4-OP-C-7-G EMPLOYEE & AND LABOR RELATIONS

Responsible Division: Finance and Administration
Approving Official: Kyle Clark
Effective Date: January 1, 2014
Last Revision Date: Unrevised at this time.

 

 

 

4-OP-C-7-G1 EVALUATION OF A&P AND USPS EMPLOYEE PERFORMANCE

OVERVIEW
It is the policy of Florida State University to communicate to Administrative and Professional (A&P) and University Support Personnel System (USPS) employees' job performance expectations and management's evaluation of the employee's job performance. Supervisors and managers should be forthright in their evaluations of employees, and the performance evaluation process should be a constructive tool for continual improvement, documenting substandard performance, and recognition of employees' performance.

SPECIFIC AUTHORITY
Florida Statute 110.224
BOG Regulation 1.001(5)(a)
FSU Regulation FSU-4.001

OBJECTIVE
To specify the methods and responsibilities for conducting and reporting the performance evaluations of Administrative and Professional (A&P) and University Support Personnel System (USPS) employees. A&P and USPS employees must have their performance evaluated at least annually. A&P employee performance reviews should be completed to coincide with the annual A&P evaluation cycle. USPS annual employees' performance reviews shall be completed within thirty (30) days following the annual date they were appointed to the class.

A. PROCEDURES - EVALUATION OF PERFORMANCE

1. A&P Evaluations

For A&P employees, the documentation of the performance review must be done using the ePerformance module in OMNI. The standard rating levels for an A&P employee are listed below:

Exemplary
Above Satisfactory
Satisfactory
Below Satisfactory/Needs Improvement

After completing the employee’s evaluation using ePerformance, the supervisor must discuss the evaluation with the employee in person. After a discussion of the evaluation is held, the employee will have the opportunity to acknowledge the evaluation and provide comments. The evaluation is considered complete when it has been discussed with the employee and acknowledged by the rater and employee. A copy of the evaluation will be filed in the employee's official personnel file.

2. University Support Personnel System (USPS) Evaluations

For USPS employees, the documentation of the performance review will be done on the USPS Performance Evaluation Form. This policy provides a choice of two (2) forms: USPS Performance Evaluation by Exception or USPS Employee Performance Evaluation. A copy of the review will be provided to the employee and the original will be forwarded to Human Resources for placement in the employee's official personnel file.

The USPS Performance Evaluation by Exception is an annual review that verifies that no significant changes have occurred in performance, that a review discussion has taken place with the employee, and that the previous rating continues as indicated on the last evaluation.

The USPS Employee Performance Evaluation is used to document performance in more detail to indicate changes that have occurred, and/or document required improvement.

USPS evaluations should be based on total performance in fulfilling assigned responsibilities. The purpose of the USPS evaluation is to acknowledge performance, to communicate performance effectiveness, and to aid in improving performance in assigned duties.

a. USPS Performance Evaluation Ratings

An employee's performance shall be rated at one of the following rating levels:

Superior Performance Standards (SPS): The employee's performance is consistently greater than the expected standards. (4)

Above Performance Standards (APS): The employee's performance is above the performance standards expected. (3)

Meets Performance Standards (MPS): The employee's performance meets the expected standards. (2)

Below Performance Standards (BPS): The employee's performance is below expected standards. (1)

b. Types of USPS Evaluations of Employee Performance

(1) Probationary Evaluation

A probationary evaluation is required for any probationary period defined in the University Employee Pay Plan.

A probationary evaluation shall be completed within the thirty (30) days prior to the end of the probationary period for the designated class or prior to the end of any probationary period extension.

The execution of more than one (1) evaluation during the probationary period is optional with the Division/Department. A mid-term review is recommended for any appointments in which the employee is in probationary status.

The probationary period may be extended up to six (6) months normally, in sixty (60) day intervals, when any of the following circumstances occur:

The employee is rated Below Performance Standards;

The supervisor decides that additional time is needed for appropriate training or on the job experience;

The employee or rater is granted an authorized leave of absence [other than military leave for the employee in accordance with FSU Regulation 6C2R-4.0015 during the probationary period. The probationary period may be extended for the length of the period of an approved leave of absence; or

An employee without regular status in the current class is reassigned to a different position in the same class and makes a written request that the probationary period be extended for a period not to exceed six (6) months.

A request for extending the probationary period requires the approval of the Assistant Vice President of Human Resources, or designee, and should be received in the Human Resources at least fourteen (14) days before the end of the probationary period to allow sufficient time to process the request for extension.

An employee serving a probationary period in the current class shall be removed from the class if his/her performance has not improved to the Meets Performance Standards level within the probationary period or extended period.

An employee who is on military leave, as described in FSU Regulation 6C2R-4.0015, at the expiration of the probationary period shall be considered to have completed the probationary period with a Meets Performance Standards evaluation. If an employee returns from military service prior to the expiration of the probationary period, the employee shall be required to complete the remainder of the probationary period.

(2) Annual Evaluation

An annual evaluation shall be completed for each employee having regular status in the current class.

An employee shall receive an annual evaluation completed each year within thirty (30) days following the date the employee was appointed or returned to their current class unless the rating period is extended in accordance with the conditions stated above relative to the extension of the probationary period.

An annual evaluation of an employee who returned from military leave as described in FSU Regulation 6C2R-4.0015, shall not include the time on military leave. The employee's performance level while on military leave shall be considered to be at the same rating level as the employee's preceding evaluation.

(3) Special Evaluation

A special evaluation for an employee with regular status may be completed at any time. Whenever the rater determines that the employee's performance has changed from the rating level reflected on the most recent evaluation a special evaluation may be completed.

When an employee's most recent evaluation is at the Meets Performance Standards level or higher and a special performance evaluation is completed, the rating period may cover the day after the last rating period to the date the evaluation is discussed with the employee. The exception is when an employee's performance has dropped to Below Performance Standards level. When a special performance evaluation is completed rating the employee Below Performance Standards overall, the evaluation shall not cover more than a 60-day period immediately preceding the date the special evaluation is discussed with the employee. See below for additional information concerning Below Performance Standards evaluations.

(4) Below Performance Standard Evaluation

If an employee who has attained regular status in the class receives a special evaluation of Below Performance Standards in accordance with this procedure, the rater, with cooperation of higher level Supervisors, shall communicate in writing to the employee a Performance Improvement Plan (PIP) to assist in correcting the noted deficiencies. The supervisor should contact Employee/Labor Relations for assistance in developing the Performance Improvement Plan (PIP) prior to giving a Below Performance Standards rating. A Below Performance Standards rating must be accompanied by a Performance Improvement Plan (PIP) when it is submitted to Human Resources.

For those employees covered by an applicable collective bargaining agreement, an employee may be removed from the class no sooner than sixty (60) days after receipt of the Performance Improvement Plan if adequate improvement in performance is not achieved. Otherwise the employee may be removed from the class at any time if immediate and sustained improvement in performance is not achieved.

An employee shall usually not remain at the Below Performance Standards level for more than one hundred twenty (120) days, and as noted above may be removed from the class at any time if adequate improvement in performance is not achieved. Employees covered by an applicable collective bargaining agreement may be removed no sooner than sixty (60) days after receipt of the performance improvement plan. If the employee's performance has not improved to at least Meets Performance Standards level within the designated improvement period(s), the University shall initiate action to remove the employee from the class. Such action will normally be completed within forty-five (45) days of being initiated.

Rating periods may be extended in accordance with the conditions stated above relative to the extension of the probationary period.

c. Absence of an Evaluation

In the absence of a required evaluation, the following shall apply:

For those employees who have not yet received an evaluation, the employee's rating shall be considered to be at the Meets Performance Standards level.

For those employees with a previous evaluation in the class, the employee's performance shall be considered to be at the same level as the preceding evaluation, except when it is a Below Performance Standards rating then it shall be considered to be at the Meets Performance Standards level.

An employee may make a written request for a performance evaluation to replace a rating received through the provisions above, within thirty (30) days following the original due date of the evaluation. If an employee makes such a request, the rater shall complete the evaluation within thirty (30) days of receipt of the request.

d. Additional Performance Evaluation Procedures

The evaluation rating period shall cover the specific period shown on the evaluation form and will not cover a period not yet worked. Only one (1) rating may be in effect for a specific period.

The rater, normally the employee's immediate supervisor, is primarily responsible for timely completion of the evaluation rating form and shall be held accountable for such evaluations.

The rater shall be the person regularly assigned to direct the work of the employee, or if unavailable, the person designated. Such designation shall not conflict with a collective bargaining agreement.

The evaluation shall be reviewed by a higher level supervisor, whenever possible. The higher level supervisor review is not required when the rating is completed by a Department Chair, Dean, Director, Assistant Vice President, Vice President or the President, unless otherwise required by departmental policy. The rater's completed evaluation shall not be changed by the higher level supervisor, but the higher level supervisor may attach any written comments concerning the evaluation.

The performance evaluation shall be discussed with the employee, who shall be provided with information regarding the basis of the evaluation and given the opportunity to sign the evaluation. The signature of the employee shall indicate only that the employee's performance and evaluation form have been discussed with the employee and does not imply that the employee agrees or disagrees with the evaluation. If the employee does not agree with the evaluation, the employee may attach any written comments concerning the evaluation. The original completed evaluation form and employee comments, if applicable, shall be placed in the employee's official personnel file.

An evaluation is considered to be complete after it has been discussed with the employee and the rater has signed the evaluation form.

Note: In circumstances which result in an authorized leave of absence of the employee or the rater [other than military leave for the employee in accordance with FSU Regulation 6C2R-4.0015 and the conditions stated above relative to the extension of the probationary period], the University may approve a request from the rater to extend the evaluation period up to the length of the period of an approved leave of absence.

4-OP-C-7-G2 COMPLAINT PROCEDURE, USPS AND A&P

OVERVIEW
It is the policy of Florida State University to provide University Support Personnel System (USPS) and Administrative and Professional (A&P) employees with an internal Complaint Procedure to provide a formal mechanism to bring complaints to the attention of management and to address those complaints. There shall be no reprisals against any of the participants for participation in this Complaint Procedure.

An employee who has a complaint or grievance is encouraged to discuss with his or her supervisor the option of utilizing the University's Mediation Program that is administered by the Employee Assistance Program (EAP) prior to the filing of a formal complaint or grievance. Additional information on the EAP Mediation Program may be obtained from the University's EAP Office. Any request to hold the time limits for the filing of a complaint or grievance in abeyance must first be approved in writing by the Director of Employee and Labor Relations or designee.

SPECIFIC AUTHORITY
BOG Regulation 1.001(5)(a)
FSU Regulation FSU-4.001

OBJECTIVE
To establish the procedure and responsibilities for processing the complaints of University Support Personnel System (USPS) and Administrative and Professional (A&P) employees.

A. PROCEDURES

1. Time limitations

The time limitations (see Complaint Procedure Flowchart) established in this policy are imposed to ensure timely consideration and response by management to the complaint. When circumstances necessitate, the parties may mutually agree to waive the time limitation with the approval of the Director of Employee Labor Relations or designee.

Failure of the University at any step of this procedure to communicate the decision on the Complaint within the specified time limit shall permit the complainant to proceed to the next step. Failure of the complainant to initiate action at any step of this procedure within the specified time limit shall be deemed a waiver of the complaint.

In the event that any action falls due on a Saturday, Sunday, or State or Federal holiday, the action will be considered timely if it is accomplished by 5:00 p.m. on the following business day.

In the event the resolution of the complaint results in an award to the complainant, the award shall not be retroactive to a date earlier than the date of the occurrence of the event giving rise to the complaint under consideration, and in no event more than thirty (30) days prior to the filing of the complaint.

2. Applicability

a. Employees with regular status in the USPS shall have access to the full Complaint Procedure. Employees who have not achieved regular status in the USPS may pursue this Complaint Procedure only through their immediate supervisor and the next level supervisor whose decision shall be final. Employees who do not have regular status shall not have the right to a review of their complaint by a Complaint Review Officer.

b. Employees who are on A&P Regular and Multi-Year appointments shall have access to the full Complaint Procedure. A&P employees on other appointments may pursue this Complaint Procedure only through their immediate supervisor and the next level supervisor whose decision shall be final. A&P employees in other appointments shall not have the right to review their complaint by a Complaint Review Officer.

3. Form

The following form is used in this procedure and may be obtained from the Employee/Labor Relations Section of the Human Resources Department: FSU USPS and A&P Complaint Procedure Form

4. Initial Action (Step 1)

When an employee feels that a complaint exists, the employee should arrange a meeting with the immediate supervisor. This meeting must be held within thirty (30) calendar days from the date that the employee became aware of the act or condition that is the basis of the complaint. The complaint may be expressed orally or in writing. It is the intent of Florida State University that, whenever possible, complaints be resolved at this stage, through discussions between the employee and the immediate supervisor. The immediate supervisor must respond to the employee's complaint within five (5) calendar days of the first meeting.

5. Filing A Written Complaint (Step 2)

Regular employees who do not consider their complaint resolved after meeting with their immediate supervisor shall file their complaint in writing using an FSU USPS and A&P Complaint Procedure Form. (Complaint Form - Part A) The complaint will not be reviewed by supervisors above the level of the immediate supervisor unless the complaint is filed in written form. The complaint at Step 2 should be filed with the employee's immediate supervisor within five (5) calendar days of receiving the reply to the initial action (Step 1) from the immediate supervisor.

NOTE: At the same time, the employee shall furnish a copy of the written complaint to the Director of Employee Labor Relations on the behalf of the Chief Human Resources Office who will determine if the complaint is one over which the University has control. If it is determined that the subject matter of the complaint is beyond the control of the University, the employee shall be notified in writing. Copies of the complaint and the decision that the grievance is beyond the control of the University will be sent to the appropriate vice-president.

NOTE: If requested, a member of the Employee/Labor Relations staff of the Human Resources Department will assist both the employee and the supervisor in completing the written complaint form. The employee should be specific in the written complaint and clearly show what action is requested to resolve the complaint.

The employee should submit one (1) copy of the written complaint to the immediate supervisor, and retain one (1) copy. Upon receiving the complaint from the employee, the immediate supervisor will provide a written response on the form and forward it to the next level of supervision. (Complaint Form - Part B) (This should be done expeditiously since there is a ten (10) day limitation on the response time at Step 2.) If the second level supervisor deems it appropriate, the written complaint may be forwarded to the next higher level of supervision for review.

The second level supervisor should arrange for a meeting with the complainant to ensure a full and complete discussion of the problem with all levels of management deemed appropriate. The second level supervisor is encouraged to consult with others as necessary in order to fully investigate the complaint where it is considered appropriate.

Efforts to resolve the complaint should be made up to and including review at the Dean, Director or Department Head level, if necessary. The written response from these levels of supervision shall be returned to the employee within ten (10) calendar days of receipt of the written complaint. (Complaint Form - Part C)

At the request of either the complainant, or the Dean, Director, Chairperson, or vice-president, a member of the Employee/Labor Relations staff will be present at the meeting to provide assistance as needed. The Human Resources staff member will assist in any problem resolution and ensure that no violation of University rules or regulations occurs.

6. Request For Review by Complaint Review Officer (Step 3)

If the review by the second level supervisor, and the written response provided by the second level supervisor are unsatisfactory to the employee, the employee may request a further review by a Complaint Review Officer within five (5) calendar days of receiving the written response to the employee's written complaint (Step 2). The employee should submit the request for review by a Complaint Review Officer, along with the complete file of the complaint, to the Director of Employee Labor Relations or designee, with a copy to the employee's immediate supervisor. The employee should submit any pertinent information to be included in the complete complaint file for consideration by the review officer. The Complaint Procedure does provide for the use of witnesses, and as such the written information provided should include the name, job title, and telephone number of individuals who have first-hand information concerning the complaint. The employee should also indicate, in detail, the information that can be provided by the listed individuals. (Complaint Form - Part D)

If the employee desires to have a representative respond to the questions of the review officer, the name, title, and telephone number of the representative should also be included in the documentation submitted to the Director or designee of Employee Labor Relations.

At the same time the employee requests a review by a Complaint Review Officer, the employee's department should immediately submit to the Director or designee of Employee Labor Relations, the names of those who participated in the departmental review. The department should also include the name, title, and telephone number of the departmental representative who will provide additional information if requested by the Complaint Review Officer. (Complaint Form - Part E)

All of the written material submitted for the Complaint Review Officer review must be complete, concise, and specific to the point of clearly identifying the problem and specifically stating the action or remedy that the employee desires. Should the Director or designee of Employee Labor Relations feel that the written complaint is not sufficiently specific or that the requested information has not been provided, the Director or designee of Employee Labor Relations may request additional information from all parties to the complaint. The Director or designee of Employee Labor Relations shall be responsible for assuring the employee's complaint is either resolved at Step 1 or 2, or to ensure a Complaint Review Officer is appointed to hear the complaint within ten (10) calendar days from the date the appointment of a Complaint Review Officer was requested.

7. Selection of Complaint Review Officer

Upon receipt of the request for review by a Complaint Review Officer, the Director or designee of Employee Labor Relations shall appoint an individual from the University community, outside the division of the complaining employee, to act as the Complaint Review Officer.

8. Responsibilities of Complaint Review Officer

The Complaint Review Officer may choose between conducting a complaint meeting; performing an investigation; or reviewing the written record, in order to establish facts, conclusions and recommendations. The Complaint Review Officer:

  1. Assures the review is thorough and objective.
  2. Assures the review is fair and completely impartial.
  3. Makes arrangements for a suitable place to conduct the investigative interviews, or conduct the complaint meeting (if required), and provides notice to all parties.
  4. Assures that the investigative interviews or the complaint meeting (if required) are conducted in an orderly manner.
  5. Assures that the investigative interviews or the complaint meeting (if required) are recorded by a recording instrument.
  6. Assures that all witnesses provide oral evidence only under oath or affirmation.
  7. Prepares a written summary of the findings of fact, conclusions of law, if applicable, and makes recommendations to the appropriate University vice-president for final University action.

9. Final Decision By University vice-president

The University vice-president shall furnish the complainant a written decision on the complaint within ninety (90) days from the date it is filed at the written step (Step 2). The decision of the University vice-president shall be final in all complaints.

10. Failure to Comply with Complaint Procedure

An employee who believes that the University failed to comply with the Complaint Procedure should contact the Employee/Labor Relations Section of the Human Resources Department to advise of the failure to comply with the Complaint Procedure. The Human Resources Department will review the matter, and take appropriate action to ensure that management fulfills its responsibility to comply with the Complaint Procedure.

4-OP-C-7-G3 Reserved

4-OP-C-7-G4 LAYOFF, USPS

SPECIFIC AUTHORITY
BOG Regulation 1.001(5)(a)
The Office of Human Resources, Employee/Labor Relations

OBJECTIVE

To specify the methods and responsibilities for implementing a layoff of University Support Personnel System (USPS) employees.

The University will only lay off employees if there is a business need to do so. Examples of business need include, but are not limited to, adverse financial circumstances; reallocation of resources; reorganization of programs or functions; curtailment or abolishment of programs or functions; shortage of work; or a material change of duties. In the event of a layoff of employees, a determination of which employees to retain and which employees to separate would be based on business needs and the qualifications of the employees in the department in which the layoff occurs.

NOTE: Layoffs for A&P employees will be handled in accordance with the provisions of the A&P employment contract. Layoffs for collective bargaining unit employees will be handled in accordance with the provisions of the relevant collective bargaining agreements.

A. PROCEDURES - LAYOFF

1. Notice of pending layoff.

When a decision is reached to reduce the work force, the manager responsible for the budget that is to be affected by the abolition of a position will notify the Employee/Labor Relations Section of The Office of Human Resources by letter. The letter will state that a layoff action is to be initiated and must include the following information:

  1. Reason position is being abolished;
  2. Name of the person filling the position to be abolished;
  3. Class of position;
  4. Legislative number of the position;
  5. Number of the budget in which the position is funded;
  6. Date the position is to be abolished.

The Office of Human Resources, Employee/Labor Relations is to be notified of a pending layoff at least forty-five (45) days in advance of the date that the position is to be abolished. A completed Position Management Action Page (PMAP) is to be attached to the notice. The forty-five (45) day notice provides time to comply with notification to the union and also to assist the employee on layoff notice in finding alternative employment.

If the employee does not find alternative employment the employee shall be given an official notice of layoff at least fourteen (14) days prior to the layoff date, or two (2) weeks pay at the employee's current regular hourly rate, or a combination of notice and pay.

2. Appeal rights

The Office of Human Resources, Employee/Labor Relations will inform all employees who are laid off of their right to review by an arbitrator. The issue at arbitration would be whether there was a legitimate business need to lay off the employee including the qualifications of the employee in comparison to other employees. Under no circumstances is a layoff to be considered a disciplinary action and must not be used in place of disciplinary action.

3. Recall of laid off employees

When a vacancy occurs or a new position is established within the layoff department, a laid off employee who is not otherwise employed in an equivalent position shall be recalled within one-year of his/her layoff provided the employee meets the special qualifications and/or relevant experience required for the vacant or new position. The order of recall, if applicable, will be determined by management based on the business needs to the organization. Employees who are re-employed after a layoff in a position in the class from which they were laid off and in which they had attained regular status shall be re-employed with regular status.

4. Status of laid off employee

Employees who are separated due to layoff action and who have regular status are not considered to have had a break in service if rehired to a USPS position within one (1) year from the date of separation.

4-OP-C-7-G5 GUIDELINES FOR DISCIPLINE FOR USPS AND A&P EMPLOYEES

The information regarding the guidelines for disciplinary actions are found in FSU Regulation 4.070.

View the rule ( FSU Regulation 4.070)

Progressive discipline

4-OP-C-7-G6 PREDETERMINATION FOR USPS and A&P EMPLOYEES

Predetermination procedures for University Support Personnel System (USPS) employees with regular status or out-of-unit Administrative and Professional (A&P) employees.

SPECIFIC AUTHORITY
FSU Regulation FSU 4.070

OBJECTIVE

The predetermination procedure affords due process for employees who are charged with appealable actions (i.e.: suspensions and dismissals).

A. PROCEDURES

1. Written Notice

Prior to the dismissal or suspension without pay of a regular USPS employee or A&P employee, the University shall give the employee written notice as follows:

a. The employee shall be given written notice of the proposed action at least ten (10) calendar days prior to the date the action is to be taken.

b. If the employee is available, the notice shall be hand-delivered to the employee and duly receipted by the employee. Otherwise, the notice shall be mailed to the employee by certified mail, return receipt requested. The mailed notice shall be considered received by the employee even if refused or ignored.

2. Contents of Notice

The notice shall be signed by the person authorized to make the final decision or his/her designated representative and shall include the following:

  1. The effective date of the University's proposed final action;
  2. The specific charges or reasons for the action;
  3. A list of documents on which the charges or other reasons are based and a statement that documents shall be available to the employee upon request;
  4. A statement that the employee may, within five (5) workdays of receipt of the notice, submit a request in writing for a predetermination conference at which the employee may make an oral or written statement, or both, to the University to refute or explain the charges or reasons for the action; and the name, address, and telephone number of the person to whom the request for a conference shall be directed;
  5. statement that the requested conference must be held prior to the proposed effective date of the action, at a time and place determined by the University, normally during regular business hours, and that the employee may bring a representative to advise and assist;
  6. A statement that the employing University desires to reduce the risk of error in taking the action against the employee and to avoid damaging the employee's reputation by untrue or erroneous charges, and therefore, the employing University is interested in receiving and considering the employee response; and
  7. A copy or summary of the predetermination procedures shall be enclosed with the notice.

3. Conference

If the conference is requested by the employee, it must be conducted by the person(s) authorized to make the final decision or his/her designated representative(s) as follows:

a. The person(s) conducting the conference shall convene the conference at the time and place set by the University and shall identify all participants. He/she shall explain that the purpose of the conference is to hear the employee's response to the charges in order to protect the employee from erroneous or arbitrary adverse action, to afford the University an opportunity to reevaluate its position after reviewing the information presented by the employee, and to thereafter affirm or alter the disciplinary action as may be warranted.

b.The conference shall be informal and shall not be in the nature of an evidentiary hearing. The employee may bring a representative to assist or advise him/her, but discovery, cross-examination and similar legal procedures are not permissible.

c. The employee shall be permitted to submit relevant information, orally or in writing, or both, with the privilege being reserved by the University to give such information the weight it deems proper. The employee shall be informed that if he/she chooses to make no response, the University will proceed on the basis of the best information it can obtain without such response.

d. After the conference is conducted, the employee shall be notified, as soon as practicable, that the proposed final action will be effective on a specific date, that the proposed final action has been revised, or that no action will occur.

4. Decision

If the University determines after the conference that it will proceed with the suspension or dismissal of the employee, the employee shall be notified in writing by personal delivery or by certified mail, return receipt requested, within five (5) workdays from the date the action is effective, of the employee's right to appeal to an arbitrator under the provisions of FSU Regulation FSU 4.070. If the employee occupies a position included in a certified bargaining unit, the employee shall be further notified that he/she may, in the alternative, use the unit's grievance procedures as provided in the applicable collective bargaining agreement. Furthermore, the University must assure that the provisions of Part VI of Chapter 112, Florida Statutes, Law Enforcement Officers' Bill of Rights, are followed.

5. University Options

During the period between the first notice and the effective date of the action, one of the following options may be used by the University: retain the employee in his/her usual duties; temporarily assign the employee to other duties; or place the employee on administrative leave with pay.

6. Extraordinary Situations

a. In extraordinary situations, when the retention of a regular USPS or A&P employee is likely to result in damage to property or injury to any individual or would be detrimental to the best interest of the University, such employee may be suspended without pay or dismissed immediately, upon written or oral notice of the charges against the employee.

b. If oral notice is given, written notice of such action, and the reasons therefore, must be furnished to the employee along with the employee's appeal rights within five (5) work days from the date the action is effective.

c. In lieu of the action to suspend without pay or dismiss the employee, the University may place the employee on administrative leave as set forth in University Policy 4-0P-7-E1.3, Administrative Leave.

d. Written notice in an extraordinary situation shall be sent by certified mail return receipt requested, or handed to the employee in the presence of a witness and signed for by the employee.

e. Notice of a suspension without pay or dismissal shall include a statement that the employee has a right to appeal to an arbitrator within fourteen (14) calendar days after the date on which notice is received by the employee.

f. If the employee occupies a position included in a certified bargaining unit, the employee shall be further notified that he/she may, in the alternative, use the unit's grievance procedures as provided in the applicable collective bargaining agreement.

g. Further, with sworn law enforcement personnel, the University must assure that the provisions of Part VI of Chapter 112, Florida Statutes, Law Enforcement Officer's Bill of Rights, are followed.

h. In the event the employee refuses to sign or accept notice, such refusal shall be noted in the employee's personnel file and signed by the person presenting the notice and the person witnessing the refusal.

i. These procedures shall be followed only when an extraordinary situation is declared by a person authorized to take an appealable action.

4-OP-C-7-G7 STANDARDS FOR EMPLOYEE ETHICS

It is the policy of the University that employees shall adhere to the standards of the State and University System in their ethical obligations and political activities.

SPECIFIC AUTHORITY
BOG Regulation 1.001(5)(a)
Florida Statutes Chapter 112 and 104.31

OBJECTIVES

To set standards for University employees for their ethical obligations and political activities.

A. PROCEDURES

1. Ethical obligations and Conflicts of Interest

All employees should be aware of their obligations and responsibilities as public employees of the University. No employee shall have any interest, financial or otherwise, direct or indirect; engage in any business transaction or professional activity; or incur any obligation of any nature that is in substantial conflict with the full and competent performance of the employee's duties.

All employees are governed by the provisions of Chapter 112, Florida Statutes, setting standards of conduct for public officers and employees and mandating the disclosure of certain financial interests.

2. Political Activities

Employees who intend to seek election to and hold public office shall notify the Chief Administrative Officer of their intentions and shall adhere to the provisions of Section 104.31, Florida Statutes. The Chief Administrative Officer shall determine whether the employee's candidacy for and holding of public office will interfere with the full discharge of the employee's duties and, if appropriate, require the employee to take a leave of absence or submit a resignation.

3. Failure to Comply

An employee's failure to comply with these ethical requirements may subject them to disciplinary action under the University's Guidelines for Disciplinary Action, reference FSU-4.070, Florida State University Regulations.

4-OP-C-7-G8 LICENSE REQUIREMENTS FOR OPERATING UNIVERSITY-OWNED VEHICLES

Objective

To outline the guidelines and responsibilities for ensuring that operators of University-owned vehicles have a valid driver's license.

PROCEDURES

  1. For employees required to drive University-owned vehicles as a regular element of their job responsibility, the following shall apply:

    1. Each employee will be required at the time of hire to provide proof of their valid driver's license and a copy shall be maintained in their department file. Employees hired prior to the effective date of this policy, will also be required to submit a copy of their valid driver's license which shall be maintained in the department's files.
    2. Each department shall annually verify the validity of the driver's licenses of employees, via the DMV website https://services.flhsmv.gov/DLCheck/ , and print documentation for the department file.
    3. If at any time the employee does not possess a valid license, the employee may be terminated, in accordance with University policy, for inability to perform their job duties. The Employee and Labor Relations section of the Office of Human Resources must be contacted prior to any such action.
    4. If the employee is notified by the State of Florida that their driver's license is not valid (including if the license is suspended) the employee must, within five (5) working days of such notification, inform their immediate supervisor. Failure to notify the supervisor is a violation of this policy and may result in disciplinary action.

  2. Employees who, on occasion, use a University-owned vehicle for the purpose of business related travel must do so in accordance with the established departmental policy. Additionally, departments are required to have these employees periodically present their driver's license so the department can be assured that only licensed drivers are operating University vehicles.


  3. University vehicles are to be operated in accordance with applicable laws and regulations. Employees are personally responsible for any traffic violations and fines, and may be liable for any property damages or injuries resulting from the violation of laws and/or regulations related to the operation of a University vehicle. Employees also could be subject to disciplinary action for violation of laws and/or regulations related to the operation of a University vehicle (Reference 4-OP-C-9 Use of State Vehicles). Any accident, property damage, or injury involving University motor vehicles must be immediately reported to the University's Insurance Coordinator within the Environmental Health and Safety Office at 644-4683.

4-OP-C-7-G9 Contract Cancellation Without Cause of A&P Staff

The information regarding a contract cancellation of A&P staff is found in OP-C-7-D Hiring and Compensation. You may go directly to the contract cancellation policy statement or to the contract cancellation procedure.

4-OP-C-7-G10 HIV/AIDS AND COMMUNICABLE DISEASES

OVERVIEW

Students, employees and applicants for admission or employment at Florida State University who have or may become infected with the HIV virus will not be excluded from enrollment or employment or restricted in their normal responsibilities and access to University services or facilities due to their HIV/AIDS status, unless individual medically-based judgments establish that exclusion or restriction is necessary to the welfare of the individual or of the other members of the University community. That is, the University will not discriminate against otherwise qualified HIV-infected applicants, students or employees.

The Florida State University Committee on HIV/AIDS is responsible for monitoring developments with regard to HIV/AIDS, acting upon and administering the University's policies on HIV/AIDS and coordinating the University's efforts in educating the University community on the nature and prevention of the disease. In addition, The Florida State University Committee on HIV/AIDS meets as needed to consider special problems related to HIV/AIDS that require University action.

The University will be guided in its implementation of this policy by current authoritative medical information, applicable federal and state laws, the SUS HIV/AIDS Policy and the guidelines suggested by the Centers for Disease Control, the Public Health Service, the American College Health Association and the Florida Department of Health and Rehabilitative Services.

Florida State University has designated HIV/AIDS counselors who are available at the University Health Services or the Student Counseling Center.

SPECIFIC AUTHORITY
University HIV/AIDS Policy as published in the FSU Student Handbook and FSU and YOU Employee Handbook
OSHA Standard, Bloodborne Pathogens (Title 29 Code of Federal Regulations, Part 1910.1030).

OBJECTIVE

To establish a procedure for addressing HIV/AIDS, communicable diseases, viruses or bloodborne pathogens that may be introduced into the work environment in a manner that ensures the safety and equitable treatment of all employees.

A. PROCEDURES

Upon a work area being exposed to any communicable disease, virus or bloodborne pathogen, Environmental Health and Safety, Biological Safety, as well as the Employee/Labor Relations Office of Human Resources must be contacted immediately.

a. Environmental Health and Safety will coordinate the appropriate sources to ensure the safety of your work environment.

b. Employee/Labor Relations will assist with any administrative issues related to the workplace.

4-OP-C-7-G11 ALTERNATIVE DISCIPLINE PROGRAM

OVERVIEW

The Alternative Discipline Program is applicable to the disciplining of University Support Personnel System (USPS) and Administrative and Professional (A&P) employees. It is an alternative approach to the traditional progressive discipline concept.

SPECIFIC AUTHORITY
FSU Regulation 4.070

OBJECTIVE

The objective of the Alternative Discipline Program is to provide an alternative to the traditional progressive disciplinary process whereby an employee is suspended without pay for a violation of the University Disciplinary Standards. Under the Alternative Discipline Program, an employee may be suspended with pay for one day in lieu of a suspension without pay. The one-day suspension with pay should be accomplished by relieving the employee of his/her duties for a day set forth in the procedure below.

A. PROCEDURES

1. The employee receives written notice from management for a proposed suspension without pay for violation of the University Disciplinary Standards.

2. The employee requests a predetermination conference with management to refute or explain the charges against him or her.

3. The conference is conducted by the management representative authorized to make the final decision or his/her designated representative.

4. The authorized management representative makes the decision to suspend the employee.

a. Management may consider the Alternative Discipline Program to suspend the employee with pay for one day, as an alternative to a suspension without pay.

b. The employee will be given the opportunity to enter into a "Last Chance Agreement" with the parties agreeing to the following conditions:

(1) To accept the one day suspension with pay for the employee to evaluate whether he/she desires to continue working for the University and, if so, to correct the behavior or conduct;

(2) To waive his/her right to grieve or appeal the suspension with pay;

(3) That any further occurrences of a similar nature could result in his/her dismissal; and

(4) If applicable, to any other conditions that may be pertinent to the specific disciplinary action.

c. If the employee does not agree to the above conditions, a final action letter will follow with a traditional suspension without pay.

d. If the employee agrees to all the conditions outlined above, a final action letter will outline the "Last Chance Agreement" and designate the one-day suspension with pay.

e. Management will determine a day on which to relieve the employee of duty and the employee's Pay and Leave Report will be documented in the Comments Section that the employee was on an "Alternative Discipline Day" pursuant to this policy.

B. SAVINGS

The University will save substantial resources when alternative discipline is elected. The University will avoid having to pay any arbitration costs under the USPS and A&P arbitration appeal process or other applicable grievance procedure. Both the employee's and management's time may be expended productively in an attempt to work together to resolve any problems and avoid any further disciplinary action.

4-OP-C-7-G12 EMPLOYEE BACKGROUND CHECKS

OVERVIEW
The Criminal History Background Check policy supports The Florida State University’s effort to promote a safe and secure environment for all students, faculty, staff, and visitors. Applicants for employment with Florida State University for A&P, USPS, and OPS positions, as well as some volunteers, may be subject to criminal history background checks. Current employees of the University may be subject to criminal history background checks when being considered for a new position/role, or when University management has a justifiable reason pursuant to University procedures, policies, and practices. The need to conduct these background checks must be balanced with the need to protect the privacy of the applicant or employee.

OBJECTIVE
To specify the requirements and procedures for conducting criminal history background checks.

SPECIFIC AUTHORITY
Florida Statutes Sections 110.1127, 435, 409.175, 1012.32, 943.0542
BOG Regulation 1.001(5)(a)
FSU Regulation FSU-4.001
Florida State University Policy OP-C-7-B
Fair Credit Reporting Act 15 U.S.C. § 1681 et seq

All University positions requiring a criminal history background check must have the requirement stated in the job posting when the position is advertised. The requirement to submit to a background check must also be listed in the official Position Description (PD) for salaried (A&P and USPS) positions. All criminal history background checks shall be coordinated by the Employment section in the Office of Human Resources.

1. Pre-employment criminal history background checks

Pre-employment criminal history background checks shall be required for A&P, USPS, OPS, and Volunteer positions under the following categories:

a. Positions that are of special trust or responsibility. This category requires Level 2 (fingerprinting) background checks, and includes, but is not limited to the following:
i. Persons who handle cash (except petty cash), checks, or credit/debit cards;
ii. Persons who perform budgetary, accounting, or other fiscal activities;
iii. Persons with control over operational processes through functional roles or system security access (e.g. the ability to process a payment, print or distribute checks, process payroll corrections, etc.);
iv. Persons with the ability to update/prepare/generate/enter a transaction that will result in one of the following: refund, wire transfer, automatic clearing house, vendor add/change, or vendor address change;
v. Persons entrusted to work with regulated materials [e.g. Select Agents or Toxins (42CFR73.10), DHS Chemicals of Interest (6CFR27, App. A), DEA Controlled Substances (21CFR1301.90), NRC Radioactive Material - Quantities of Concern (NRC EA-07-305) or those in facilities covered by a DOT Security Plan (49CFR172.800)], or other FSU personnel that may have unescorted and unrecorded after-hours access to these materials; and/or
vi. Persons working at the John & Mable Ringling Museum of Art.
b. As required by Federal or State law. This category requires Level 2 (fingerprinting) background checks, and includes, but is not limited to the following:
i. Persons working with vulnerable populations, such as minors, the disabled, or the elderly;
ii. Persons working with minors in a summer camp;
iii. Persons working in a child care center;
iv. Persons working in a school system/district; and/or
v. Persons working at the FSU Police Department.
c. If designated by Vice Presidents, Deans, Directors, or Department Heads. This category may include, but is not limited to the following:
i. Persons with access to sensitive, secure, confidential, and/or personally identifiable information on individuals, such as students, faculty, staff, or alumni;
ii. Persons with access to surplus property inventory; and/or
iii. Persons with access to secured buildings/offices, including those in possession of building master or sub-master keys and/or cards for building access.

2. Levels/types of background checks

The different levels/types of background checks the Human Resources Department coordinates are listed below. Once a department has identified their top candidate(s), they must determine whether a Level 1 or Level 2 background check is required. (If the background check is a Level 2, the department must determine which type of Level 2 is required.)

a. In-State (Florida) Level 1 – Candidate has resided and worked in the State of Florida for the past consecutive three years, and the position does not require fingerprinting.

b. National Level 2:
i. Candidate electronic fingerprinting – The position is of special trust or responsibility, the position requires fingerprinting under state or federal law, the candidate has not resided and worked in Florida for the past consecutive three years, or the candidate currently resides in another state. (This account cannot be used for summer camp candidate fingerprinting, as summer camp fingerprinting must be processed under the National Level 2 Camp Candidates & Volunteers account.)

ii. Volunteers (Non-Camp) electronic fingerprinting – Non-paid volunteer has not resided and worked in Florida for the past consecutive three years, volunteer currently resides in another state, or the volunteer duties require fingerprinting (for example, the position volunteers with minors, disabled, or elderly populations, etc.)

iii. Camp Candidates & Volunteers electronic fingerprinting – Candidate or volunteer is being considered for a University-sponsored summer camp. [In accordance with FL Statutes, fingerprints run under this account are channeled through the Department of Children & Families (DCF), and DCF acts as the screening authority on these background checks.]

In consultation with Human Resources, the hiring department may opt to conduct a Level 2 background check, even if the position only requires a Level 1. (Decisions such as these should be made and applied consistently.)

Criminal history background checks are pre-employment checks and as such, must be conducted and reviewed by Human Resources prior to an offer of employment.

Departments will be responsible for the cost of the background check. Please refer to the Police Background Check Process document for additional details and instructions on requesting a criminal history background check.

NOTE: Departments with positions that require a special level of screening, per FL Statute, beyond the level the University can provide (e.g. screening at the school district level, screening for day care centers licensed by DCF, etc.) should coordinate their screening efforts closely with Human Resources to ensure proper review and documentation is received.

3. Criminal history background checks for current employees

All current employees must inform their supervisor within two (2) business days if arrested for any felonies or first degree misdemeanors (or the equivalent thereof in another state). The employee must also notify their supervisor of the final disposition of their case within two (2) business days. In both circumstances, the supervisor must immediately consult with the Human Resources’ Employee and Labor Relations Office (ELR) to determine if the offense is job related and for additional guidance.

A background check shall be conducted on an employee who is being considered for hire into a new position/role that requires a criminal background check. ELR will provide guidance to the department should a current employee’s criminal history background check reveal any previously undisclosed felony or first degree misdemeanor charges.

A criminal history background check may be conducted on a current employee if University management has reason to believe an employee falsified his or her employment application, or for other justifiable reasons. ELR shall be consulted prior to any criminal history checks on current employees who are not applying to an advertised position requiring a background check.

4. Criminal history background check results

If a criminal history background check reveals any criminal history, the Human Resources Police Background Check Committee will review the report and make a recommendation to the department.

Any false answers, statements, or misleading omissions made on the employment application may be sufficient grounds for rejection as a candidate for employment or immediate discharge, if employed.

In accordance with Equal Employment Opportunity Commission (EEOC) guidelines, the Human Resources Police Background Check Committee takes the following factors into consideration when reviewing criminal history records:
a. The nature and gravity of the offense; and
b. The time period that has lapsed since the offense; and
c. The nature of the job.

An applicant/employee has the right to obtain a copy of any background screening report, including the criminal history records, if any, contained in the report. An applicant/employee has the right to challenge the accuracy and completeness of any information contained in any such report, and obtain a prompt determination as to the validity of such challenge before a final determination is made.

Pre-employment and random drug and alcohol testing is a requirement for positions that require a commercial driver's license (CDL) in accordance with Section 4-OP-C-7-C9 of the Division of Finance and Administration, Human Resources, Policies and Procedures (Drug and Alcohol Testing Program).

NOTE: Correspondence on and the results of criminal history background checks are highly confidential, must always be treated as such, and in most cases cannot be shared with outside entities. If a department is audited and/or receives a request to share this type of information, please consult with the Office of Human Resources for guidance.

5. Complying with the Fair Credit Reporting Act
a. All credit checks must be approved in advance and coordinated through the Office of Human Resources. Contact the Employment section in the Office of Human Resources for more information.

4-OP-C-7-G13 DRUG AND ALCOHOL TESTING PROGRAM

OVERVIEW
This is a federally mandated program designed to help prevent accidents and injuries resulting from the misuse of alcohol or use of controlled substances by drivers of a commercial motor vehicle.

SPECIFIC AUTHORITY
FSU & You Employee Handbook, Commercial Driver's License Drug and Alcohol Testing Program. FSU/First Lab Guide Book, Supervisor Training On Drug and Alcohol Testing U.S. Department of Transportation, Federal Highway Administration (49CFR, Parts 40 and 382)

OBJECTIVE

This procedure establishes an environment free of the abuse and/or illegal use of alcohol and other drugs for both applicants considered as finalists for positions requiring a commercial drivers license (CDL) and employees who operate a commercial motor vehicle (CMV) as mandated by federal regulations.

Applicants who are certified as finalists must satisfy drug testing and background check requirements prior to the extension of an employment offer for all positions which require a CDL.

Training is provided annually to all employees requiring a (CDL). Supervisors of CDL employees are required to have one hour of training on use and abuse of drugs and alcohol. Training is provided as needed throughout the year.

Any employee in the random testing program with a positive test result, or who refuses to submit to testing, will be PROHIBITED FROM PERFORMING safety-sensitive functions and subject to DISCIPLINE in accordance with the University's Guidelines for Disciplinary Action.

A. PROCEDURES

Human Resources Responsibility:

1. Notify supervisor to send employee to the collection site. Employees are tested under the conditions of:

  1. Pre-employment
  2. Post-accident
  3. Random
  4. Reasonable Suspicion
  5. Return to Duty
  6. Follow-up testing

2. Maintain and update list of CDL employees.

3. Maintain the billing process and advise the appropriate department(s) of current charges.

4. Retrieve test results from contracted lab and proceed as necessary.

5. For all positive results, notify Human Resources Employee/Labor Relations Section and the Employee Assistance Program (EAP).

6. If testing is related to pre-employment process, departmental contact is advised of applicants' eligibility for hire.

Employee's Responsibility:

1. Once an employee has been advised they have been selected for testing, they are to proceed immediately to the collection site.

2. For positive results, the employee is responsible for payment of return-to-duty and follow-up tests. These payments will be deducted from the employee's paycheck.

3. For negative results, no action is required of the employee.

Department's Responsibility:

1. Advise the drug and alcohol-testing coordinators of personnel changes that would have an effect on employees required to be tested. (i.e.: new hires, promotions, demotions, re-assignments)

2. If an employee tests positive, immediately remove the employee from all safety sensitive duties and responsibilities. Make sure the employee understands they have seventy-two (72) hours from the time the Medical Review Officer calls to request a retest on the other half of their urine specimen. All costs for the retest are the responsibility of the employee. If the employee does not want to retest the specimen, contact Human Resources Employee Relations Manager to begin disciplinary action.

3. Encumber monies at beginning of the fiscal year to cover testing costs and promptly process billing for payment as soon as notification is received from Human Resources. Notify Human Resources if billing is incorrect or has previously been paid.



For Department of Defense Contracted Employees

The purpose of this policy is to establish the special requirements for University employees working in sensitive positions on grants and/or contracts (a) funded by the U.S. Department of Defense (DOD) and its branch agencies and (b) that contain the provisions of the DOD Drug-Free Work Force Rule of 1988. The DOD Drug Free Work Force requirements found at DFAR 252.223-7004, are federally mandated by FAR Section 223.570-4, and are designed to help prevent accidents and injuries resulting from the misuse of controlled substances by employees on grants or contracts where the Drug Free Work Force requirements are imposed. The provisions of this policy do not relieve an employee from any requirements pursuant to other University policies on drug and alcohol usage.

  1. Definitions
    1. "Employee in a sensitive position" as used in this policy means an employee who is working on a DOD contract/grant that includes the Drug Free Workforce requirement and who has either been granted access to classified information or is employed in other positions on the DOD contract/grant that the University or the federal sponsor has determined involve issues of national security, health or safety, or functions requiring a high degree of trust and confidence. These requirements are only applicable to DOD projects containing the Drug Free Workforce requirement. Not all DOD projects contain such a requirement.
    2. "Illegal Drugs" as used in this policy means controlled substances included in Schedules I and II, as defined by Section 802(6) of Title 21 of the United States Code, the possession of which is unlawful under Chapter 13 of that Title. The term "illegal drugs" does not mean the use of a controlled substance pursuant to a valid prescription or other uses authorized by law.
  2. Policy

    Florida State University will maintain a program designed to comply with the Drug Free Work Force requirements imposed by the Department of Defense. This program includes:

    1. An employee assistance program that provides for evaluation, referral, counseling and rehabilitation for employees who use illegal drugs.
    2. Supervisory training to assist in identifying and addressing illegal drug use by employees.
    3. Provisions for treatment involving self-referrals as well as supervisory referrals to treatment with the maximum respect for individual confidentiality consistent with safety and security issues.
    4. Provisions for initial screening and random testing of employees in sensitive positions. This drug testing will be required as a condition of employment under the DOD grant/contract, and stated in the official position descriptions and job vacancy announcements. The drug testing requirement shall include:
      1. Drug testing on a controlled and carefully monitored basis at an approved drug testing facility.
      2. A consent agreement signed by each employee as a condition of working under the DOD grant/contract. The consent form will allow for disclosure of test results to the EAP Coordinator and the employee's immediate supervisor and/or department head.
      3. Testing to be carried out by qualified personnel at a reputable laboratory.
      4. The drug testing facility shall maintain all official documentation of the chain of custody for each specimen.
      5. The drug testing laboratory shall be licensed and approved by under state law requirements.
      6. Any unexcused absences from the testing procedure or refusal to submit to testing may be cause for removal from the DOD-funded project,

  3. The University will take appropriate action as a result of a positive drug test or other situations when it determines the employee is using illegal drugs on or off-duty. This may include dismissal from the DOD-funded project, discipline in accordance with established disciplinary procedures and/or referral to the University's Employee Assistance Program. An employee who is referred to the Employee Assistance Program will not be allowed to continue working in a security sensitive position on a DOD-funded project containing the Drug Free Work Force requirements. When the University determines that the employee is capable of performing the duties of the security sensitive position on the DOD-funded project, the employee may be returned to the same position or another security sensitive position on the DOD-funded project, unless the project has terminated.


  4. Other Federal Contracts: Employees must comply with the drug/substance abuse policies in contracts from projects funded by federal agencies. This may include drug-testing for:

    1. Pre-employment
    2. Post-accident
    3. Random
    4. Reasonable Suspicion
    5. Return to Duty
    6. Follow-up testing

  5. The University will take appropriate action as a result of a positive drug test or other situations when it determines the employee is using illegal drugs on or off-duty. This may include dismissal from the federally funded project, discipline in accordance with established disciplinary procedures and/or referral to the University's Employee Assistance Program. An employee who is referred to the Employee Assistance Program will not be allowed to continue working with the federally funded project. After that person successfully completes whatever counseling/treatment program is mandated, he/she may be returned to the project, if it is still on-going.