette Yes Yes Yes

Record of Votes

FGCU Board of Trustees

DATE: 12/8/2017

1


19

1

ITEM: _ 2__


SUBJECT: Meeting Dates for 2018-2019 and 2019-2020


Approve meeting dates of FGCU Board of Trustees for the next two fiscal years.


The following regular and, as needed special (limited agenda), meeting dates for the Florida Gulf Coast University Board of Trustees are proposed as follows for the next two fiscal years (July 1, 2018 through June 30, 2019, and July 1, 2019 through June 30, 2020). Various deadlines of the Board of Governors will determine whether changes to the schedule, and the indicated special (limited agenda) meetings are needed.

2018-2019:

Tuesday, September 11, 2018 (Regular meeting)

Friday, December 7, 2018 (Special meeting with limited agenda if needed, including for the FGCU Annual Accountability Report for the Board of Governors)

Tuesday, January 8, 2019 (Regular meeting)

Tuesday, February 19, 2019 (Special meeting with limited agenda if needed, including for the FGCU Annual Accountability Report for the Board of Governors)

Tuesday, April 9, 2019 (Regular meeting)

Tuesday, May 7, 2019 (Special meeting with limited agenda if needed, including for the FGCU Work Plan for the Board of Governors)

Tuesday, June 11, 2019 (Regular meeting)

2019-2020:

Tuesday, September 10, 2019 (Regular meeting)

Friday, December 6, 2019 (Special meeting with limited agenda if needed, including for the FGCU Annual Accountability Report for the Board of Governors)

Tuesday, January 14, 2020 (Regular meeting)


20

2

Tuesday, February 18, 2020 (Special meeting with limited agenda if needed, including for the FGCU Annual Accountability Report for the Board of Governors)

Tuesday, April 14, 2020 (Regular meeting)

Tuesday, May 5, 2020 (Special meeting with limited agenda if needed, including for the FGCU Work Plan for the Board of Governors)

Tuesday, June 9, 2020 (Regular meeting) _______________________________________________________________ Supporting Documentation Included: N/A Prepared by: Vice President and Chief of Staff Susan Evans Legal Review: N/A Submitted by: Vice President and Chief of Staff Susan Evans


21

ITEM: __3__


SUBJECT: Minutes of December 14, 2017 Officers Nominating Committee

Meeting

PROPOSED ACTION FOR OFFICERS NOMINATING COMMITTEE

Approve minutes


The Florida Gulf Coast University Board of Trustees’ Officers Nominating Committee met on December 14, 2017. Minutes of the meeting were kept as statutorily required.

Supporting Documentation Included: Minutes of December 14, 2017 Officers Nominating Committee Meeting Prepared by: Transcription Experts, and Director of Operations Tiffany Reynolds Legal Review: N/A Submitted by: Vice President and Chief of Staff Susan Evans


22

1

FLORIDA GULF COAST UNIVERSITY BOARD OF TRUSTEES 1

2

OFFICERS NOMINATING COMMITTEE 3

4

Thursday, December 14, 2017 5

6

EDWARDS HALL, ROOM #309 7

Florida Gulf Coast University 8

9

Minutes 10

11

Members: 12 Present: Trustee Leo Montgomery - Chair; Trustee Kevin Price; and Trustee Russell 13

Priddy. 14

15

Others: 16 Staff: Vice President and Chief of Staff Susan Evans; Vice President and General 17

Counsel Vee Leonard; Project Manager Melissa Pind; and Director of Operations 18

Tiffany Reynolds. 19 20

21

Item 1: Call to Order 22

Chair Leo Montgomery called the meeting to order at 9:30 a.m. He said in accordance 23

with the Bylaws of the FGCU Board of Trustees, the meeting of the Officers Nominating 24

Committee was being held, and the members of the Committee had been appointed by 25

FGCU Board of Trustees Chair Dudley Goodlette. He added the meeting had been duly 26

noticed to the public seven days in advance and it was originating from Edwards Hall 27

Room 309. Roll call was taken with all members present, thus meeting quorum 28

requirements. 29

30

31

Item 2: Adoption of Recommended Slate for 2018-2020 Chair and Vice Chair 32

Officers of FGCU Board of Trustees 33

Chair Montgomery stated he would review Board Chair Goodlette’s charge to the 34

Committee, which was to develop a slate for the positions of Board Chair and Board 35

Vice Chair and present this recommended slate for the full Board’s consideration and 36

action at the January 9, 2018 meeting. 37

38

Chair Montgomery said before the Committee was a list of the members of the FGCU 39

Board of Trustees. He stated as Committee members considered trustees for the 40

positions of Chair and Vice Chair, he would review the primary responsibilities held by 41

the Board Chair – and thus held by the Vice Chair in the absence of the Chair. He said 42

the responsibilities included: 43

44


23

2

a. Lead the FGCU Board of Trustees in its role as the University’s governing 45

body, and work closely with President Mike Martin; 46

b. Preside over meetings of the FGCU Board of Trustees; 47

c. Serve as spokesperson for the FGCU Board of Trustees; 48

d. Represent the FGCU Board of Trustees at University, community, civic and 49

educational events; and 50

e. Represent the FGCU Board of Trustees with the Board of Governors, 51

including attendance at Board of Governors’ meetings during the year. 52

53

Chair Montgomery then called for any trustee comments or discussion. 54

55

Trustee Russell Priddy nominated Trustee Blake Gable for Board Chair, and Trustee 56

Robbie Roepstorff for Board Vice Chair. 57

58

Trustee Kevin Price agreed that this was a sound recommendation. He said Trustee 59

Roepstorff would bring good historical context. 60

61

Trustee Montgomery agreed with the nominations and called for a motion. 62

63

Trustee Priddy made a motion to recommend to the full Board Trustee Blake Gable for 64

the position of Board Chair, and Trustee Robbie Roepstorff for the position of Board 65

Vice Chair. Trustee Price seconded the motion. There was no public comment or 66

further Committee discussion. The vote was unanimous in favor of the motion. 67

68

69

Item 3: Adjourn 70

Chair Montgomery thanked members for their service on the Committee, and said he 71

looked forward to presenting the recommended slate of officers to the full Board for 72

action on January 9. 73

74

Chair Montgomery adjourned the meeting at 9:34 a.m. 75

76

77

78

79

80

Minutes prepared by Transcription Experts, and reviewed by Tiffany Reynolds, Director 81

of Operations. 82

83

Agenda Items: 84


2017/OFFICERSNOMINATINGCMTMTG_12-14-2017.pdf 86

87

88 Attachment: 89

A. Record of Votes 90


24

https://www2.fgcu.edu/Trustees/AgendaFile/2017/12-14-2017/OFFICERSNOMINATINGCMTMTG_12-14-2017.pdf

https://www2.fgcu.edu/Trustees/AgendaFile/2017/12-14-2017/OFFICERSNOMINATINGCMTMTG_12-14-2017.pdf

Adoption of Recommended

Slate for 2018-2020 Officers of

FGCU Board of Trustees with

Trustee Blake Gable as Chair,

and Trustee Robbie Roepstorff

as Vice Chair

1 - Priddy

2 - Price

TRUSTEES Yes/No

1 Trustee Kevin Price Yes

2 Trustee Russell Priddy Yes

3 Trustee Leo Montgomery Yes

Record of Votes

Officers Nominating Committee

DATE: 12/14/2017

1


25

ITEM: __4__


SUBJECT: Election of Chair and Vice Chair Board Officers


Elect Chair and Vice Chair of FGCU Board of Trustees


Chair Dudley Goodlette appointed Trustees Leo Montgomery as chair, and Trustees Kevin Price and Russell Priddy as members of an Officers Nominating Committee charged with adopting a recommended slate of Board Chair and Vice Chair officers for action by the full Board at its January 9, 2018 meeting. The Officers Nominating Committee met on December 14, 2017 and approved the following recommended slate of officers:

• For Chair of the FGCU Board of Trustees: Trustee Blake Gable

• For Vice Chair of the FGCU Board of Trustees: Trustee Robbie Roepstorff

Supporting Documentation Included: Letter from Committee Chair Leo Montgomery to Board Chair Dudley Goodlette Prepared by: Vice President and Chief of Staff Susan Evans Legal Review: N/A Submitted by: Officers Nominating Committee Chair Leo Montgomery


26


27

1

ITEM: __5__


SUBJECT: Suspension of Board Bylaws Provision on Term of Office for

Chair and Vice Chair


Suspend the BOT Bylaws provision on term of office for Chair and Vice Chair (IV.A., Officers), and substitute a term of office of January 9, 2018 through January 31, 2020 for the Chair and Vice Chair elected on January 9, 2018.


The Chair and Vice Chair officers of the FGCU Board of Trustees are scheduled to be elected by the Board on January 9, 2018. The FGCU Bylaws in Section IV. A., Officers state, “The term of office for Chair and Vice-Chair shall begin on February 1 and expire on the last day of January in the final year of said term.” Trustee Dudley Goodlette was elected by the Board as Chair, and Trustee Ken Smith was elected by the Board as Vice Chair. The applicable term of office is February 1, 2016 through January 31, 2018. Since Trustee Dudley Goodlette’s term on the FGCU Board of Trustees ends on January 6, 2018, there is a need to approve an earlier effective date for the new Chair. The FGCU Bylaws in Section XI., Miscellaneous Provisions, under E., Suspension of Bylaws, state, “Any provision of these Bylaws may be suspended in connection with the consideration of a matter before the Board by an affirmative majority vote of the members then serving.” As such, a majority vote of the Board can (1) suspend the Bylaws provision on term of office, and (2) substitute a term of office of January 9, 2018 through January 31, 2020 for the Chair and Vice Chair elected on January 9, 2018.


28

2

Supporting Documentation Included: N/A Prepared by: Vice President and Chief of Staff Susan Evans Legal Review: Vice President and General Counsel Vee Leonard (December 14, 2017) Submitted by: Vice President and Chief of Staff Susan Evans


29

ITEM: __6__


SUBJECT: Soar in 4 Results to Date


Information Only


The Florida Gulf Coast University Board of Trustees requested an update on FGCU’s Soar in 4 program, including results to date. A presentation will be made to provide information on the program.

Supporting Documentation Included: Soar in 4 Information Sheet Prepared by: Dean of Undergraduate Studies Dawn Kirby Legal Review: N/A Submitted by: Acting Provost and Vice President for Academic Affairs Bob Gregerson


30


31


32

ITEM: __7__


SUBJECT: Finance/Budget Update


Information Only


This report details the projected fiscal activities of the institution through the close of December 31, 2017.

Supporting Documentation Included: (1) Summary Memo, and (2) Finance/Budget Update Prepared by: Director of University Budgets David Vazquez Legal Review by: N/A Submitted by: Vice President for Administrative Services and Finance Steve Magiera


33

TO: FGCU Board of Trustees

FROM: Steve Magiera, Vice President for Administrative Services

SUBJECT: Finance Budget Update

DATE: January 9,2018

We are presenting to you the budget update projected through the end of

December 2017. We are now fifty percent complete for the fiscal year.

Revenues:

Total revenues have a positive variance of 1.43% which equates to approximately

$1.7 million.

There are two line items with a variance greater than five percent. The first is

Financial Aid Revenue (11.16% or approximately $1.5 million). When we develop

the budget in May, we do not know the financial need of our students. This

results in this line item usually having a variance greater than five percent. You

will see that the expenditures for Financial Aid/Scholarship are also larger than

expected (5.70% or approximately $.8 million). The second line in excess of five

percent is the Grant Associated Revenue. Grant revenue is also a difficult line to

budget due to the fact that grants are often awarded in September.

Expenditures:

Total expenditures have a positive variance of 2.49% which equates to

approximately $2.8 million.

There are three lines with a variance of greater than five percent. The first is

Other Personal Services (14.21% or approximately $.9 million). The main

difference is the fact that the University was closed for about a week during the

hurricane. The second line item is Capital Expenditures (68.00% or approximately

$1.6 million). Capital Expenditures do not follow a steady rate of expenditure.

Some projects are expected to be completed in the next couple of months. The

third item is Library Resources (42.47% or approximately $.5 million). The dollar

amount of the difference is rather small and this difference is expected to be a

timing difference.


34

Florida Gulf Coast University

Operating Budget Update

Fiscal Year 2017-2018

Grand Summary

Summary of Revenues

FY 16-17

Actual

Revenues

FY 17-18

Budgeted

Revenue

Budgeted

Revenue

Through

December

Projected

Revenue

Through

December

Projected

Variance

General Revenue 67,955,571 65,760,187 33,044,494 33,174,922 0.39%

Tuition & Fees 55,904,967 57,453,104 30,473,126 30,341,148 -0.43%

Lottery 7,684,070 6,383,204 - - -

Carryforward - 6,000,000 6,000,000 6,000,000 0.00%

Student Activity Revenue 4,217,663 4,236,983 2,107,899 2,178,696 3.36%

Athletic Revenue 10,882,836 11,870,840 3,798,669 3,902,349 2.73%

Concessions 302,000 335,000 117,250 112,019 -4.46%

Financial Aid Revenue 28,176,794 27,323,428 13,388,480 14,882,663 11.16%

Grant Associated Revenue 14,130,000 12,545,674 5,143,726 5,566,602 8.22%

Auxiliary Revenue 50,102,567 50,015,039 25,757,745 25,386,533 -1.44%

Summary of Revenues 239,356,468 241,923,459 119,831,389 121,544,932 1.43%

Summary of Expenditures

FY 16-17

Actual

Expenditures

FY 17-18

Budgeted

Expenditures

Budgeted

Expenditures

Through

December

Projected

Expenditures

Through

December

Projected

Variance

Salaries and Benefits 120,662,710 120,674,914 60,437,457 60,943,974 0.84%

Other Personal Services 12,732,160 13,200,906 6,585,453 5,649,392 -14.21%

General Expense 49,431,852 49,202,101 23,351,342 22,483,688 -3.72%

Capital Expenditures 2,474,609 5,181,297 2,354,616 753,520 -68.00%

Financial Aid/Scholarship 29,873,101 29,277,728 14,533,642 15,362,169 5.70%

Library Resources 1,881,341 2,202,431 1,211,337 696,924 -42.47%

Transfer to DSO 17,783,391 17,969,931 5,808,227 5,546,954 -4.50%

Summary of Expenditures 234,839,164 237,709,308 114,282,074 111,436,621 -2.49%

Page 1 of 4


35




General Revenue

Education and General (E&G) Revenue

FY 16-17

Actual

Revenues

FY 17-18

Budgeted

Revenue

Budgeted

Revenue

Through

December

Projected

Revenue

Through

December

General Revenue 67,955,571 65,760,187 33,044,494 33,174,922

Tuition & Fees 55,904,967 57,453,104 30,473,126 30,341,148

Lottery 7,684,070 6,383,204 - -

Carryforward - 6,000,000 6,000,000 6,000,000

Total E&G Revenue 131,544,608 135,596,495 69,517,620 69,516,070

E&G Expense

FY 16-17

Actual

Expenditures

FY 17-18

Budgeted

Expenditures

Budgeted

Expenditures

Through

December

Projected

Expenditures

Through

December

Salaries and Benefits 95,246,394 95,241,572 47,720,786 48,117,474

Other Personal Services 7,136,413 8,353,442 4,176,721 3,131,146

General Expense 25,265,655 25,173,182 11,327,932 9,829,211

Capital Expenditures 1,849,805 4,397,187 2,198,594 559,500

Financial Aid/Scholarship 165,000 228,681 102,906 126,198

Library Resources 1,881,341 2,202,431 1,211,337 696,924

Total E&G Expenditures 131,544,608 135,596,495 66,738,276 62,460,452

Page 2 of 4


36




Student Related Activities

Local Fund Revenues

FY 16-17

Actual

Revenues

FY 17-18

Budgeted

Revenue

Budgeted

Revenue

Through

December

Projected

Revenue

Through

December

Student Activity Revenue 4,217,663 4,236,983 2,107,899 2,178,696

Athletic Revenue 10,882,836 11,870,840 3,798,669 3,902,349

Concessions 302,000 335,000 117,250 112,019

Financial Aid Revenue 28,176,794 27,323,428 13,388,480 14,882,663

Total Local Fund Revenues 43,579,293 43,766,251 19,412,297 21,075,727

Student Activities

FY 16-17

Actual

Expenditures

FY 17-18

Budgeted

Expenditures

Budgeted

Expenditures

Through

December

Projected

Expenditures

Through

December

Salaries and Benefits 1,100,308 1,218,046 609,023 610,241

Other Personal Services 764,463 701,901 335,951 291,810

General Expense 1,972,240 2,090,865 731,803 987,669

Total Student Activities Expenditures 3,837,011 4,010,812 1,676,776 1,889,721

Intercollegiate Athletics


Other Personal Services 952,465 1,150,725 575,363 438,146

General Expense 3,285,529 3,580,359 1,897,590 1,860,031

Capital Expenditures 100,000 100,100 20,020 15,637

Financial Aid/Scholarship 1,737,500 1,647,500 873,175 843,672

Total Intercollegiate Athletics Expenditures 10,882,836 11,870,840 6,062,226 5,795,520

Concessions

FY 16-17

Actual

Expenditures

FY 17-18

Budgeted

Expenditures

Budgeted

Expenditures

Through

December

Projected

Expenditures

Through

December

General Expense 170,000 191,600 86,220 74,614

Total Concession Expenditures 170,000 191,600 86,220 74,614

Financial Aid

Other Personal Services 355,000 300,000 150,000 144,333

Financial Aid/Scholarship 27,542,816 27,193,047 13,460,558 14,308,363

Total Financial Aid Expenditures 27,897,816 27,493,047 13,610,558 14,452,696

Student Related Expenditures

FY 16-17

Actual

Expenditures

FY 17-18

Budgeted

Expenditures

Budgeted

Expenditures

Through

December

Projected

Expenditures

Through

December

Salaries and Benefits 5,907,650 6,610,202 3,305,101.00 3,248,275

Other Personal Services 2,071,928 2,152,626 1,061,313 874,289

General Expense 5,427,769 5,862,824 2,715,613 2,922,314


Financial Aid/Scholarship 29,280,316 28,840,547 14,333,733 15,152,035

Total Student Related Expenditures 42,787,663 43,566,299 21,435,780 22,212,551

Page 3 of 4


37




Grant and Auxiliary Activities

Grant and Auxiliary Revenue

FY 16-17

Actual

Revenues

FY 17-18

Budgeted

Revenue

Budgeted

Revenue

Through

December

Projected

Revenue

Through

December

Grant Associated Revenue 14,130,000 12,545,674 5,143,726 5,566,602

Auxiliary Revenue 50,102,567 50,015,039 25,757,745 25,386,533

Total Grant and Auxiliary Revenues 64,232,567 62,560,713 30,901,471 30,953,135

Grant Activities

FY 16-17

Actual

Expenditures

FY 17-18

Budgeted

Expenditures

Budgeted

Expenditures

Through

December

Projected

Expenditures

Through

December


Other Personal Services 1,400,167 399,071 199,536 559,488

General Expense 4,500,846 4,495,000 2,472,250 2,687,146


Scholarships 427,785 200,000 90,000 77,648

Total Grant Activities Expenditures 14,120,582 12,495,674 6,340,087 6,658,969

Auxiliary Activities



General Expense 14,237,582 13,671,095 6,835,548 7,045,017


Scholarships - 8,500 7,002 6,288

Transfer to DSO 17,783,391 17,969,931 5,808,227 5,546,954

Total Auxiliary Activities Expenditures 46,386,311 46,050,840 19,767,931 20,104,648

Grant & Auxiliary Activities

FY 16-17

Actual

Expenditures

FY 17-18

Budgeted

Expenditures

Budgeted

Expenditures

Through

December

Projected

Expenditures

Through

December



General Expense 18,738,428 18,166,095 9,307,798 9,732,162


Financial Aid/Scholarship 427,785 208,500 97,002 83,936

Transfer to DSO 17,783,391 17,969,931 5,808,227 5,546,954

Total Grant & Auxiliary Expenditures 60,506,893 58,546,514 26,108,018 26,763,617

Page 4 of 4


38

ITEM: __8___


SUBJECT: Block Tuition


Information Only


The Florida Legislature has filed two bills that are identical and they establish the “Florida Excellence in Higher Education Act of 2018” to help students access higher education and graduate on time. The bills require each state university board of trustees to adopt, for implementation in the fall 2018 semester, a block tuition policy for full-time, first-time-in-college students. Each block tuition policy must, at a minimum:

Include block tuition and any required fees; Require the university to maximize the application of appropriate

acceleration credits; Enable students to have the flexibility to earn at least 30 credits in

any combination of fall, spring, and summer academic semesters or terms; and

Requires each state university BOT to submit to the BOG its block tuition policy by April 1, 2018, along with information on the potential impact of such policy on students.

Supporting Documentation Included: Block Tuition Impact Analysis Fall 2017 Prepared by: Director of University Budgets David Vazquez Legal Review by: N/A Submitted by: Vice President for Administrative Services and Finance Steve Magiera


39

Number

of Hours Tuition Fees Total

12 (5,135,124) (2,361,348) (7,496,472)

13 (2,127,090) (978,127) (3,105,217)

14 880,944 405,096 1,286,040

15 3,888,979 1,788,316 5,677,295


Block Tuition Impact Analysis

Summary of Revenue Changes at Various Price Points

Based on Fall 2017


40

ITEM: __9__


SUBJECT: Transcript of Executive Session of January 12, 2016

PROPOSED BOARD ACTION For Information Only

BACKGROUND INFORMATION On January 12, 2016, the Florida Gulf Coast University Board of Trustees met in Executive Session regarding Sidney Rockoff vs. Florida Gulf Coast University Board of Trustees, Lakshmi Gogate vs. Florida Gulf Coast University Board of Trustees, and E. Valerie Smith vs. Florida Gulf Coast University, Florida Gulf Coast University Board of Trustees. As the aforementioned litigation cases were concluded, the related transcripts were presented and made a part of the public record. However, this transcript was inadvertently excluded when the other transcripts were released. It is now being presented to also be made a part of the public record.

Supporting Documentation Included: Transcript of Executive Session of January 12, 2016 Prepared by: Von Ahn Associates, Inc. Legal Review by: N/A Submitted by: Vice President and General Counsel Vee Leonard


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GC310778


42

GC310778


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GC310778


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GC310778


45

GC310778


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1

ITEM: __10___


SUBJECT: Florida Gulf Coast University Financing Corporation

Independent Auditor’s Report Fiscal for the Year Ending June 30, 2017


On recommendation by the Audit and Compliance Committee, accept the Florida Gulf Coast University Financing Corporation Independent Auditor’s Report for the Fiscal Year Ended June 30, 2017.


Each direct support organization of a state university is required to conduct an annual audit of its accounts and records by an independent certified public accountant in accordance with Section 1004.28(5) Florida Statutes. FGCU Rule 6C-10-1.005(6), F.A.C. requires that annual audit reports related to FGCU direct support organizations be submitted to the FGCU Board of Trustees. The firm of Tuscan & Company, P.A. has completed the audit report of the FGCU Financing Corporation for fiscal year ending June 30, 2017. The Corporation’s Board of Directors approved the audit report at its October 2, 2017 meeting. The report is presented to the FGCU Board of Trustees for acceptance. Upon acceptance, the report will be forwarded to the Florida Auditor General as required by law.

Supporting Documentation Included: (1) Summary Memo, and (2) FGCU Financing Corporation Independent Auditor’s Report Fiscal Year Ended June 30, 2017 Prepared by: Director of Internal Audit William Foster Legal Review by: N/A Submitted by: Audit and Compliance Committee Chair Joseph Fogg III


48

TO: FGCU Board of Trustees Audit and Compliance Committee FROM: William Foster, Director of Internal Audit SUBJECT: Annual Audit, Florida Gulf Coast University Financing Corporation DATE: December 8, 2017 Below is a summary of the key points in the Financial Audit of the Florida Gulf Coast University Financing Corporation. Page 2 – Opinion – The auditors have determined the financial statements fairly present the financial position of the Financing Corporation. This is known as a clean opinion. Pages 4 through 9 - Management’s Discussion and Analysis – This is the section where Management describes in reader friendly terms what occurred in the last fiscal year. This section points out major transactions, and presents comparative figures from the prior year. Page 10 – Statement of Net Position – Years ago, this statement was known as the Balance Sheet. At year end, we had $228 million of total assets, $203 million total liabilities and net position (residual equity) $25 million. Page 11 – Statement of Revenues, Expenses and Changes in Net Position – This statement was formerly known as an Income Statement. For the year, we had $18 million in operating revenue, $14 million operating expenses, and $10 million non-operating expenses (primarily the $5.7 million transfer of the solar facility to the university and $1.4 million increased transfers to the university for on-going housing improvement costs), arriving at a net decrease in position of $6 million. Page 12 – Statement of Cash Flows – This statement shows the effects to cash from the financial transactions. The net effect is a $25,000 decrease in cash and cash equivalents for the year. Pages 13 through 24 - Notes to the Financial Statements – There is a significant amount of information to explain the various line items in the financial statements. Compared to Management’s Discussion and Analysis, these notes are not necessarily as reader friendly. Pages 25 and 26 – Auditor’s Report on Internal Control and Compliance – This report on internal control relates financial reporting and compliance with Government Auditing Standards. There were no deficiencies in internal controls noted. Pages 27 and 28 – Auditor’s Report to Management - There were no comments in the current or prior years.


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59


60


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63


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67


68


69


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ITEM: __11___


SUBJECT: Florida Gulf Coast University Foundation Independent

Auditor’s Report for the Fiscal Year Ending June 30, 2017


On recommendation by the Audit and Compliance Committee, accept the Florida Gulf Coast University Foundation, Inc. Independent Auditor’s Report for the Fiscal Year Ending June 30, 2017.


Each direct support organization of a state university is required to conduct an annual audit of its accounts and records by an independent certified public accountant in accordance with Section 1004.28(5), Florida Statutes. FGCU-PR1.005 (6) requires that annual reports related to FGCU direct support organizations be submitted to the FGCU Board of Trustees. The firm of CliftonLarsonAllen, LLP has completed the audit report of the Foundation for fiscal year ending June 30, 2017. The Foundation’s Board of Directors approved the audit at its December 6, 2017 meeting. The report is presented to the Florida Gulf Coast University Board of Trustees for acceptance. Upon acceptance, the report will be forwarded to the Florida Auditor General as required by law.

Supporting Documentation Included: (1) Summary Memo, and (2) FGCU Foundation, Inc. Independent Auditor’s Report Fiscal Year Ending June 30, 2017 Prepared by: Director of Internal Audit William Foster Legal Review by: N/A Submitted by: Audit and Compliance Committee Chair Joseph Fogg III


82

TO: FGCU Board of Trustees Audit and Compliance Committee FROM: William Foster, Director of Internal Audit SUBJECT: Annual Audit, Florida Gulf Coast University Foundation, Inc. DATE: December 8, 2017 Below is a summary of the key points in the Financial Audit of the Florida Gulf Coast University Foundation, Inc. Page 2 – Opinion – The auditors have determined the financial statements fairly present the financial position of the Foundation. This is known as a clean opinion. Pages 4 through 11 - Management’s Discussion and Analysis – This is the section where Management describes in reader friendly terms what occurred in the last fiscal year. This section points out major transactions, and presents comparative figures from the prior year. Page 12 – Statement of Net Position – Years ago, this statement was known as the Balance Sheet. At year end, there were $127 million of total assets, $3 million total liabilities and net position (residual equity) $124 million. Page 13 – Statement of Revenues, Expenses and Changes in Net Position – This statement was formerly known as an Income Statement. For the year, we had $14 million in operating revenue, $17 million operating expenses, and $10 million net non-operating revenue (primarily $9 million in investment gains), and $6 million net contributions to endowments, arriving at a $13 million increase in net position. Pages 14 and 15– Statement of Cash Flows – This statement shows the effects to cash from the financial transactions. The net effect is an $893,000 increase in cash and cash equivalents for the year. Pages 16 through 31 - Notes to the Financial Statements – There is a significant amount of information to explain the various line items in the financial statements. Compared to Management’s Discussion and Analysis, these notes are not necessarily as reader friendly. Pages 32 through 42 – Supplementary Information – This section of the report includes additional required State schedules and also provides a breakdown of the financial statements by account type. Pages 43 and 44 – Auditor’s Report on Internal Control and Compliance– This report on internal control relates financial reporting and compliance with Government Auditing Standards. There were no deficiencies in internal controls noted.


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1

ITEM: __12___


SUBJECT: Regulation FGCU-PR-TBA Code of Ethics


On recommendation by the Audit and Compliance Committee, approve the Regulation on the Code of Ethics as amended. Additionally, Chief Compliance and Ethics Officer Stacey Chados recommends the following two minor changes to the Regulation:

At Section D4a, delete the word “Directors.”

At Section D5b, delete the words “Assistant or Deputy Directors.”

As amended, Section D4a would state the following: Lobbying. The President, Vice Presidents, and Deans of FGCU are prohibited from being compensated for personally representing another person or entity before the University for a period of 2 years after leaving their position, unless employed by another Agency of state government. As amended, Section D5b would state the following: The President, Vice Presidents, Director of Internal Audit, Chief Compliance and Ethics Officer, Deans, and Directors of certain University offices and programs, as well as business managers and Purchasing Agents with the authority to make a purchase exceeding the threshold amount provided for in Florida Statute 287.017 for CATEGORY ONE, must file a Statement of Financial Interests with the Florida Commission on Ethics [Section 112.3145, Fla. Stat.]


The Code of Ethics Regulation summarizes information contained in the Code of Ethics for Public Officers and Employees codified in the Florida Statutes (Chapter 112, Part III), and is intended to ensure that FGCU employees conduct themselves in the best interest of the University and do not use their University position for personal gain other than compensation provided by law.


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2

Supporting Documentation Included: Regulation FGCU-PR-TBA Code of Ethics Prepared by: Chief Compliance and Ethics Officer Stacey Chados Legal Review by: Vice President and General Counsel Vee Leonard (December 8, 2017) Submitted by: Chief Compliance and Ethics Officer Stacey Chados


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GC314547

FLORIDA GULF COAST UNIVERSITY

NOTICE OF REGULATORY ACTION

REGULATION TITLE:

Code of Ethics

REGULATION NO:

FGCU-PR TBA

SUMMARY:

The proposed new regulation was drafted to inform University employees of expectations as to

their ethical behavior as public officers and employees.

FULL TEXT:

The full text of the regulation being proposed is attached and can also be found at

http://www.fgcu.edu/generalcounsel/promulgation.asp

AUTHORITY:

Chapter 112, Florida Statutes, FGCU-PR5.010, and FGCU Policy 1.012

OFFICIAL INITIATING THE PROPOSED/REVISED REGULATION:

Stacey Chados, Chief Compliance and Ethics Officer

UNIVERSITY OFFICIAL APPROVING THE PROPOSED/REVISED REGULATION:

Michael V. Martin, President

CONTACT INFORMATION REGARDING THE PROPOSED/REVISED REGULATION:

Mary Kline, Executive Assistant

Office of the General Counsel

10501 FGCU Blvd. S., Fort Myers, FL 33965-6565

(P): 239.590.1101 | (F): 239.590.7470 | Email: [email protected]

Any person may submit written comments concerning a proposed regulation, amendment,

or repeal to the contact person identified above within 14 days after the date this notice was

posted. The comment(s) must identify the regulation to which you are commenting.

THIS NOTICE WAS POSTED ON THE FGCU WEBSITE ON DECEMBER 8, 2017


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http://www.fgcu.edu/generalcounsel/promulgation.asp

mailto:[email protected]

REGULATION: FGCU-PR TBA

Code of Ethics

Effective Date

of Regulation:

New

Florida Gulf Coast University Page 1 of 7

FGCU-PR TBA Ethics

GC295297_8

A. GENERAL STATEMENT

Florida Gulf Coast University (FGCU) is firmly committed to fair and ethical behavior,

and as such, prescribes to the Code of Ethics for Public Officers and Employees, adopted

by the Legislature as Part III of Chapter 112, Florida Statutes. The ethics laws generally

consist of two types of provisions, those prohibiting certain actions or conduct and those

requiring that certain disclosures be made to the public. This Code of Ethics is intended

to ensure that University employees conduct themselves independently, impartially, and

in the best interest of the University; and do not use their University position for personal

gain other than compensation provided by law.

B. COVERAGE

The laws summarized below apply to the President, Vice Presidents, Deans, Directors,

Faculty, and Staff, hereinafter referred to as the employees of the University. The

descriptions of these laws have been simplified to provide employees with a brief

notification of the requirements. Employees should consult the full citation of the law

and/or University policy [as shown in the brackets below]; or the University’s Vice

President and General Counsel or Chief Compliance and Ethics Officer for clarification,

as necessary.

This Code of Ethics applies to all University employees and is complemented by FGCU’s

Code of Conduct. The FGCU Board of Trustees also has a Code of Ethics.

C. DEFINITIONS

1. Agency: means any state, regional, county, local, or municipal government entity of

Florida, including a state University.

2. Business Entity: means any corporation, partnership, limited partnership, company,

limited liability company, proprietorship, firm, enterprise, franchise, association, self-

employed individual, or trust, whether fictitiously named or not, doing business in

Florida.

3. Conflict or Conflict of Interest: means a situation in which regard for a private

interest tends to lead to disregard of a public duty or interest.


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FGCU-PR TBA Ethics

GC295297_8

4. Gift: means a tangible or intangible item that is paid for or given to an employee, or

to any other person on his/her behalf, by a person or entity that either does or seeks to

do business with FGCU, for which equal or greater consideration is not given within

90 days of receipt of the gift. Gift, for purposes of ethics in government and financial

disclosure required by law, is further defined in Section 112.312 (12) (a), (b) Fla.

Stat., also available at the following link:

http://www.leg.state.fl.us/statutes/index.cfm?App_mode=Display_Statute&Search_St

ring=&URL=0100-0199/0112/Sections/0112.312.html

5. Honorarium: means a payment of money or anything of value given to an employee,

directly or indirectly, as consideration for a speech or other oral presentation or for

any writing other than a book that has been published or is intended to be published.

6. Material Interest: means direct or indirect ownership of more than five (5) percent of

the total assets or capital stock of any Business Entity.

7. Purchasing Agent: means a University employee having the authority to commit the

expenditure of funds through a contract for, or the purchase of, any goods, services,

or interest in real property for FGCU, as opposed to the authority to request or

requisition a contract or purchase by another person.

8. Relative: means an individual who is related to an employee as father, mother, son,

daughter, brother, sister, uncle, aunt, first cousin, nephew, niece, husband, wife,

father-in-law, mother-in-law, son-in-law, daughter-in-law, brother-in-law, sister-in-

law, stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half-

brother, half-sister, or any other person having the same legal residence as the

employee.

D. CODE OF ETHICS FOR UNIVERSITY EMPLOYEES

1. Prohibited Actions or Conduct

a. Solicitation or Acceptance of Gifts and Honoraria

1) You may not solicit, directly or indirectly, any Gift or Honorarium for

personal benefit from a person or entity that does or seeks to do business

with FGCU. [FGCU Policy 1.012 (V) (A)]

2) You may not accept a Gift or Honorarium with a value greater than one

hundred dollars ($100) for personal benefit when acceptance gives the

appearance of influencing your objectivity with respect to University

business. [FGCU Policy 1.012 (V) (B)]

3) If you file a Statement of Financial Interests with the Florida Commission

on Ethics or serve as a Purchasing Agent on behalf of FGCU, you may not

accept a Gift or an Honorarium worth more than $100 from a political


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http://www.leg.state.fl.us/statutes/index.cfm?App_mode=Display_Statute&Search_String=&URL=0100-0199/0112/Sections/0112.312.html

http://www.leg.state.fl.us/statutes/index.cfm?App_mode=Display_Statute&Search_String=&URL=0100-0199/0112/Sections/0112.312.html


FGCU-PR TBA Ethics

GC295297_8

committee, lobbyist, or vendor doing business with FGCU. [Sections

112.3148 and 112.3149, Fla. Stat.]


on Ethics or serve as a Purchasing Agent on behalf of FGCU, you may

accept a Gift valued at more than $25 but not exceeding $100 from a

lobbyist, political committee, or vendor doing business with FGCU.

However, the donor (the person who gives you the Gift) must report the

Gift on Commission on Ethics Form 9 (Quarterly Gift Disclosure) by the

last day of the quarter for Gifts given in the preceding quarter, and the

donor must inform you that the Gift will be disclosed. [Section

112.3148(6), Fla. Stat.]


on Ethics or serve as a Purchasing Agent on behalf of FGCU; and if you

receive a payment for expenses related to an Honorarium event from

someone who is prohibited from giving you an Honorarium, you must

disclose on Commission on Ethics Form 10 (Annual Disclosure of Gifts

from Governmental Entities and Direct Support Organizations and

Honorarium Event Related Expenses), the name, address, and affiliation of

the donor, the amount of the expenses, the date of the event, and the total

value of the expenses. The donor paying the expenses must provide you

with a statement about the expenses within 60 days of the Honorarium

event, and the statement should be attached to the Form 10. [Section

112.3149(6), Fla. Stat.]

6) The decision to accept a Gift which is made for tax deductible purposes

shall be made by the University Foundation. The decision to accept any

other Gifts to the University shall be made in consultation with

administration of the relevant University component and the University

Foundation. [FGCU Policy 1.012 (V) (D)]

b. Unauthorized Compensation

You, as well as your spouse and minor child, are prohibited from accepting

any compensation, payment, or thing of value when you know or, with the

exercise of reasonable care should know, that the unauthorized compensation

is given to you or your spouse or minor child, to influence your vote or other

official action. [Section 112.313(4), Fla. Stat.]

c. Misuse of Public Position

You may not use or attempt to use your FGCU position, or the resources

thereof, to obtain a special privilege or benefit for yourself or others. [Section

112.313(6), Fla. Stat.]


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FGCU-PR TBA Ethics

GC295297_8

d. Disclosure or Use of Certain Information

You may not disclose or use information not available to the public and

obtained by reason of your FGCU position for the personal benefit of yourself

or others. [Section 112.313(8), Fla. Stat.]

2. Prohibited Employment and Business Relationships

a. Doing Business with FGCU. You may not rent, lease, or sell any realty,

goods, or services to FGCU while acting in your private capacity. In addition,

if you serve as a Purchasing Agent on behalf of FGCU, you may not purchase,

rent, or lease any realty, goods, or services for the University from a Business

Entity in which you or your spouse or child owns a Material Interest.

[Section 112.313(3), Fla. Stat.]

b. Conflicting Employment or Contractual Relationship. You may not be

employed by, or hold a contract with, any Business Entity or Agency doing

business with FGCU. In addition, you may not hold any employment or

have a contractual relationship which poses a frequently recurring conflict

between your private interests and your FGCU duties, or which impedes the

full and faithful discharge of your FGCU duties. [Section 112.313(7), Fla.

Stat.]

c. The conflicts discussed in the preceding paragraph may not apply when:

1) The business is rotated among all qualified suppliers within a city or

county.

2) The contract is awarded by sealed, competitive bidding to the lowest or

best bidder and neither you nor your spouse or child, participated in or

influenced the determination of the bid specifications or the lowest or best

bidder.

3) An emergency purchase must be made to protect the public.

4) The aggregate of any such transactions does not exceed $500 in a calendar

year. [Section 112.313(12), Fla. Stat.]

3. Restrictions on Employing and Contracting with Relatives

a. Nepotism. Employment of Relatives at FGCU is permitted, provided there is

no direct supervisory responsibility between related persons and the functions

of their positions do not create a Conflict of Interest. You are considered to be

in the direct supervisory line of a Relative even when you are separated by

intermediary positions within the chain of command. [Section 112.3135, Fla.

Stat.; FGCU-PR5.010]


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FGCU-PR TBA Ethics

GC295297_8

b. Ownership Interest. You are prohibited from procuring contractual services

on behalf of FGCU from a Business Entity in which a Relative is an officer,

partner, director, or proprietor, or in which you, your spouse, or child owns a

Material Interest. [Section 112.3185(6), Fla. Stat.]

4. Post Employment Restrictions

a. Lobbying. The President, Vice Presidents, Deans and Directors of FGCU are

prohibited from being compensated for personally representing another person

or entity before the University for a period of 2 years after leaving their

position, unless employed by another Agency of state government. [Section

112.313(9), Fla. Stat.]

b. Lifetime Representational Ban. Once you leave FGCU, you are prohibited

from having an employment or contractual relationship with any Business

Entity (other than a public Agency) in connection with a contract for services

in which you participated personally and substantially through decision,

approval, disapproval, recommendation, rendering of advice, or investigation,

while an FGCU employee. However, if your position is eliminated and your

duties are subsequently performed by the Business Entity, under certain

conditions you may enter into an employment or contractual relationship with

the Business Entity, if the President provides a written determination that the

best interests of FGCU will be served. [Section 112.3185(3), Fla. Stat.]

c. Two Year Representational Ban. For two years after you leave FGCU, you

are prohibited from having an employment or contractual relationship with

any Business Entity (other than a public Agency) in connection with a

contract for services that was within your responsibility while serving as an

FGCU employee. However, if your position is eliminated and your duties are

subsequently performed by the Business Entity, this subsection may be

waived if the President provides a written determination that the best interests

of FGCU will be served. [Section 112.3185(4), Fla. Stat.]

d. Contractual Services to FGCU. If you terminate employment from FGCU (by

retiring or resigning from your position) and then return under a contractual

arrangement, you are prohibited during your first year after leaving FGCU

from being paid more than the annual salary you received at the time of your

termination. This subsection may be waived if the President determines that

such waiver will result in significant time or cost savings to FGCU. [Section

112.3185(5), Fla. Stat.]


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FGCU-PR TBA Ethics

GC295297_8

5. Public Disclosure of Financial Interests

a. Overview

Conflicts of Interest can occur when you make decisions in your capacity as a

University employee that affect your personal financial interests. To

demonstrate transparency and avoid Conflicts of Interest, certain University

officials and employees must file a Statement of Financial Interests with the

Florida Commission on Ethics. The disclosure process serves to remind you

of the obligation to put your University employment above personal gain. It

also helps citizens to monitor the considerations of employees who participate

in University policy decisions encumbering and expending tax dollars.

b. Who Must File

The President, Vice Presidents, Director of Internal Audit, Chief Compliance

and Ethics Officer, Deans, Directors, and Assistant or Deputy Directors of

each University office or program, as well as business managers and

Purchasing Agents with the authority to make a purchase exceeding the

threshold amount provided for in Section 287.017, Fla. Stat. for CATEGORY

ONE, must file a Statement of Financial Interests with the Florida

Commission on Ethics. [Section 112.3145, Fla. Stat.]

c. What Must Be Disclosed

The disclosure requirements are set forth fully on the Commission on Ethics

Form 1, Statement of Financial Interests. In general, you are required to

report the name of your employer(s), addresses of real property holdings, and

certain relationships with, and ownership interests in, specified types of

businesses such as banks, insurance companies, and utility companies.

Although you will provide specific information about your income, real and

personal property, and business arrangements, you are not required to disclose

any dollar amounts. [CE Form 1, Statement of Financial Interests]

d. When Must an Employee File

You must file an initial financial disclosure report within 30 days of your

appointment or the beginning of your employment. Thereafter, you must file

an annual financial disclosure report by July 1 following each calendar year in

which you held the position. Finally, you must file a final financial disclosure

report within 60 days of leaving your position. [Section 112.3144, Fla. Stat.]

E. PENALTIES


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FGCU-PR TBA Ethics

GC295297_8

Violation(s) of this Regulation could subject you to progressive and cumulative discipline

as outlined in the University’s Regulation on Disciplinary Actions or in the Collective

Bargaining Agreement, as applicable. In addition, the State of Florida could subject you

to civil fines and punishment as contained in Section 112.317, Florida Statutes, as well as

a fine for failing to timely file a Statement of Financial Interests with the Florida

Commission on Ethics as contained in Section 112.3144, Florida Statutes.

Action by Florida Gulf Coast University Board of Trustees

Approved: _____________________

Specific Authority

Sections 112.312 (12) (a) & (b), 112.313(6), 112.3135, 112.3144, 112.3145, 112.3148,

112.3149, 112.3185(3), 112.3185(4), 112.3185(5), 112.313(9), Fla. Stat.;

FGCU-PR5.010, Nepotism, FGCU Policy 1.012, Gifts and Honoraria

History of Regulation

New

Effective Date of Regulation

___________________


140

ITEM: __13___


SUBJECT: Code of Conduct


On recommendation by the Audit and Compliance Committee, approve the Code of Conduct.


The Code of Conduct serves as the foundation of an effective compliance and ethics program. The Code reiterates the University’s mission, vision, and guiding principles and articulates the values the University wishes to foster in its leaders and employees. The Code serves as a guidance document to support day-to-day decision-making; empowers employees to handle ethical dilemmas, helps employees locate policies and regulations, and provides employees with a list of resource references to ask questions or bring forward good-faith concerns without fear of retaliation.

Supporting Documentation Included: FGCU Code of Conduct Prepared by: Chief Compliance and Ethics Officer Stacey Chados Legal Review by: Vice President and General Counsel Vee Leonard (August 16, 2017) Submitted by: Chief Compliance and Ethics Officer Stacey Chados


141

FGCU CODE OF CONDUCT 1

SOAR WITH INTEGRITY

CONDUCTCODE OF


142

2 FGCU CODE OF CONDUCT

TABLE OF CONTENTS

Vision, Mission, and Guiding Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4,5FGCU’s Code of Conduct . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6Your Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7Principles of Ethics and Integrity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Ethical Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Respect for Others . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Compliance with Laws . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 ConflictsofInterest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Gifts and Honoraria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 Outside Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 Academic Freedom . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Responsible Conduct in Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Accurate Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 Records Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 Email,Internet,andInformationSystems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 EnvironmentalHealthandSafety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Sustainability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 Substance Abuse . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18Seeking Guidance and Reporting Concerns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19,20 EthicsPoint Hotline . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 No Retaliation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22


143


A MESSAGE FROM THE PRESIDENT

W etakeseriouslyourresponsibilitytoprepareourstudentsforgainfulemploymentandsuccessfullivesasresponsible,civicallyengaged,andenvironmentallyconsciouscitizens.Weupholdourfiduciaryresponsibilitytobegoodstewardsof

the public funds we receive to conduct our operations . We pride ourselves on a diverse and inclusive culture that embraces learning and fosters trust, whileconcurrentlyremaininginquisitive.WesuccessfullyforgepartnershipswiththesouthwestFloridabusinesscommunity.Wepracticeandpromoteenvironmentalsustainability.Wepossessthecapabilities,skills,passion,and expertise to help our students achieve better lives .

However,noneofthismattersunlesswedoitintherightway.Themannerin which we conduct our operations, meet our obligations, and show respect for one another matters . How we behave and treat one another and make decisionsmatters.ThatiswherethisCodeofConductcomesintoplay.ThisCode of Conduct serves as the foundation for our unwavering commitment toactingwithintegrity,displayingethicalconduct,andcomplyingwithlaws,regulations,rules,policies,andprocedures.TheCodeholdsyoutothehighestethicalstandards,assistsyouwithrecognizingandresolvingethicalissuesthatariseintheworkplace,andencouragesyoutoaskquestionsandraiseconcernswithoutfearofretaliation.TheCodeassistsyouwithmakingdecisionsthatareinthebestinterestofourUniversityandalignwithourVision, Mission, and Guiding Principles .

PleasejoinmeinsustainingaUniversityenvironmentwhereweareproudtowork,whereweknowwehavedonetherightthingbyactinghonestlyandtreatingeachotherandourstudentsfairlyandwithdignityandrespect.

Together,wecansoarwithintegrity.

Sincerely,

Michael V . Martin, Ph .D . President,FloridaGulfCoastUniversity #GoEagles


144

Florida Gulf Coast University, a comprehensive institution of higher education, offers undergraduate and graduate degree programs of strategic importance to Southwest Florida and beyond.

FGCU seeks academic excellence in the development of selected programs and centers of distinction in science, technology, engineering and mathematics (STEM) disciplines, health professions, business, and marine and environmental sciences.

Outstanding faculty and staff supported by a strong community of advisors prepare students for gainful employment and successful lives as responsible, productive and engaged citizens.

FGCU emphasizes innovative, student-centered teaching and learning, promotes and practices environmental sustainability, embraces diversity, nurtures community partnerships, values public service, encourages civic responsibility, and cultivates habits of lifelong learning and the discovery of new knowledge.

MISSION

Florida Gulf Coast University will achieve national prominence in offering exceptional value in high-quality educational programs that address regional and statewide needs. Our programs, firmly grounded in the liberal arts and sciences, will employ emerging instructional technologies. Possessing an entrepreneurial spirit, graduates will be well prepared for productive lives as civically engaged and environmentally conscious citizens with successful careers, ready to pursue further education.

VISION



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GUIDING PRINCIPLES

STUDENT SUCCESS is at the center of all University endeavors.

ACADEMIC FREEDOM is the foundation for the transmission and advancement of knowledge.

DIVERSITY is a source of renewal and vitality.

INFORMED AND ENGAGED CITIZENS are essential to the creation of a civil and sustainable society.

SERVICE TO SOUTHWEST FLORIDA, including access to the University, is a public trust.

TECHNOLOGY IS A FUNDAMENTAL TOOL in achieving educational quality, efficiency, and distribution.

CONNECTED KNOWING AND COLLABORATIVE LEARNING are basic to being well educated.

ASSESSMENT OF ALL FUNCTIONS is necessary for improvement and continual renewal.



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FGCU’S CODE OF CONDUCT

FGCU’s Code of Conduct isdesignedtohelpyourecognizeandresolvecompliance and ethics issues.TheCodeprovidesgeneral information and practical advice about behavior expectations, and it highlights some of the FGCU policies and regulationsyoumustfollow.TheCodecontainslinksto informational resources andprovidesyouwithalistofemployeestowhomyoumaybringforwardaquestionorconcern.ConsiderthisCodeyourroadmap for doing things therightwayandsoaringwithintegrity.

Our Code governs all Universitydecisionsandactions, whether in our administrativeoffices,classrooms, laboratories, sports facilities, or open spaces on campus .

Our Code applies to the following members of the University community:} FGCU Board of Trustees or a committee of the FGCU Board of Trustees;} President, Cabinet, faculty, staff, and student employees;} FGCU Foundation Board of Directors;} FGCU Financing Corporation Board of Directors; and} Volunteers, contractors, vendors, and other representatives providing services to or acting on behalf of FGCU.

FGCU’sChiefComplianceandEthicsOfficerisresponsibleforpromoting,monitoring,andenforcingourCode,andeachofyouisresponsibleforabidingbytheCodetopromoteandsustain FGCU’s ethical culture of excellence .A separate Student Code of Conduct governs our students when acting as students in an academic or campus setting .

Be civil, show respect, cherish the environment in which our beautiful campus resides, practice sustainability, make our students the priority, bleed green and blue, and watch out for alligators.

• Student Code of Conduct


147

https://www2.fgcu.edu/generalcounsel/files/regulations/FGCU_4002_StudentCode_04112017.pdf

https://www2.fgcu.edu/generalcounsel/files/regulations/FGCU_4002_StudentCode_04112017.pdf


YOUR RESPONSIBILITIES

EMPLOYEES

} Knowandcomplywiththerulesapplicabletotheworkyoudoandthedecisionsyoumake;

} BefamiliarwithUniversitypolicies and regulations and state and federal laws, rules and regulationsgoverningFGCU;

} BefamiliarwiththeUniversity’sRegulation on Ethics and this CodeofConduct;

} Be sensitive to situations that could lead, or appear to lead, youorotherstoengageinillegal,improper,orunethicalbehavior;

} Report illegal, improper, or unethicalbehavior;and

} Cooperate with internal reviews of unethical behavior .

VICE PRESIDENTS, DEANS, DIRECTORS, MANAGERS, AND SUPERVISORS

} Leadbyexample;

} Honorintegrity;

} Encourage ethical decision making;

} Create an open atmosphere in whichsubordinateemployeesare comfortable raising good-faithconcerns;

} CommunicateclearlythattheUniversityneithertoleratesnorcondonesimproperbehavior;

} Informemployeesaboutresourcesthatmayhelptheminaddressingethicalconcerns;

} Prevent retaliation against employeeswhobringforwardgood-faithconcerns;and

} Takeappropriatecorrectiveand/ordisciplinaryactionforCodeviolations,whennecessary.

We rely on our leaders and managers to reinforce the principles of our Code throughout all areas of the University.


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ETHICAL STANDARDS

FGCUreliesonyoutorepresenttheinstitutionanditsvision,mission, and guiding principles . You are expected to conduct yourselfandtheUniversity’soperationswithhonestyandintegrityandinconformancewithUniversitypoliciesandregulations, as well as state and federal laws, rules, and regulations .

Following are some ethical principles of fairness, good faith, andrespecttoassistyouininteractingwithinternalandexternalconstituents:

} Treat others with respect and dignity; be respectful, fair, and civil to coworkers, students, vendors, contractors, volunteers and all others with whom you interact on behalf of the University.

} Earn trust by accepting and honoring agreements and keeping promises.

} Work to understand the University’s vision, mission, guiding principles, and strategic plan and proactively support these initiatives through discussion, communication, and action.

} Never undermine a supervisor/manager, colleague, subordinate, or student.

} Work jointly and in good faith to resolve disagreements.

} Contribute constructively by exercising the highest level of professional and ethical behavior.

} Promote informal conflict resolution .

PRINCIPLES OF ETHICS AND INTEGRITY


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RESPECT FOR OTHERS

FGCUiscommittedtoequaltreatment,opportunity,andrespectforitsfaculty,administrators, staff, students, and all others whocomeincontactwiththeUniversity.AssomeoneemployedbyorassociatedwithFGCU,youareyouareprohibitedfromdiscriminating against another individual basedsolelyupontheindividual’srace,color,religion,age,disability,sex,nationalorigin, marital status, genetic predisposition, sexualorientation,genderidentity/genderexpression,veteranstatus,oranyotherlegallyprotectedstatus;physicallyassaulting,emotionallyabusing,orharassinganyone;anddeprivinganyoneofrightstohis/herphysicalorintellectualproperty.

FGCU strives to attract, develop and retain facultyandstaffthatareasdiverseasFGCU’sstudent population .

Youpromotediversityandinclusionwhenyou:

} Respect the talent, ability, and experience of others;

} Value the input of others; and

} Foster an atmosphere of trust, openness, and candor.

• Anti-Harassment Policy • Anti-Harassmen Regulations

COMPLIANCE WITH LAWS

YouareexpectedtocomplywithallUniversitypolicies and regulations and state and federal laws, rules, and regulations governing highereducation,FGCU,andyourareaofresponsibility.Ifyouhaveaquestionabouttheapplicabilityorinterpretationofaparticularpolicy,regulation,law,orrule,pleasecontactyoursupervisor,VicePresidentandGeneral Counsel, or the Chief Compliance and EthicsOfficer.

• FGCU Policies

• FGCU Regulations

• Code of Ethics for Public Officer and Employee



150

https://www2.fgcu.edu/generalcounsel/files/policies/Policy1_006_NonDiscAntiHaraSexualMisc_12192016_ada.pdf

https://www2.fgcu.edu/generalcounsel/files/regulations/FGCU_PR_1_003_Non-DiscAntiHarr_Sexual_060716_ada.pdf

https://www2.fgcu.edu/generalcounsel/policies-view.asp?sort=number

https://www2.fgcu.edu/generalcounsel/regulations.asp

http://www.leg.state.fl.us/statutes/index.cfm?App_mode=Display_Statute&Search_String=&URL=0100-0199/0112/0112PARTIIIContentsIndex.html

http://www.leg.state.fl.us/statutes/index.cfm?App_mode=Display_Statute&Search_String=&URL=0100-0199/0112/0112PARTIIIContentsIndex.html



CONFLICTS OF INTEREST

YouareexpectedtodevoteyourprimaryprofessionalallegiancetoFGCU;ensurethatdecisionspertainingto FGCU are made in an impartial manner,consideringonlythebestinterestoftheUniversity;andensurethat outside activities do not interfere withyourUniversityduties.Inaddition,youmaynotuseyourpositionwiththeUniversityforyourownpersonalbenefitorforthepersonalgainorbenefitofanyotherpersonorbusinessentity;andyouare expected to avoid situations in which yourfinancialorotherrelationshipscouldcreateaconflictofinterestbetweentheUniversityandyourownprivate interests or cause harm to the University’sreputation.

Situationsthatcreateaconflictofinterest must be disclosed and then mitigatedoravoided.Havingaconflictisnotnecessarilywrong,butfailingtodisclose it is .

Here are some scenarios in which a conflictmayarise:

} You, or a family member, either work for a company or have a substantial investment interest in a company that does or seeks to do business with FGCU.

} You use FGCU time and/or resources to support activities outside the scope of your FGCU responsibilities.

} You are a purchasing agent for FGCU and you frequently accept gifts from a company that does business with FGCU.

Todetermineifyouhaveaconflictofinterestthatshouldbedisclosed,youshouldaskyourselfthesequestions:

} Do my outside interests influence, or appear to influence, my ability to make sound business decisions on behalf of FGCU?

} Do I stand to benefit from my involvement in the situation?

} Does a family member stand to benefit from my involvement in the situation?

} Does my participation in this activity interfere with my ability to do my job?

} Is the situation causing me to put my own interests ahead of FGCU’s interests?

} If the situation showed up on the front page of the local newspaper or a blog, would I be embarrassed? Would FGCU be embarrassed?


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GIFTS AND HONORARIA

We serve as stewards of the public funds that FGCU receives from state and federalentities;therefore,wemustavoidthe perception that favorable treatment is sought, received, or given in exchange for business courtesies .

Youmaynotsolicitoracceptanythingof value, such as a gift or honoraria, when acceptance gives the appearance ofinappropriatelyinfluencingyourobjectivitywithrespecttoUniversitybusiness.And,yourspouseorminorchildmaynotsolicitoracceptanythingofvalueonyourbehalfwhenyouknow,orreasonablyshouldknow,thegiftwasgiventoinfluenceanactiononyourpart.

What is a gift?

“Gift”meansanythingacceptedbyyouoronyourbehalf,whetherdirectlyorindirectly,foryourbenefit,andforwhichequalorgreater consideration is not given within90daysofthereceiptofthegift .

“Gift”includesrealpropertyortheusethereof;tangibleorintangiblepersonalpropertyortheusethereof;apreferentialrate or term on a transaction not available to the general public;forgivenessofadebt;transportation, lodging, or parking costs unrelated to officialUniversitybusiness;foodorbeverage;dues,fees,andtickets;plantsandflowers;personal services for which a feeisnormallychargedbytheprovider;andanyotherthingorservice having an attributable value .

Side note: University Advancement employees responsible for fundraising on behalf of FGCU may accept gifts on behalf of the University through the FGCU Foundation.

In general, there is no prohibition against providing or accepting promotional items of nominal value (e.g., coffee mugs, pens, calendars or similar tokens) provided the gifts are allowed by law. In deciding whether a gift is appropriate, consider its value and whether the public disclosure of the gift could be perceived as an attempt to influence a University matter.

What is an honorarium?

“Honorarium”meansapaymentofmoneyoranythingofvaluegiventoyou,directlyorindirectly,asconsiderationfor a speech or other oral presentationorforanywritingother than a book which has been published or is intended to be published .

• Gift and Honoraria Policy


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https://www2.fgcu.edu/generalcounsel/files/policies/Policy_1_012_Gift_and_Honoraria_060315_ada.pdf



OUTSIDE ACTIVITIES

Anoutsideactivityisaprofessionalorbusinessactivity,includingadditional teaching and research, conducted outside the normal courseandscopeofyourUniversitypositionthatmayormaynotinvolvecompensation .

WhiletheregenerallyisnoprohibitionagainstaUniversityemployeeconductinganoutsideactivity,youmustrememberthatyourprimaryloyaltyanddutymustbetoyourUniversityposition.Accordingly,youroutsideactivitycannotmateriallyinterferewithyourobligationtotheUniversity.

What behavior is expected?

} Inform your manager, in writing, about your outside activity.

} Be aware of potential conflict of interest situations and contact your manager or the Chief Compliance and Ethics Officer with any questions or concerns.

} Avoid any outside activity that interferes with the proper and effective performance of your University duties.

} Ensure all outside activities are conducted on our own time using your own resources.

Q I have a Support Personnel position at FGCU and belong to the YMCA

where I coach a youth basketball league. Do I need to obtain approval to conduct this activity?

A No . Volunteer activities that involve hobbies, sports, civic, or religious non-

profitorganizationsanddonotrelateinanywaytotheUniversityoritsmissionarenot considered outside activities .

Q I am a professor at FGCU conducting research under a federal grant. I have

been asked by a pharmaceutical company in SW Florida to perform similar research. Do I need to obtain approval to conduct this activity?

A Yes.Thistypeofactivityrequiresreviewandapprovalbyyourmanager.

QHow do I obtain approval for an outside activity?

A YoushouldcompletetheRequestforApprovalofOutsideActivityform.

• Outside Activity Form

Executive Service, Administrative and Professional, and Support Personnel employees,aswellasout-of-unitfacultyshouldrefertotheUniversity’sRegulationonOutsideActivities/Employment fortherequirementstoreceiveapprovalforanoutsideactivity.

In-unitfacultyshouldrefertothecollectivebargainingagreement(Article19ConflictofInterest/OutsideActivity),whichprovidescriteriabywhichafacultymembercanreceiveapprovalforanoutsideactivity.

FGCUencouragesfacultymemberstoengageinactivitiesbeyondtheirregularUniversitydutieswhensuchactivitiescontributetoindividualgrowth,extendknowledge,oradvancethemissionoftheUniversity.Toavoidconflictsofinterest,pleaseobtainwrittenapprovalfromyourmanager.


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https://www2.fgcu.edu/HR/files/Outside_Employment-Activity_Approval_Request.pdf


ACADEMIC FREEDOM

FGCU promotes academic freedom, including the freedom to discuss all relevant mattersintheclassroom;exploreallavenuesofscholarship,research,andcreativeexpression;speakopenlyonallmattersofUniversitygovernance;andspeakorwriteasaprivatecitizenwithoutinstitutionalrestraintordiscipline.

Youareexpectedtofosterintellectualhonestyandfreedomofinquiry,respectthosewithdifferingviews,andacknowledgewhenspeakingasaprivatecitizenthatyouneitherrepresentnorspeakfortheUniversity.


Source: Article 5, Academic Freedom and Responsibility, CBA. Article on Defining Academic Freedom; Cary Nelson, AAUP President; December 21, 2010

Academic freedom means that:

} FGCU faculty and students may engage in intellectual debate without fear of censorship or retaliation.

} FGCU faculty and students have the right to challenge one another’s views and not be penalized for holding differing views.

} FGCU faculty have latitude in deciding how to teach the courses for which they are responsible.

Academic freedom does NOT mean that:

} FGCU faculty may harass, threaten, intimidate, ridicule, or impose their views on students.

} FGCU faculty have the right to ignore University regulations and policy.

} FGCU faculty are protected from disciplinary action for misconduct and sanction violations proven through due process investigations.

FGCUfacultymembershelptheUniversitymeetitscommitmenttomaintaininganenvironmentthatrespectsdiversityandisfreefromdiscriminationandharassment.


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RESPONSIBLE CONDUCT IN RESEARCH

You are responsible for ensuring the integrityoftheresearchprocess,includingthe conduct and reporting of research, in order to sustain the highest degree ofintellectualhonestyandintegrityand appropriate regard for human and animal subjects . FGCU adheres to Federal guidelines that prohibit research misconduct . You are not to fabricate dataorresults;changeorknowinglyomitdata or results to misrepresent results intheresearchrecord;orintentionallymisappropriate the ideas, writings, research, orfindingsofothers.Youarealsoexpectedtodemonstrateaccountabilityforsponsoredresearchfundsandcomplywithspecificterms and conditions of contract and grant fundrequirements.

Behavior expectations:

Exerciseintellectualhonesty,discipline,adherence to professional ethics and good judgment in extending the boundaries of knowledgeandintransmittingandapplyingnew information .

For information on intellectual property, responsible conduct in research, and information on the FGCU Institutional Review Board, contact the Associate Vice President for Research and Dean of Graduate Studies.



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ACCURATE REPORTING

All FGCU records including but not limited to accounting, financial,andtaxmatters;expense,timesheet,andeffortreports;analysesthatshowsupportforandprogresstowardsmeetingBOGmetrics;andallthosesubmittedtoastateorfederalentityforcomplianceorotherpurposes,mustbeaccurateandcomplete.Allpublishedfinancialreportswillmakefull,fair,accurate,andtimelydisclosures,asrequired.

Reports include:

} Time records

} Revenue and expense reports

} Employment applications

} Performance on metrics for the Board of Governors

} Responses to audits and inquiries

Behavior Expectations:

} Accurately and honestly provide information in reports and records

} Do not mislead or misinform others by supplying inaccurate information in University records

} Comply with public records requests but do not compromise proprietary or confidential information

RECORDS MANAGEMENT

Universityrecordsanddocuments,includingbothhardcopyand electronic, must be retained, secured, and disposed of in accordancewithUniversitypolicy,aswellasstateandfederallaw.

For further information, refer to Records Management Policy 3.032.

• Records Management Policy


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https://www2.fgcu.edu/generalcounsel/files/policies/Policy3-032_Records_Manage_Policy_071411_ada.pdf


EMAIL, INTERNET AND INFORMATION SYSTEMS

YoumustuseUniversityemail and internet accounts responsiblyandprotectthesecurityofourinformationsystems.

FGCU’sinformationtechnologysystemsareakeycomponentofourUniversityoperationsandareprovidedforauthorizedbusiness purposes . Your use of thesesystemsmustcomplywithourandEmailPolicy.

• Acceptable Use Policy

Youmayengageinreasonableincidental personal use of phone, email and the internet as long as such usage does not:

} Consume large amounts of time and resources

} Interfere with your work performance or that of others

} Involve illegal, sexually explicit, discriminatory or otherwise inappropriate material

} Relate to outside business interests

} Violate any University policy or regulation

TosafeguardFGCUinformationsystems,youshouldnever:

} Share your University system passwords with anyone

} Leave laptops or other mobile devices unattended while traveling or in an exposed location where they can be stolen

} Download unauthorized or unlicensed software on University computers

If you suspect a data breach or become aware of any situation in which data has been compromised, including the loss or theft of a laptop or handheld device, immediately report the situation to the Business Technology Services Help Desk: (239) 590-1188 or [email protected].



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https://www2.fgcu.edu/generalcounsel/files/policies/Policy3_022_Technology_Use_09_03_09_ada.pdf



ENVIRONMENTAL HEALTH AND SAFETY

Youareexpectedtocomplywithallapplicableenvironmental laws and regulations which govern environmentalhealthandsafety;makeeveryreasonableefforttoensurethatstudents,faculty,staff, and visitors are protected from undue health risksandunsafeconditions;ensurethatFGCUhasobtainedallnecessarylicenses,permits,andapprovalsforenvironmentalmatters;andemploytheproperproceduresandcontrolsinthehandling and disposition of radioactive and toxic materials and the handling and disposition of hazardousandbiohazardouswastes.

Youshouldalwaysspeakupandraiseaconcernifyou:

} Are asked to complete a task you consider unsafe

} Are asked to complete a task for which you are not properly trained and that may harm you or others

} Suspect that a golf cart or piece of equipment is not operating properly and may be unsafe

} Observe or are made aware of an unsafe condition or a potential danger to yourself or others

Safetyiseveryone’sresponsibility;supportFGCU’seffortstomaintainahealthyandsafeworkplace .


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SUBSTANCE ABUSE

FGCUprohibitsyoufrom:

} Being under the influence of alcohol, illegal drugs, or controlled substances while on campus;

} Possessing, selling, using, transferring, or distributing illegal drugs or controlled substances while on campus; and

} Using tobacco products and smoking devices on campus.

Consuming alcohol and/or using an illegalsubstancecannegativelyimpactyourabilitytoperformsafely,beproductive, and serve as a role model to our students .

• FGCU Drug Free Environment • FGCU Smoke Free and Tobacco Free Campus• FGCU Alcohol Policy

SUSTAINABILITY

FGCU promotes and practices environmentalsustainabilityandisdedicated to environmental operations that foster a sustainable future and lead to improvements in SW Florida . We provide our students with the knowledge andskillstobeenvironmentallyresponsiblecitizens.Wearecommittedto continuous improvements in:

} Demonstrating institutional practices that promote sustainability, protecting our natural resources, and actively reducing our environmental impact.

} Enhancing the health of campus ecosystems and increasing the diversity of native species.

} Promoting health, productivity, and safety practices on campus through education, maintenance, and design of campus buildings.

} Incorporating environmentally responsible concerns in University decision making.

TheFGCUEMERALD GREEN and COBALT BLUEschoolcolorsaresymbolsof the earth and water, in keeping with the University’senvironmentalmission.

TheFGCUsustainabilitysymbolisrepresentativeofthewordssustainabilityandstewardship.The“S”intheshapeoftheinfinity

symbolrepresentsunlimitedcapacity,energy,excellence,orknowledge.


159

https://www2.fgcu.edu/generalcounsel/files/policies/Policy_3_044_Drug_Free_Environment_033015_ada.pdf

https://www2.fgcu.edu/generalcounsel/files/policies/Policy_3_048_smokefree_062016_ada.pdf

https://www2.fgcu.edu/generalcounsel/files/policies/Policy_3_048_smokefree_062016_ada.pdf

https://www2.fgcu.edu/generalcounsel/files/policies/FGCU_Policy_4_002_PossSvcConsumpAlcoholicBvgs_07202017_ada.pdf


IfyouhaveaconcernandcannotfindananswerinthisCodeofConduct,orifyouhavequestionsonhowtointerprettheCode,pleaseseekguidance.Similarly,ifyouareawareofsomethingthatmaybeaviolationofourguidingprinciples,CodeofConduct,Universitypoliciesorregulations,orstateorfederallawsorregulations,youshouldspeakupandreportitso the matter can be addressed .

You have several resources to seek guidance or make a report:

} Your supervisor or manager

} University Ombuds for informal conflict resolution

} Director of Institutional Equity and Compliance for harassment, discrimination, and sexual misconduct allegations

} Director of Internal Audit for fraud, waste, and abuse allegations

} Chief Compliance and Ethics Officer for violations of University policies or regulations and state or federal laws, regulations, and rules

IfyouchoosetouseoneoftheUniversity’sinternalresourcestoseekguidanceormakeareport,youhavetherighttoremainconfidentialtotheextentpermittedunderthelaw.

Inadditiontotheresourceslistedabove,youmayaskquestions,raiseconcerns,ormakereportsofsuspectedviolationsthroughtheuniversity’sEthicsPoint Hotline.IfyouchoosetousetheHotline,youhavetheoptionofremaininganonymous.

SEEKING GUIDANCE AND REPORTING CONCERNS


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When should you seek guidance?

If you are about to take action on a University matter and you are not sure it is the appropriate action, ask yourself:

} Am I sure this course of action is legal?

} Is it consistent with the University’s mission, vision, and guiding principles?

} Does it align with the University’s Code of Conduct, policies, and regulations?

} Could it be considered unethical or dishonest?

} Could it hurt FGCU’s reputation?

} If it winds up on the front page of a local newspaper or on a blog, how will it make my parents, my spouse, or my children feel?

If you are not sure about the answers to any of the above questions, please seek additional guidance to make the right decision before you take action on behalf of FGCU.

SEEKING GUIDANCE AND REPORTING CONCERNS


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TheHotlineisanalternativemechanismforanyemployee,student,vendor,contractor,orconcernedcitizentoaskquestions;reportgood-faithconcernsallegingfraud,waste,orabuseofUniversityresources;orreportviolationsofUniversitypoliciesorregulationsorstateorfederallaws or regulations .

FGCUhascollaboratedwiththirdpartyproviderNavexGlobaltooffertheEthicsPointcasemanagementreportingsystemforindividualswhomaybereluctanttoreportsuspectedmisconducttoUniversityadministrators.The EthicsPoint Hotline is available 24 hours a day, 365 days a year andoffersawaytoreportwithcompleteanonymity.EthicsPointdoesnotgenerateormaintainanyinternalconnectionlogstoidentifyIPaddresses,andtelephonecallsare not traced or recorded .

You can contact the EthicsPoint Hotline by:

} Calling the Hotline at (844) 300-1073 or

} Completing an online form at the following link: • FGCU Ethics Point

Afteryousubmityourreport,youwillbeassignedauniquecodecalleda“reportkey.”YouwillusethisreportkeyalongwiththepasswordofyourchoosingtoreturntoEthicsPointthroughthewebsiteortelephonetogetaresponsetoyourquestion,reviewfollowupquestionsbasedontheinformationyouprovided,submitmoreinformation,orreceiveastatus update .

You should provide as much information as possible regarding suspectedviolationsandyoushouldexpectsomefollow-upquestionstoclarifytheinformationyouprovide.Yourconfidentialitywillbeprotectedtotheextentpermittedunderthelaworyoumaychoosetoremainanonymous.Whatmattersiswhatisbeingreported,notwhoreports it .

ETHICSPOINT HOTLINE

SOAR WITH INTEGRITY

TELL US, IT MATTERS

F L O R I D A G U L F C O A S T U N I V E R S I T Y

24 HOURS A DAY / 365 DAYS A YEAR

FloridaGulf CoastUniversity

(844) 300-1073 or fgcu.ethicspoint.com

If you believe that FGCU’s ethical standards are being compromised, you can do something about it.

HARASSMENT, DISCRIMINATION, RETALIATION / SAFETY MISUSE OF SPONSORED FUNDS / THEFT / MISCONDUCT

FRAUD, WASTE, ABUSE

Call the University’s Hotline to report:

For further information, contact FGCU’s Chief Compliance and Ethics Officer at 239-590-1039.


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https://secure.ethicspoint.com/domain/media/en/gui/48024/index.html


NO RETALIATION

TheUniversityprohibitsretaliationandwill take no adverse action against an employeewhoingood-faith:

} Reports a suspected violation of this Code, our policies or regulations, orthelaw;

} RaisesacompliancequestionorseeksadviceaboutaparticularUniversitybusinesspractice;or

} Cooperates in an investigation of a potential violation

What is an adverse action?

Anadverseemploymentactionoccurswhen the terms and conditions of yourFGCUemploymentaremateriallyaffected for bringing forward a protected activityandthereisaconnectionbetween bringing forward a concern and the adverse action . An adverse action includes things like termination, demotion, change in job duties, reassignment to a less desirable task, or a disciplinarysuspension.

What is a good-faith report?

A good-faith report is the honest belief thattheinformationyouprovideabouta potential violation is truthful based onyourknowledgeofasituation.

Conversely,youarenotoperatingingoodfaithifyoureportapotentialviolation or make statements during aninvestigationthatareknowinglyfalse or that involve willful disregard or purposeful ignorance of the facts . Moreover,disciplinaryactioncanbetakenagainstyouifyouattempttousetheHotline,oranyotherUniversityreportingprocess,tointentionallyharmorslanderanotheremployeethroughfalse accusations .

What is retaliation?

Retaliationisanadverseemploymentaction(orcrediblethreatofanadverseemploymentaction)takenagainstaUniversityemployeeforraisingagood-faith concern or participating in an investigation of a potential violation .

What happens when I contact the EthicsPoint Hotline?

EthicsPoint Hotline calls are answered by an independent third party with expertise in handling hotline calls. An interview specialist will ask you questions and then send a report to FGCU’s Chief Compliance and Ethics Officer for review. Appropriate university compliance liaisons will investigate concerns, and if warranted, remedial actions will be taken.


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FloridaGulf CoastUniversity

10501 FGCU Boulevard South, Fort Myers, FL 33965-6565 • fgcu.edu


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ITEM: __14___


SUBJECT: Program Plan for the Compliance and Ethics Office


On recommendation by the Audit and Compliance Committee, approve the Compliance and Ethics Program Plan.


The Program Plan outlines how the Compliance and Ethics Office will implement the seven elements of an effective compliance and ethics program; demonstrate due diligence in preventing and detecting criminal conduct, unethical behavior, and noncompliance with rules; and promote an organizational culture that encourages ethical conduct and a commitment to compliance. Board of Governors Regulations 4.003 (State University System Compliance and Ethics Programs) requires the FGCU Board of Trustees to approve the Program Plan, and upon acceptance, to provide a copy of the Program Plan to the Board of Governors.

Supporting Documentation Included: FGCU Compliance and Ethics Program Plan Prepared by: Chief Compliance and Ethics Officer Stacey Chados Legal Review by: Vice President and General Counsel Vee Leonard (August 16, 2017) Submitted by: Chief Compliance and Ethics Officer Stacey Chados


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FLORIDA GULF COAST UNIVERSITY COMPLIANCE AND ETHICS PROGRAM PLAN

Page 1 of 10

A. INTRODUCTION This document serves as a blueprint of an effective compliance and ethics program plan as contained in the Federal Sentencing Guidelines Manual (Chapter 8 §B2.1) and the Board of Governors (BOG) Regulation 4.003, State University System Compliance and Ethics Programs.

In accordance with the Manual and the BOG Regulation, FGCU’s Compliance and Ethics Program Plan (hereinafter referred to as Compliance Plan) outlines the seven elements of an effective compliance and ethics program. The Compliance Plan demonstrates due diligence in preventing and detecting criminal conduct, unethical behavior, and noncompliance with rules; and promoting an organizational culture that encourages ethical conduct and a commitment to compliance. Specifically, the Compliance Plan:

Implements written standards in the form of a Code of Conduct to promote responsibility and accountability for ethical conduct, as well as the University’s commitment to compliance with applicable laws, regulations, rules, policies, and procedures.

Establishes an administrative governance framework, including the designation of a Chief Compliance and Ethics Officer, for conducting an effective and diligent compliance program.

Outlines a commitment to educate University personnel regarding compliance requirements and ethics initiatives.

Develops effective lines of communication to encourage reporting allegations of wrongdoing without fear of retaliation and to receive and respond to deficiencies and breaches in an efficient and timely manner.

Implements monitoring and auditing functions to measure the effectiveness of the University’s compliance initiatives.

Outlines performance incentives and disciplinary measures to promote and enforce the compliance and ethics program.

Outlines a process to timely review credible allegations of wrongdoing, take corrective actions, and implement appropriate and effective internal controls to prevent further similar misconduct from occurring.

B. THE SEVEN ELEMENTS

1. CODE OF CONDUCT The University’s Code of Conduct promotes ethical principles derived from federal and state laws and regulations, University regulations and policies, contract and grant requirements, and generally accepted principles of ethical conduct. The Code applies to the FGCU Board of Trustees; President, Cabinet, and University faculty and staff; and volunteers, contractors, vendors and other representatives providing services to or acting on behalf of the University, including the University’s direct support organizations. Deans are responsible for assuring that faculty under their supervision abide by the Code; managers of University administrative functions are responsible for assuring that staff and other representatives under their supervision


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abide by the Code. The Chief Compliance and Ethics Officer is responsible for promoting, monitoring, and enforcing the Code. The Code of Conduct supplements the University’s regulations and policies, and in particular, complements the University’s Regulation on Ethics as well as the FGCU Board of Trustees Ethics Policy, both of which reaffirm the University’s commitment to comply with the Code of Ethics for Public Officers and Employees codified at Title X, Chapter 112, Part III of the Florida Statutes. A copy of the Code of Conduct is provided as an attachment to the Compliance Plan.

2. COMPLIANCE PROGRAM GOVERNANCE FGCU displays an appropriate governance structure by ensuring that the FGCU Board of Trustees, through its Audit and Compliance Committee, is knowledgeable about the content and operation of the compliance and ethics program and exercises reasonable oversight over its implementation and effectiveness. A Chief Compliance and Ethics Officer is assigned responsibility for the day-to-day operations of the program and is afforded direct access to the Chair of the Audit and Compliance Committee of the FGCU Board of Trustees, as well as to the President and Cabinet, University employees with compliance responsibilities, and University employees responsible for investigations as follows: a. Audit and Compliance Committee of the FGCU Board of Trustees

The Audit and Compliance Committee of the FGCU Board of Trustees is responsible for overseeing the compliance and ethics program and approving of the roles and responsibilities of the Chief Compliance and Ethics Officer. As required by BOG Regulation 4.002(2), the Charter for the Audit and Compliance Committee of the FGCU Board of Trustees describes the Committee’s governance oversight for FGCU’s compliance and ethics program.

b. President of FGCU

In collaboration with the Chair of the Audit and Compliance Committee of the FGCU Board of Trustees, the President designates a senior-level administrator as the Chief Compliance and Ethics Officer and ensures that the individual selected for the position maintains his/her independence and has adequate resources and authority to perform the responsibilities of the position.

c. Chief Compliance and Ethics Officer The Chief Compliance and Ethics Officer is responsible for the day-to-day operations of the compliance and ethics program. To ensure the impartial and unbiased judgment essential to the proper conduct of the compliance and ethics function, the Chief Compliance and Ethics Officer is organizationally independent of the employees and managers who seek the advice and assistance of the


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Office. The Chief Compliance and Ethics Officer reports functionally to the Chair of the Audit and Compliance Committee of the FGCU Board of Trustees and administratively to the President; and is afforded unrestricted access to University information, documents, records, and personnel necessary to carry out the duties and responsibilities of the Office. The Charter for the Office of Compliance and Ethics outlines the purpose, authority, mission, scope of work, and responsibilities of the Office.

d. Vice Presidents (Cabinet)

The President’s Cabinet, comprised of the University’s Vice Presidents, is responsible for advising and supporting the Chief Compliance and Ethics Officer in the implementation and oversight of the compliance and ethics program. The Vice Presidents set an “appropriate tone at the top” by fostering a culture of ethical conduct and performing their duties in compliance with all applicable laws, regulations, rules, policies, and procedures. In addition, the Vice Presidents ensure that compliance programs under their responsibility have adequate resources to effectively conduct operations.

e. Compliance Liaisons

The Compliance Liaisons are University employees designated with carrying out compliance-related responsibilities for a specific program or function within the University, including, but not limited to the following:

Topic University Unit Academic Integrity Dean of Students ADA Adaptive Services Athletics and NCAA Rules Assistant Athletic Director for Compliance Biohazardous Waste, Biosafety, and Bloodborne Pathogens

Environmental Health and Safety

Clery Act University Police Department Compliance with Regulations and Policies General Counsel or Compliance and Ethics Conflicts of Interest Compliance and Ethics Contracts General Counsel Controlled Substances Environmental Health and Safety Donations/Endowment University Advancement Export Controls Research and Graduate Studies Family Educational Rights and Privacy Act (FERPA)

Registrar

Financial Aid Financial Aid and Scholarships Financial Disclosure Human Resources Fraud, Waste, and Abuse Internal Audit Harassment, Intimidation, Retaliation, Discrimination

Institutional Equity and Compliance/Title IX

Information Security Business and Technology Services Institutional Review Board Research and Graduate Studies


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Insurance (Risk Management) Environmental Health and Safety Intellectual Property Research and Graduate Studies Misconduct in Research Research and Graduate Studies Outside Activities Compliance and Ethics Procurement Procurement Records Management Records Management Sponsored Programs Research and Graduate Studies Taxation Controller Whistleblower Protection Internal Audit

The Compliance Liaisons provide the Chief Compliance and Ethics Officer with immediate notification of suspected or detected non-compliant behavior, unethical behavior, or criminal conduct; and on an annual basis, a summary of compliance initiatives. In addition, University personnel with compliance responsibilities meet on a quarterly basis to discuss program activities and new and supplemental changes to laws, regulations, rules, policies and procedures in order to stay abreast of best practices in the compliance sector. The Chief Compliance and Ethics Officer chairs these meetings.

f. Investigations Working Group

The Chief Compliance and Ethics Officer, Director of Internal Audit, University Chief of Police, Director of Institutional Equity and Compliance, and Director of Human Resources, or their designees, meet on a bi-monthly (once every two months) basis. The Group triages employee concerns in order to refer concerns to an appropriate University entity for review, ensures timely review of concerns, and provides a consistent, institutional response to concerns. The Chief Compliance and Ethics Officer chairs these meetings.

3. EDUCATION/TRAINING

The Chief Compliance and Ethics Officer provides ethics training on a biennial basis to members of the FGCU Board of Trustees, President, Cabinet, faculty, and staff regarding the responsibility and accountability for ethical conduct and compliance with applicable federal and state laws and regulations as well as University policies and regulations. The Chief Compliance and Ethics Officer also provides initial ethics training to new hire employees within the first 90 days of employment to introduce FGCU’s compliance and ethics program, including the Hotline, Code of Ethics contained in Florida Statutes, the University’s Code of Conduct, and other relevant regulations and policies.


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4. COMMUNICATION FGCU displays a proactive commitment to compliance by encouraging open communication of compliance and ethics issues, and the reporting of good-faith concerns of alleged wrongdoing, without fear of retaliation. a. Communication to Employees

The Chief Compliance and Ethics Officer disseminates information about FGCU’s compliance and ethics program and FGCU’s Hotline. Compliance Liaisons disseminate information about new legislation and updates to current legislation affecting the programs for which they are responsible. Communication takes the following forms: (i) “Ask the Ethics Officer” columns highlighting questions brought forward by

University employees and responded to by the Chief Compliance and Ethics Officer that may be of interest or have institutional impact to the University.

(ii) Correspondence from Compliance Liaisons concerning new or amended legislation regarding NCAA compliance, Clery Act, Title IX, compensation and benefits, sponsored programs, financial aid, whistleblowing, or environmental health and safety, for example.

(iii) Posters and emails promoting the FGCU Hotline. (iv) Training initiatives sponsored by the Chief Compliance and Ethics Office;

Office of Institutional Equity and Compliance; or Office of Environmental, Health and Safety, for example.

b. Communication from Employees FGCU promotes collaboration by encouraging faculty and staff to bring forward questions or seek clarification on any federal or state law or regulation or FGCU policy or regulation before taking action on a University matter. Employees can ask their supervisor or manager, Vice President and General Counsel, or the Chief Compliance and Ethics Officer for advice and assistance.

c. Communication to President and FGCU Board of Trustees

The Chief Compliance and Ethics Officer reports at least quarterly to the Chair of the Audit and Compliance Committee of the FGCU Board of Trustees on reports of allegations, results of investigations, and any subsequent discipline or remedial actions taken, training efforts undertaken, compliance monitoring efforts undertaken, and statistical and trending information. The Chief Compliance and Ethics Officer provides the FGCU Board of Trustees with an annual report on the effectiveness of the compliance and ethics program. Upon approval, a copy of the annual report is provided to the Board of Governors. The Chief Compliance and Ethics Officer meets with the President on a biweekly basis and Cabinet on an as-needed basis, but no less than once each semester.


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d. How to Report Concerns FGCU’s Hotline is an anonymous reporting system that facilitates reporting of alleged illegal, unethical, or improper conduct when the normal channels of communication have proven ineffective, or are impractical under the circumstances. The Hotline is available to employees and students, as well as contractors, vendors, and members of the southwest Florida community. If an individual is unsure of how to bring forward a concern, he/she can always contact FGCU’s Chief Compliance and Ethics Officer for assistance, but if an individual is uncomfortable reporting through normal channels of communication, or wishes to raise an issue anonymously, he/she should access the Hotline.

The Hotline is available 24 hours a day, 365 days a year, and is run by an independent, third-party provider. The Hotline provides a toll-free telephone number as well as web-based reporting.

An individual can contact the Hotline by:

Calling the Hotline at (844) 300-1073; or Completing an on-line form at the following link: www.fgcu.ethicspoint.com.

Hotline concerns remain confidential to the extent permitted by law and are only shared with certain University stakeholders and external entities on a need to know basis. The Hotline has no caller identification and does not track IP addresses. FGCU prohibits retaliation, and will take no adverse action, against an individual who uses the Hotline in good faith to report allegations of wrongdoing.

In addition to the Hotline, employees can bring good-faith concerns to: Their supervisor or manager; University Ombuds for informal, impartial and non-adversarial alternatives

concerning conflict management; Director of Institutional Equity and Compliance, for harassment,

discrimination, retaliation, and sexual misconduct allegations; Assistant Athletic Director for Compliance for NCAA compliance concerns; Associate Vice President of Research and Dean of Graduate Studies for

research misconduct concerns; Dean of Students for academic integrity concerns; Director of Internal Audit for fraud, waste, and financial mismanagement

allegations; Director of Environmental Health and Safety for environmental health and

safety concerns; or


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Chief Compliance and Ethics Officer for violations of University policy or regulation.

5. MONITORING/AUDITING FGCU implements a self-assessment program to monitor and evaluate compliance functions throughout the University. Through its Compliance Liaisons and Director of Internal Audit, FGCU conducts ongoing efforts to assess, evaluate, monitor, and audit compliance with regulatory requirements and University regulations and policies. a. Compliance Liaisons

Compliance Liaisons conduct periodic risk assessments to evaluate and prioritize compliance related risks. This assessment entails evaluating factors such as audit results, recent litigation and settlements, compliance concerns, University best business practices, and the existence and sufficiency of regulations and policies covering an area. Based on the risk assessments, Compliance Liaisons monitor high-risk areas under their responsibility. The Chief Compliance and Ethics Officer assists Compliance Liaisons with the implementation of proper and effective internal controls to reduce the risk of noncompliance, and refers high risk areas to Internal Audit for consideration of inclusion in the Annual Audit Plan.

b. Director of Internal Audit The Director of Internal Audit oversees the performance of value-added, risk-based audits, designed to independently review, test, and evaluate financial, electronic, and operational controls throughout the University in order to examine and assess: Business risks facing University leadership; Safeguarding and use of University assets; Accuracy, reliability, and integrity of University records and reports; Suspected fraud, waste, and financial mismanagement; and Adequacy of internal controls.

c. Chief Compliance and Ethics Officer

The Chief Compliance and Ethics Officer assesses whether the compliance and ethics program maintains organizational independence, has appropriate access to University records and personnel, disseminates standards and other communication, conducts training, responds appropriately to detected offenses, and implements effective corrective action plans to preclude future similar offenses from occurring.


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d. Background Checks FGCU uses reasonable efforts not to include within the University and its affiliated organizations individuals who have engaged in unethical conduct or inappropriate behavior. FGCU’s procurement function reviews state and federal lists of debarred contractors and vendors to prevent them from conducting work or providing services to the University. FGCU’s police department conducts background checks on prospective employees.

6. INCENTIVES AND DISCIPLINE

FGCU demonstrates a commitment to compliance by including in job descriptions a requirement to conform to all University policies and regulations as well as the University’s Code of Conduct. In addition, the University incentivizes supervisors who encourage employees to take ethics training and speak openly about concerns in the workplace; and supports employees who act with integrity and make sound decisions in the best interest of the University. FGCU promotes a speak-up culture by encouraging its employees to use the University’s reporting systems to bring forward good-faith concerns of wrongdoing. FGCU takes appropriate disciplinary action based on progressive and cumulative discipline as outlined in the University Regulation on Disciplinary Actions, against members of its workforce who violate the University’s Code of Conduct or Regulation on Ethics and who fail to correct their behavior. In addition, managers and supervisors can be disciplined for failing to adequately instruct subordinate employees or failing to detect non-compliance with applicable policies and legal requirements, where reasonable diligence on the part of the manager or supervisor would have led to the discovery of problems or violations and given the University the opportunity to timely correct the issue(s). Disciplinary action may include oral or written reprimand, suspension, or separation from employment. Violations may also result in notification to law enforcement officials, BOG Inspector General, regulatory bodies, and accrediting and licensing organizations, as appropriate.

7. RESPONDING TO DETECTED OFFENSES The Chief Compliance and Ethics Officer serves as the administrator for all allegations of potential wrongdoing reported through the University’s Hotline. In collaboration with members of the Investigations Working Group, the Chief Compliance and Ethics Officer determines the appropriate resources required to conduct an investigation commensurate with the gravity of the allegation and refers certain matters to an appropriate investigatory body for review and disposition. The Director of Internal Audit is responsible for conducting reviews pertaining to credible


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allegations of fraud, waste, and financial mismanagement; and the Director of Institutional Equity and Compliance is responsible for conducting reviews pertaining to harassment, retaliation, and discrimination concerns. Investigation records will contain: Documentation of the alleged violation, Documentation of referral to an internal or external investigatory body, Description of the investigative process, Interview notes and copies of key documents, A log of witnesses interviewed and documents reviewed, and Results of the investigation.

If the investigation indicates that a violation has occurred, FGCU will take appropriate corrective action, as necessary, including: Prompt restitution of any overpayments, Notification to a grantor agency, Review of FGCU regulations and policies to determine if clarification is

needed, System modifications, Staff training, Notification to BOG Inspector General, and Disciplinary action of involved employees.

BOG Regulation 4.001(5), University System Processes for Complaints of Waste, Fraud, or Financial Mismanagement, requires timely notification to the BOG Inspector General of any significant and credible allegations of fraud, waste, mismanagement, misconduct and other abuses made against the President or a member of the FGCU Board of Trustees. BOG Regulation 4.001(6) requires that FGCU develop a Regulation that articulates how the University will address any significant and credible allegations of fraud, waste, mismanagement, misconduct, and other abuses made against the Director of Internal Audit and the Chief Compliance and Ethics Officer.


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Prepared By __________________________________________________ Stacey P. Chados, Chief Compliance and Ethics Officer Date Reviewed By __________________________________________________ Michael V. Martin, President Date ____________________________________________________________ Joseph G. Fogg, III, Chair, Audit and Compliance Committee Date Approved By __________________________________________________ J. Dudley Goodlette, Chair, Board of Trustees Date


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