Policies and Procedures
COMPLAINTS/GRIEVANCES/EMPLOYEE RELATIONS
COMPLAINTS - USPS
The University encourages the informal resolution of all problems whenever possible before the filing of a complaint, and encourages open communication so that resorting to the formal complaint procedure normally will not be necessary.
A complaint may occur when an employee believes that any condition affecting the employee's terms and conditions of employment is unjust, inequitable, or creates a problem. Under this procedure, an employee has no right to file a complaint concerning performance evaluations unless it is alleged that the evaluation was based on factors other than the employee's performance on the job. Also, suspensions, reductions in pay, transfers, layoffs, demotions and dismissals shall not be considered as complaints under this process. Review of those actions shall be handled under the provisions governing arbitration appeals for USPS employees.
The time limitations established in this policy are imposed to ensure timely consideration and response by management to the complaint. When circumstances necessitate, the complainant may agree to extend the time limitation with the approval of the Director of Human Resources.
The term "days" shall mean calendar days. In the event an action falls due on Saturday, Sunday, or on a State holiday, the action will be considered timely if it is accomplished by 5:00 p.m. on the following business day.
Employees with permanent status in the USPS shall have access to the full complaint procedure. Employees who have not achieved permanent status in the USPS, may pursue this complaint procedure only through their immediate supervisor and the next level supervisor, whose decision shall be final.
The FGCU Complaint Procedure Form is used in this procedure and is attached or may be obtained from the Office of Human Resources.
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 seven days from the date that the employee became aware of the act or conditions that are the basis of the issue. The complaint may be expressed orally or in writing. It is the intent of the 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 seven days of the first meeting. If a written complaint is provided to the supervisor, the response shall be in writing. If the complaint is provided orally, the response may be provided in writing at the discretion of the supervisor.
Filing a Written Complaint (Step 2):
Employees who do not consider their complaint resolved after meeting with their immediate supervisor shall file their complaint in writing by completing Part A of the FGCU Complaint Procedure Form. 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 seven days of receiving the reply to the initial action (Step 1) from the immediate supervisor.
At the same time, the employee shall furnish a copy of the written complaint to the Director of Human Resources 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 shall be denied, the employee shall be notified in writing. Copies of the complaint and the letter of denial will be sent to the employee, department head and University President.
If requested, a member of the staff of the Office of Human Resources 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 copy of the written complaint to the immediate supervisor, and retain one copy. Upon receiving the complaint from the employee, the immediate supervisor will provide a written response on the form (Part B) and forward it to the next level of supervision. (This should be done expeditiously since there is a fourteen calendar 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 may arrange for a meeting with the complainant to ensure a full and complete discussion of the problem with all levels of management occurs. 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 vice presidential level, if necessary. The written response from these levels of supervision shall be returned to the employee within fourteen days of receipt of the written complaint. (Complaint Form - Part C)
At the request of the complainant, or the Dean, Director, Chairperson or Vice President, a member of the Human Resources staff will be present at the meeting to provide assistance as needed. The Human Resource staff member will assist in any problem resolution and ensure that no violation of policies or procedures occur.
Request for Review by Complaint Hearing 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 hearing officer within seven 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 hearing officer, along with the complete file of the complaint, to the Director of Human Resources, and 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 hearing officer.
The complaint procedure provides 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 firsthand 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 hearing officer, the name, title, and telephone number of the representative should also be included in the documentation submitted to the Director of Human Resources.
At the same time the employee requests a review by a complaint hearing officer, the employee's department should immediately submit to the Director of Human Resources 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 hearing officer. (Complaint Form - Part E)
All of the written material submitted for the complaint hearing 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 of Human Resources feel that the written complaint is not sufficiently specific or that the requested information has not been provided, the Director of Human Resources may request additional information from all parties to the complaint. The Director of Human Resources shall be responsible for assuring the employee's complaint is either resolved at Step 1 or 2, or to ensure a complaint hearing officer is appointed to hear the complaint within fourteen days from the date that appointment of a complaint hearing officer was requested.
Selection of Complaint Hearing Officer:
Upon receipt of the request for review by a complaint hearing officer, the University President, or designee, shall appoint an individual from the University community outside the division of the complaining employee, to act as the complaint hearing officer.
Responsibilities of Complaint Hearing Officer:
The complaint hearing officer may choose between conducting a formal complaint hearing; performing investigative interviews; or reviewing the written record, in order to establish facts, conclusions and recommendations. The Complaint Hearing Officer:
a) Assures the review is fair and completely impartial.
b) Assures the review is thorough and objective.
c) Makes arrangements for a suitable place to conduct the investigative interviews, or conduct the complaint hearing (if required), and provides notice to all parties.
d) Assures that the investigative interviews, or the complaint hearing (if required) is conducted in an orderly manner.
e) Determines if the investigative interviews, or the complaint hearing (if required) will be recorded by a recording instrument.
f) Assures that all witnesses provide oral evidence.
g) Prepares a written summary of the findings of fact, conclusion of law, if applicable, and makes recommendations to the University President for final University action.
Final Decision by University President:
The University President shall furnish the complainant a written decision on the complaint within sixty days from the date it is filed at the written step (Step 2). The decision of the University President shall be final.
Form
Click here to download the FGCU Complaint Form [HR G-100 (10-96)]
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DISCIPLINARY ACTIONS - A&P AND USPS
The University shall administer a uniform procedure covering disciplinary actions using as guidelines the following ranges of penalties for various types of work deficiencies and conduct offenses. Review shall be made periodically to insure that supervisors are being reasonably consistent in taking disciplinary actions against employees involved in similar situations.
The provisions of this policy are subject to applicable collective bargaining agreement provisions, and Board of Regents System-Wide Personnel Rules. Disciplinary action will be taken in a positive and constructive manner designed to assist employees in meeting expected standards.
The authority to discipline employees is vested in the University President. The President has delegated authority to the respective Vice President to approve disciplinary actions within the administrative area for which he/she is responsible, including delegation of authority to the hiring official regarding the suspension and termination of any USPS and A&P employee, conditional upon the approval of the appropriate Vice President. Authority has also been delegated to Department Heads and/or immediate supervisors for oral and written reprimands.
All employees are expected to respect the rights of others, to exhibit a level of behavior supporting the mission, purposes and best interests of the University, to perform assigned duties in an orderly and efficient manner, and to adhere to all University rules, policies, and directives.
An employee who commits different offenses and, who despite repeated warnings, fails to correct his or her behavior to conform to reasonable conduct or work standards will be subject to progressive and cumulative disciplinary action.
An employee may be subject to progressively more severe discipline for continued offenses of the same standard of conduct. To determine the severity of the action to be taken for the current offense, the disciplining authority may consider prior offenses in applying discipline. Prior offenses need not be similar to the current offense.
The standards for disciplinary action apply to offenses that occur while the employee is at work. Disciplinary action can be taken if an offense occurs while the employee is off-duty, if it is determined that it adversely affects the employee's ability to perform assigned duties, or the University's ability to carry out it's mission and purpose. Such determination must be substantiated by facts.
Except for offenses which require that immediate disciplinary action be taken, employees may receive counseling and will be given an opportunity to comply with the supervisor's instructions before disciplinary action is taken. If the problem is not resolved, the supervisor will communicate to the employee the action to be taken.
An investigatory interview may be used by the supervisor to determine whether the employee committed the alleged offense. The employee shall be advised prior to the interview that the supervisor will be conducting an investigatory interview. If an employee is covered by a collective bargaining agreement, he or she may have a union representative present as an advisor during any disciplinary investigation interview. Such representatives may neither act as a spokesperson, nor argue facts or conclusions. The provisions of Part VI of Chapter 112, F.S., shall apply to law enforcement employees covered by that statute.
USPS Probationary Employees
It is the intent of the University Support Personnel System (USPS) Rules and Regulations that the probationary period be a working test period required of any USPS employee following appointment to any class in which the employee does not hold permanent status. It is important to note that for purposes of discipline, permanent status refers to an employee's status in the USPS and not a specific job. Consequently, an employee with permanent status in USPS, but serving in probationary status in a class, may be removed from the class during this probationary period without the application of these standards. New employees, in probationary status in the USPS, may be dismissed during this probationary period without the use of these standards and without right of appeal.
Types and Guidelines for Disciplinary Action:
Oral Reprimand: This is the least severe type of disciplinary action. The purpose is to cause the employee to correct inappropriate behavior. A record of the oral reprimand shall be prepared containing only a brief description and the dates of the incident and reprimand, and the disciplinary standards violated. The document shall be provided to the employee with a copy forwarded to the Human Resources Office for inclusion in the employee's personnel file.
Written Reprimand: The purpose is to warn the employee in writing of a specific offense or deficiency in performance standards and give notice to the employee of the next level of discipline for a repeated offense. The written reprimand shall be in a memorandum format informing the employee of the possible consequences if the offense is repeated. The memorandum shall be provided to the employee with a copy forwarded to the Human Resources Office for inclusion in the employee's personnel file.
Suspension: This is a severe form of discipline which shall be administered as a step in the progressive and cumulative discipline procedure following one or more written reprimands, or for the first discipline for the commission of a serious offense. Suspension is defined as an action taken by the University to temporarily relieve the employee of duties and place the employee on leave without pay. Notice shall be given, offering the employee the opportunity for a predetermination conference.
Dismissal : This is the final and most severe form of discipline that may be imposed on an employee. Dismissal is defined as the action taken by the University to separate an employee from employment. Notice shall be given, offering the employee the opportunity for a predetermination conference.
Standards for Disciplinary Action:
The following standards for disciplinary action shall be used by supervisors to assure uniformity in treatment in the most common disciplinary problems. The list of offenses is not exclusive and the disciplinary action selected for a particular offense will be chosen based on the facts of the specific situation taking into consideration any extenuating circumstances. These standards do not preclude the imposition of more or less severe penalties depending upon all circumstances surrounding a particular incident and are meant to be illustrative of the most common disciplinary problems and the actions to be taken. Failure to follow the standards for disciplinary action shall not be grounds to invalidate the disciplinary action unless the failure materially prejudices the employee's rights.
For the following types of offenses, the progressive disciplinary action should be: First Offense - oral to written reprimand; Second Offense - written reprimand;Third Offense - suspension; Fourth Offense - dismissal.
a) Excessive tardiness
b) Leaving the work station or duty assignment without authorization
c) Excessive absenteeism
d) Loafing
e) Horseplay
f) Negligence
g) Improper uniform or untidy appearance
h) Violation of safety practices
i) Unauthorized distribution and solicitation
For following types of offenses, the progressive disciplinary action should be: First Offense - oral reprimand to suspension; Second Offense - written reprimand to suspension; Third Offense - suspension to dismissal;Fourth Offense - dismissal.
a) Insubordination
b) Failure to report revocation or suspension of Driver's License
c) Sleeping on duty
d) Abuse of position or unauthorized use of department identification
e) Failure to report bribe
f) Improper or careless use or operation of state property or equipment
g) Absence without authorized leave
h) Unauthorized use of state property, equipment or personnel
i) Threatening or abusive language
j) Conduct unbecoming a public employee
k) Possession of unauthorized weapons and/or firearms on university property
l) Unlawful or careless use or display of weapon
m) Handling of evidence by law enforcement officers
n) Failure to give truthful or requested information during internal investigation
o) Display of uncooperative or antagonistic attitude.
For the following types of offenses, the progressive disciplinary action should be: First Offense - written reprimand if restitution is not arranged to the satisfaction of the university after the first notice to pay the debt; Second Offense - dismissal if restitution is not made after the second notice to pay the debt.
a) Failure to make restitution of debts
For following types of offenses, the progressive disciplinary action should be: First Offense - written reprimand to dismissal; Second Offense - dismissal.
a) Falsification of records
b) Violation of a provision of law or university rule
c) Sexual harassment
For following types of offenses, the progressive disciplinary action should be: First Offense - suspension to dismissal; Second Offense - dismissal.
a) Fighting on the job, battery or threat
b) Misdemeanor or felony conviction of a crime
c) Reporting to work under the influence or use of illegal drugs
d) Divulging confidential information or unauthorized release of records
e) Drinking on the job or reporting to work under the influence of alcohol
f) Possession, sale, distribution of alcoholic beverage or illegal drugs
For following types of offenses, the progressive disciplinary action should be: First Offense - dismissal
a) Sabotage
b) Theft or stealing
c) Strike or concerted activity
The failure to satisfactorily meet the minimum performance standards that specifically relate to the employee's duties and responsibilities with or without use of progressive discipline, or failure to maintain the minimum qualifications set for a position by either the University or a certifying agency..
Procedure
Supervisor/Department Head
Investigate facts and administer oral or written reprimand or recommend other appropriate disciplinary action to the Vice President and/or Director of Human Resources.
Document incident if oral reprimand is given and send copy of oral or written reprimand, issued to employee, to Director of Human Resources.
Vice President
Review department head's recommendation for suspension or dismissal actions and provide authority to initiate appropriate action.
Director of Human Resources
Review department and vice presidential determination in instances involving proposed suspension or dismissal actions. Provide recommendations regarding disciplinary action and assist with initiation of disciplinary action in accordance with applicable rules and/or collective bargaining agreements.
Individual Authorized to Effect Disciplinary Action
Conduct investigation and administer oral or written reprimand. Conduct predetermination procedures for disciplinary action involving suspension or dismissal, and advise employee of final action to be taken including any rights to appeal or grieve the action as may be appropriate in accordance with rules and/or applicable collective bargaining agreement.
Human Resources
Maintain records of all disciplinary documentation in the official employee personnel file.
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DISCIPLINE AND TERMINATION FOR CAUSE OF NON-UNIT FACULTY AND A&P EMPLOYEES
The appointment of a Non-Unit faculty or an A&P staff member may be terminated or suspended during its term for just cause. Just cause shall be defined as incompetence or misconduct.
An employee shall be given written notice of termination or suspension by the President or designee. The notice shall state the reasons for the termination or suspension. The termination or suspension imposed under this subsection shall take effect when either the time for filing a grievance under University procedures has passed, or, in the event a grievance is filed, after final administrative action has been taken.
During the period following notice, the employee may, at the discretion of the President or designee, be reassigned.
The President or designee retains the right to impose disciplinary action, other than termination or suspension, for just cause. An employee shall be given written notice of any disciplinary action. The President or designee shall state in the notice reasons for the disciplinary action. Any disciplinary action taken under this section shall be subject to the University grievance procedure applicable to Non-Unit faculty and A&P employees.
Within two (2) work days, excluding weekends and official holidays, the President or designee shall serve written notice upon the employee, including a statement of the reasons for any action taken. If the employee has been suspended without pay and ultimately prevails in the grievance procedure, the employee shall be reinstated with back pay.
Employees appointed to Executive Service may be subject to suspension, reduction in pay, demotion, transfer, reassignment and other personnel actions at the discretion of the President.
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GRIEVANCE PROCEDURE - NON-UNIT FACULTY AND A&P
This grievance procedure is applicable to all Instructional and Research faculty and Administrative and Professional (A&P) staff who are not members of the BOR/UFF collective bargaining unit. Grievances of bargaining unit faculty and A&P staff are governed by the BOR/UFF Collective Bargaining Agreement.
The purpose of this procedure is to promote a prompt and efficient process for the investigation and resolution of grievances filed by non-unit faculty and A&P staff.
The University encourages the informal resolution of all problems whenever possible before the filing of a grievance, and encourages open communication so that resorting to the formal grievance procedure normally will not be necessary. The failure to resolve a matter informally prior to the filing of a grievance shall not be an act or omission giving rise to a grievance and shall not operate to extend the time limits for processing the grievance.
The burden of proof shall be on the University in a disciplinary grievance alleging violations covering suspension, termination for cause, and disciplinary actions. In all other grievances, the burden of proof shall be on the grievant.
The intent of this procedure is to provide a complete response to a grievance but not to encourage multiple processing of the same issue. Therefore, if prior to, or while seeking resolution of, a dispute under this procedure, a grievant seeks resolution of the matter in any other forum, administrative or judicial, the University shall have no obligation to proceed further with the matter pursuant to this procedure. The grievant shall immediately notify the University in writing if he or she has sought resolution of the matter in any other forum. Further, since it is not intended that the grievance procedure be a device for appellate review, the response of the president or representative to a recommended order of a presiding officer acting pursuant to Chapter 120, Florida Statutes, or to any other individual or group having appropriate jurisdiction in any other procedure shall not be an act or omission giving rise to a grievance under this procedure.
All time limits contained may be extended by mutual agreement of the parties. Upon failure of the University or its representative to provide a decision within the time limits, the grievant may appeal to the next appropriate step. Upon the failure of the grievant or counsel to file an appeal within the time limits, the grievance shall be deemed to have been resolved at the prior step.
A grievant who complains of matters which affect his/her substantial interest may file a petition for a hearing pursuant to and in accordance with Section 120.57 of the Florida Statutes unless a written grievance has been or is being filed under this procedure. Filing of a written grievance under this procedure constitutes a WAIVER of any right the grievant might otherwise have to request a hearing pursuant to Section 120.57, Florida Statutes.
The written grievance shall be filed on the STEP ONE GRIEVANCE FORM FOR ADMINISTRATIVE AND PROFESSIONAL STAFF and shall contain the following information: grievant's name; name and address of counsel, if any; specific provision(s) of Chapter 6C-5 or other rule or statute claimed to have been violated; a statement of the grievance, including the acts or omissions which are claimed to have given rise to the grievance; the date of such acts or omissions; remedy sought; signature of the grievant.
Definitions
Days - The term "days" shall mean calendar days. In the event an action falls due on Saturday, Sunday or a State holiday, the action will be considered timely if it is accomplished by 5:00 p.m. on the following business day.
Grievance - The term "grievance" shall mean a dispute concerning promotion, non-renewal and termination of employment contracts, discipline, salary, work assignment, annual evaluation, layoff and recall, and other rights accruing to grievants pursuant to Chapters 6C-5 and 6C10-5, F. A. C. Work assignment does not include the reassignment or transfer to another campus or location of the University.
Grievant - The term "grievant" shall mean a non-bargaining unit member or members of the University faculty and Administrative and Professional staff whose rights have been directly affected by an act or omission of the University or representative, and who has filed a grievance.
Grievance Officer - The term "grievance officer" shall mean a University employee appointed to conduct the Step 1 meeting by the Vice President responsible for the division in which the grievant is employed.
Technical Advisor - The term "technical advisor" shall mean a representative of Human Resources appointed to assist the grievant and the grievance officer in administrative duties and interpretation of policies and procedures.
Grievance Process:
Step 1 Procedures
Upon receipt of the written grievance, the Vice President responsible for the division in which the grievant is employed shall appoint an appropriate University employee to serve as grievance officer. The Vice President may ask the Director of Human Resources to appoint a grievance technical advisor. The grievance officer and the technical advisor, if the grievance officer deems it necessary, shall within twenty-five (25) days following receipt of the grievance, meet with the grievant in informal conference(s) to establish the facts giving rise to the grievance. These meetings, insofar as they concern evaluative material of an employee, shall be deemed confidential and not open to the public.
The grievance officer shall consult with the parties directly involved in the grievance and interview others in addition to the grievant and seek any other material as necessary in order to determine an appropriate resolution of the grievance. The investigation shall be as informal as possible, yet compatible with the interests of determining a rational resolution of the grievance.
The grievance officer shall, within twenty-five (25) days following the conclusion of the investigation and informal conference(s) with the grievant, issue a written decision to the grievant giving reasons for the conclusions reached and attaching all documents presented at the Step 1 meeting. The grievance officer will provide a copy of the written decision with attachments to the respective divisional Vice President.
Step 2 Procedures
If the grievant is dissatisfied with the decision in Step 1, and wishes to pursue the matter, the grievant shall send a letter to the President within twenty-five (25) days following receipt of the decision in Step 1 requesting a Step 2 review.
The President may elect to conduct a Step 2 review personally or may refer the grievance to the appropriate Vice President for a Step 2 review.
The Step 2 review may be based solely on the Step 1 report or may include a meeting with the grievant as deemed necessary by the President, or respective Vice President if designated to conduct the Step 2 review.
A written decision shall be furnished to the grievant within twenty-five (25) days following completion of the Step 2 review. The decision of the President or Vice President conducting the Step 2 review shall be final.
Form
Step One Grievance For Administrative And Professional Staff [HR-G200 (10-96)] - Available on the Share Drive in Forms/HR Forms
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