Fielding Graduate University

Fielding Graduate University has developed a plan that sets forth methods and procedures to achieve the objectives of affirmative action and equal opportunity. It is designed to provide guidelines for institutional action

Its goal is to enhance the diversity of Fielding with a special emphasis on increasing the presence of people of color who have been traditionally underrepresented in the Fielding community. The plan applies to allphases of student recruitment, selection and retention, to staff and faculty employment (including recruitment, appointment, re appointment, and nonrenewal of appointment), and to membership on the Board of Trustees. As the chief executive, the president has final oversight of the plan in all of its aspects. Responsibility for its implementation will rest with the university's Affirmative Action Officer. However, all levels of Fielding Graduate University are expected to make a concerted effort to advance equal opportunities for all persons at Fielding. The full text of the plan can be obtained from Fielding's Affirmative Action Officer.

Policy Revised 11/01/1996

5.1 Personal Code of Conduct
5.2 Discipline Policy
5.3 Security
5.4 Confidential Information

5.1 Personal Code of Conduct

There is no dress code beyond asking you to dress neatly and appropriately for your position.

While we encourage all employees to personalize their work space, we have a strong desire to maintain the aesthetic integrity of the buildings and ask your cooperation in this effort.

The use of the kitchen (at both sites) and its equipment is available to everyone. Fielding provides coffee and tea at no charge. Please clean up after yourself, wash your dishes, initial any food you put into the refrigerator, and take out your food when it gets old. If you notice any decaying food, please discard it regardless of whether or not you brought it.

Keep personal use of Fielding equipment, such as word processing machines, to a minimum. If you have a large outside project for which you want to use Fielding equipment, please check with your service center leader first. Please keep time spent on personal business and phone calls to a minimum and use your personal calling card when making personal long distance calls.

If you use the postage meter or copy machine for personal use please reimburse Fielding. Payment can be made to the Staff Accountant.

Smoking is not permitted inside the buildings or on the outside balconies. If you smoke you may do so outside on the ground floor level. Please use ashtrays and keep them clean. Consumption of intoxicants is permitted only during approved social functions.

This is not an exhaustive list of expected work related behavior; however, good common sense and mutual respect shown to fellow workers is encouraged, appreciated and expected.

Parking

All employees may use the parking lots free of charge. Spaces are available on a first-come first-served basis. Additional parking, at 2112 Santa Barbara Street is also available to Fielding employees across the street in the church parking lot. Do not park on the west side of Padre Street (by the house on the corner).

If you use your personal car on approved Fielding business, Fielding will reimburse you at the current authorized rate per mile which can be obtained from Accounting. Report the mileage on an Expense Report Form. Authorized travel and expenses will be reimbursed.

5.2 Discipline Policy

A. Policy

Employees are expected to observe certain standards of job performance and good conduct. When performance or conduct do not meet standards, Fielding Graduate University will endeavor when it deems appropriate to provide the employee a reasonable opportunity to correct the deficiency. If, however, the employee fails to make the correction, he or she will be subject to discipline up to and including termination.

The rules set forth below are intended to provide employees with fair notice of what is expected of them. Necessarily, however, such rules cannot identify every type of unacceptable conduct and performance. Therefore, employees should be aware that conduct not specifically listed below but which adversely affects or is otherwise detrimental to the interests of the university, other employees, or students, may also result in disciplinary action.

B. Discipline Procedure

Except as set forth below, discharge for poor performance usually will be preceded by a discussion, a verbal warning and at least one written warning. An explanation of each is as follows:

Discussion: An informal conversation between the employee and his/her supervisor. The purpose of this conversation is to give the supervisor and employee the opportunity to discuss issues relevant to the employee's performance, to clarify the level of performance expected and for to develop an action plan to attain the desired level of performance.

Verbal Warning: A formal conversation between the employee and his/her supervisor or service center leader. A formal warning takes place when no improvement or minimal improvement in performance is realized following the discussion. The supervisor and employee will again discuss the issues relevant to performance, clarify the level of performance expected and review the action plan necessary to attain the desired level of performance. The supervisor will keep a record of the conversation for his/her files, but it will not be included in the employee's permanent personnel file.

Written Warning: A written warning occurs when no improvement or minimal improvement is seen following the verbal warning. The supervisor will document the issue, the desired outcome and the follow-up steps to be taken. The employee will be asked to sign this form and it will become part of his/her permanent personnel file. If the employee wishes, s/he will be given the opportunity to formally respond to the warning in writing. This response will then be attached to the warning in the individual's personnel file.

Please remember that these steps only represent a basic guideline for action. Fielding Graduate University may proceed directly to a written warning or to termination for misconduct or performance deficiency, without utilizing prior disciplinary steps, when Fielding deems such action to be appropriate. Action proceeding directly to a written warning or to termination must be reviewed by the individual's service center leader and the Human Resources Director prior to its implementation.

C. Job Performance

Employees may be disciplined or immediately discharged for poor job performance, including but not limited to the following:

1. Below-average work quality or quantity;

2. Poor attitude ( for example, rudeness or lack of cooperation);

3. Excessive absenteeism, tardiness, or abuse of break and lunch privileges;

4. Failure to follow instructions or Fielding procedures; or

5. Failure to follow established safety regulations.

D. Misconduct

Employees may be disciplined for misconduct, including but not limited to the following:

1. Insubordination;

2. Dishonesty;

3. Theft;

4. Misusing or destroying Fielding property or the property of another on Fielding premises;

5. Disclosing or using confidential or proprietary information without authorization;

6. Falsifying or altering Fielding records, including the application for employment;

7. Interfering with the work performance of others;

8. Harassment, including sexual harassment, of employees or students;

9. Being under the influence of or using alcohol or illegal substances on Fielding property or while conducting Fielding business. Alcohol may be served only at designated Fielding events;

10. Sleeping on the job or leaving the job without authorization;

11. Possessing a firearm or other dangerous weapon on Fielding property or while conducting Fielding business;

12. Being convicted of a crime that indicates unfitness for the job or raises a threat to the safety or well being of the university, its employees, students, or property.

E. Attendance

In addition to the general rules stated above, employees may be disciplined for failing to observe the following specific requirements relating to attendance:

1. Reporting to work on time, observing the time limits for rest and lunch periods, and obtaining approval to leave work early; and

2. Notifying their supervisor in advance of anticipated tardiness or absence.

3. Failing to report to work or notifying supervisor of illness or emergency.

5.3 Security

The security of employees, employee property, and the property of the university is of vital importance to Fielding Graduate University. All employees share responsibility to ensure that proper security is maintained. Any breach of security should be reported promptly to your immediate supervisor, service center leader or Human Resources.

In addition to providing protection for Fielding's property, we have added coverage for personal effects of staff, faculty and students while such property is on Fielding premises. The coverages are limited to $1000 per incident for staff and faculty, and $500 for students. If you believe this amount to be insufficient to cover your personal belongings at Fielding, please make addtional provisions with your personal insurance carrier.

5.4 Confidential Information

Fielding property includes not only tangible property, like desks and computers, but also intangible property such as information. Of particular importance are proprietary information and confidential information. Proprietary information includes all information obtained by employees during the course of their work. This Handbook, for example, contains proprietary information. Confidential information is any information that is not known generally to the public or the industry. Student lists, personnel files, computer records, financial and salary information, are examples of confidential information. Employees may not disclose or use proprietary or confidential information except as their jobs require. Anyone who violates this guideline will be subject to discipline and possible legal recourse.

Mission

Fielding Graduate University recognizes the importance of supporting its employees, not only as a valuable human resource, but also as individuals with ever-changing needs at various stages of their professional and personal lives. Realizing this, Fielding believes that the compensation and benefits package should strive to provide a sense of security and well-being for its employees and their families within the economic constraints of fulfilling Fielding's overall mission. To accomplish this, Fielding will strive to stay attuned to the most progressive trends regarding the mental and physical well-being of employees in the workplace and utilize various methods to ensure representation in decision-making from staff (or representatives).

Goals

The benefits package should be maintained at a commensurate level in relation to other comparable organizations in this labor market, so that it may enhance the recruitment and retention of individuals motivated to work toward and achieve the goals established by Fielding. It is Fielding's intention to provide a total package which promotes high employee morale, satisfaction, and commitment to the organization.

Objectives

Fielding Graduate University has determined the following objectives to be realistic. Fielding spends millions of dollars annually for the current compensation and benefits package. This figure includes required taxes (FICA, SUI, SDI), Retirement, Workers Compensation, Health, Dental, Long-Term Disability Insurance, Child Care and all paid leaves.

While an increase in funds available for benefits is not assured, our objective, when financially feasible, as the management of Fielding, is to hold expenditure increase for the benefits package within two percentage points of the annual consumer price index (CPI) for this area. This limitation will take account of increases resulting from new staff additions.

The health and dental benefits of individual staff members is a primary concern of our package. Care for dependents, while important, is to be provided only after suitable coverage is attained for staff on an individual level.

It is our intention that the paid leave categories of vacation, sick leave, sabbaticals, and holidays be maintained at their current benefit level.

In addition, the retirement plan should also be maintained at its current levels of Fielding contribution. Any additional costs associated with increased retirement plan contributions will be absorbed in other areas of the benefits package.

It is our intention that changes mandated by legislation, e.g., Social Security tax rates, state mandated insurance, should also be absorbed within our overall goal.

Fielding will continue to include child care support in its budget.

Other benefits will be offered as feasible when these priorities have been fulfilled.

Strategies

Fielding Graduate University will strive to accomplish the objectives of its benefits policy by the following methods:

1. Obtain the annual CPI from the Department of Labor. Compute the dollar range available for benefit increases, contingent upon the availability of funds.

2. Consult staff by survey, general staff meetings, and committees, so that their input may be considered when making decisions on current benefit coverage.

3. Monitor information on benefit programs of comparable organizations in this geographic area on an annual basis.

4. Explore current trends in the compensation area to provide possible alternatives to traditional methods.

5. Provide information to staff regarding Fielding's benefits package and how it compares to other packages in this region among comparable institutions.

6. Provide additional information regarding the various benefit programs to ensure that staff utilize them effectively.

Fielding Faculty

Administrative Support positions

Academic Support positions

Academic Managers

Executive Management

Temporary staff employees

Adjunct Faculty

University Consultants

Research Associates

Research Fellows

Student Research Assistants

Student Teaching Assistants

Student Graduate Assistants

Instructional Assistants

Post-Doctoral Fellows

Staff

Faculty

Philosophy

Fielding Graduate University’s Compensation Philosophy encompasses the concept of total compensation to support a program that will attract and maintain a highly qualified workforce to accomplish the mission of the University. Total compensation includes base salary plus an array of sponsored and voluntary benefit programs including health coverage, insurance programs, retirement plans and other selective deferred compensation and savings programs approved by federal and state statutes, tuition forgiveness and tuition reimbursement, child care subsidy, paid holidays, employees recognition programs, vacation and medical leave, and sabbatical leaves as appropriate. In addition, Fielding promotes a nurturing and supportive work environment where talented employees can be productive, creative, successful, and rewarded. The following operating principles guide the practice and continued implementation of this philosophy.

Policy

Compensation for all categories of employees shall be based on current job market data, adjusted annually for comparable positions in the higher education employment market, or where appropriate for the specific position. Fielding sets salary ranges that bridge the median market salaries for comparable positions. Compensation structures and strategies shall be revised as appropriate to support the initiatives and priorities set forth in the University’s strategic plan. Fielding’s Compensation Philosophy and Policy guidelines shall be disseminated through a variety of communication tools including employee handbooks, policy guidelines and electronic media. 

Employment Categories

Each employee category shown below has a salary range associated with it. Initial hiring salaries typically will be set within the lower quartile of the salary range. Benefits eligibility is determined by percentage of time worked. In some instances, managers with delegated appointing authority may offer, with the prior written approval of the vice president for Human Resources and Administration, a starting salary that is outside of the salary range, yet commensurate with the experience, background, and the unique characteristics the individual brings to Fielding.

Also identified below are other working relationships with Fielding: independent contractors and relationships with other scholars who are not regular employees.

Other categories of non-employee work relationships with Fielding

Appointing Authority

The President has ultimate appointing authority, which includes approval of initial salary placement and subsequent salary adjustments recommended by the Vice President for Administration and Human Resources. The president may delegate that authority to the Provost. Deans have been delegated responsibility for the appointment of all faculty, associate deans, and other categories of work relationships (such as adjuncts) within their respective schools. These appointments must be pre-approved by the Provost. The vice president for Human Resources and Administration has delegated appointing authority for all staff positions except for members of the ULT and ALT. No other individual is authorized to make commitments (verbal or written) for employment or payment for work with Fielding Graduate University.

Stipends

Stipends are additional wages, subject to withholding, paid to employees for either a substantial additional work effort or for work performed with a higher level of responsibility than the employee’s current position. Stipends of this nature typically will not exceed 20% of the employee’s base salary. Stipends are not “bonuses” to be paid as a reward for good performance after the fact or for participation or service on University governance committees. Stipend payments will not be provided for assuming work that is identified in the individual employee’s job description or for an increase in the volume of like assignments. There is an expectation that occasionally employees may be called upon to extend themselves and perform other duties as assigned in service to the University. While these occasional efforts typically will not result in additional compensation, these extra efforts demonstrate a commitment to Fielding and will be recognized as meritorious performance. Duties and responsibilities that constitute a recurring function that is essential to Fielding’s business will not be compensable through a stipend payment, but will be incorporated into a position with associated job functions and compensated for as part of the employee’s regular pay.

Stipend Amounts

External grants and contracts obtained by faculty often provide funding for the primary investigator of administrator of the grant activity. This payment is awarded as a stipend. While the amount of these stipends may vary for different types of work, stipends in general shall not exceed 30-33% of the individual’s base salary and will not be less than a specified amount to be determined annually. Stipend amounts will be consistent with Fielding’s compensation policy. HR will recommend compensation for specific categories of work. Stipends require the approval of the appointing authority, the Chief Financial Officer and the Vice President for Human Resources and Administration. Stipends may be awarded in the following circumstances:

• As compensation for administrative services associated with securing, directing or being named the principal investigator for a research grant or project and where such remuneration is part of the pre-award contract.
• As remuneration for planning and or coordinating a partnership for joint study with another entity
• As remuneration for short-term project work outside of the scope of responsibilities outlined in the individual’s job description. To be eligible for a stipend payment, this work should be performed without compromising duties and responsibilities identified in the job description related to the position held by the individual
• For additional management/officer level duties assumed on a temporary basis while the University undertakes a search process to fill a vacant higher-level position
• As additional wages for teaching
• For short term projects that require a substantial additional work (not volume) that falls outside of the scope of the job description

Incentive Pay

Incentive pay may be offered in the following circumstances:

1. As a signing bonus – to encourage uniquely qualified faculty or staff to accept an appointment with Fielding
2. As a payment for extra work like securing grants or other financial resources from external funding agencies
3. As a retention bonus – to encourage uniquely qualified faculty or staff to remain employed with Fielding Graduate University

Incentive pay amounts must be requested by the appointing authority and approved in advance by the President.

Faculty Compensation Plan

All regular faculty are paid based on years of service as outlined in the Faculty Compensation Plan. Faculty with fewer than 12 years of service are in Tier 1 and faculty with 12 years or more of service are in Tier 2. The salary ranges are constructed from two national faculty salary surveys: 1) using data from the Social Sciences (CUPA-HR survey) as a proxy for all three Fielding disciplines (Education, Human and Organization Development, and Psychology) and blending data for the traditional professor and associate professor ranks; and 2) factoring in AAUP salary data for doctoral universities. Faculty salaries of those with appointments < 100% are compensated on a pro rata basis. Faculty Salary Ranges.doc

Overload Compensation and Concurrent Internal Appointments

No employee may work more than a 130-133% in the position/s held. Employees who receive a grant from an external source (or from Fielding) to fund a specific program or research activity may not be compensated more than 30-33% over 100% of their annual base salary. If the employee is working at a time base less than 100%, then the maximum pay to be earned is that prorated salary plus 30-33%. Faculty who have concurrent assignments in two different schools shall be paid a salary for their work in the primary school and a stipend for their work in the second school. In any case, the total percentage salary for both positions shall not exceed 130-133%.

Adjunct Faculty Pay

Adjunct faculty shall be paid according to the existing Adjunct Faculty Fee Schedule for the following assignments:

• Knowledge Area assessments
• Online Seminars
• Comprehensive Assessments
• Dissertations
• Session or cluster seminar presentations
• Regional Psych Assessment Labs
• Online Psych Assessment Labs

Job Descriptions and Compensation

A job description provides documentation of the general scope of duties and responsibilities of the position at a single point in time. All budgeted positions must have an up-to-date job description. Human Resources - Forms - Job Description Form

Managers and supervisors play a vital role in the implementation and the ongoing administration of the Compensation Program. They are most familiar with work performed in their departments and the abilities of the individuals who do the work. Specifically, managers and supervisors will have the responsibility to:

• Respond to questions about individual pay and compensation policies and practices
• Review, at least annually, with each individual the accountability areas of the job
• Keep Human Resources advised of changes in job content
• Develop and update job information for jobs in their departments
• Provide continuous performance feedback and develop goals with staff

All Fielding job descriptions are available in the HR Office for reference. Descriptions should be reviewed regularly to make certain that all duties and areas of accountability are current. As changes occur in a specific job, the job description document should be updated to reflect these changes. Human Resources staff will review job changes, make comparisons with relevant internal and external jobs to determine whether or not the job is appropriately classified and compensated.

Relevant Market Considerations

Human Resources annually participates in and reviews market salary surveys to establish and adjust pay ranges as appropriate.

The market analysis process includes data collection and analysis of:

• Salaries paid to jobs recruited on a local, regional or national basis
• Supply of applicants with specialized or unique skills
• Staffing needs in terms of number of vacancies and length of time to identify qualified applicants

The survey reports that we receive from several professional sources represent national and regional salary data based on comparative characteristics or categories of participating colleges and universities, e.g., overall budget, enrollment, private/public, graduate/undergraduate. Local comparable salary and benefits market data for most staff positions are available through the Santa Barbara Human Resources Association (SBHRA). We analyze salary survey information to construct a salary range for each Fielding position using generic market-based titles and job descriptions. It is Fielding’s policy to compensate employees at the midpoint of the average market rate for a specific position.

New Hires

In determining starting salary offers, the following factors should be considered:

• Relevant education and experience as compared to minimum qualifications
• Specific knowledge, skills and experience as related to minimum qualifications
• Internal equity relevant to others in the classification

Position Review Process

The Office of Human Resources establishes an annual cycle for conducting position reviews for Fielding staff and administrative positions. These reviews are aligned with the development of the annual budget to ensure that the funds requested to support all planned equity adjustments are allotted for in the forthcoming fiscal year budget. The employee or the employee’s supervisor may request an equity review when significant changes in the duties and responsibilities of the position have been documented in a revised job description form.

All requests for position reviews need to be received by Human Resources by the end of the calendar year. The following supporting information is required:

• A brief description of the position’s general function and overall level of responsibility (3-5 sentences)
• A list of the position’s primary functions/duties. Indicate the percentage of time assigned to each function
• Identify those duties being performed that appear to fall outside of the employee’s current job description
• A description of any specialized education, training, skills, or certification required to perform the duties
• Fill out the Position Review Supplemental Questionnaire Position Review Supplemental Questionnaire.doc
• Fill out the Human Resources Personnel Action Form. Contact HR for form.

Reclassification decisions are based on a comparison of the position's current duties to those assigned earlier in employment. Classification decisions are not based on an employee's job performance or on a comparison to the work that other employees perform.

Pay Practices and Schedules

• Staff: Pay dates are the 15^th and the last day of the month. The pay cycle will end about 6 days in advance of the pay date.  Exempt employees will continue to be paid on a “salaried basis." Non-exempt employees will be paid based on actual hours worked and each paycheck will no longer be the same amount each pay cycle. For specifics, see the Payroll Calendar.
• Faculty: Faculty employees will be paid on a monthly salaried basis on the last day of the month. For specifics, see the Payroll Calendar.

Policy Revised June 2008

Fielding recognizes a total of 14 holidays per year that includes

• eight (8) national holidays and
• six (6) floating holidays

If a holiday falls on a non-workday, the holiday usually is observed on Monday (if the holiday falls on Sunday) or Friday (if the holiday falls on Saturday).

Holidays are scheduled by the Office of Human Resources.

• Friday, January 1                         New Year’s Day
  
• Monday, January 18                    Birthday of Martin Luther King, Jr.
  
• Monday, February 15                  President’s Day
  
• Monday, May 31                         Memorial Day
  
• Monday, July 5                            Independence Day
  
• Monday, September 6                 Labor Day
  
• Thursday, November 25             Thanksgiving
  
• Friday, November 26                  Floating Holiday
  
• Thursday, December 23              Floating Holiday
  
• Friday, December 24                  Christmas Day
  
• Monday, December 27                Floating Holiday
  
• Tuesday, December 28                Floating Holiday
  
• Wednesday, December 29           Floating Holiday
  
• Thursday, December 30               Floating Holiday
  
• Friday, December 31*                  New Year’s Day

 * January 1, 2011 (the legal public holiday for New Year’s Day), falls on a Saturday. Therefore, Friday, December 31, 2010, will be treated as a holiday.

This benefit is only available to regular full-time employees. 

A six-week leave, with combined benefits equal to full pay, is granted to new parents including those adopting a baby. 

If an employee takes more than a six week leave for this purpose upon the recommendation of a physician, either before or after delivery, such additional leave shall be treated as an illness and be subject to the regular sick leave policy. (Also see Family or Medical Leave.) 

Fielding will coordinate benefits with SDI so that the individual will receive payment equal to full salary for the six week period of leave. For those individuals ineligible for benefits through other sources, Fielding will provide full pay during the six week leave. 

Purpose

It is the policy of Fielding Graduate University to protect the security and integrity of its records (as that term is defined below) and to ensure that records that are no longer needed are discarded at the appropriate time and in an appropriate manner. 

This policy is designed to create a compliance standard for University personnel with respect to the retention and disposition of records (including those that contain personal information), governing records from their creation or receipt to their final disposition. This policy will also facilitate appropriate access to records in the event of litigation and to preserve institutional records as required by mandate, law, or institutional policy guidelines. The attached University Records Retention Schedule identifies the type of records to be retained, the University custodian of such records, and the appropriate time and manner for destruction of records.

Applicability of the Policy

This policy applies to all University administrators, staff and faculty.

Definitions

Records: means any and all written or recorded matter produced or acquired in the course of University business, including without limitation all papers, documents, electronically stored information, email messages, machine-readable materials, and any other written or recorded matters, regardless of physical form or characteristic.

Personal information: means an individual’s signature, Social Security number, physical characteristics or description, passport number, driver’s license or state identification card number, insurance policy number, bank account number, credit card number, debit card number, or any other financial information.

Procedures

Inquiries regarding records retention and disposition should be directed to the Office of the Vice President for Administration and Human Resources.

Any directive to suspend record disposal or destruction must be approved by the Office of the Vice President for Administration and Human Resources. Any Fielding administrator, staff or faculty may make a request to the Office of the Vice President for Administration and Human Resources for such a directive.

Duty to Preserve Records

University departments shall maintain records in accordance with the University Record Retention Schedule. 

Disposal or destruction of records other than as specified by the University Record Retention Schedule is a violation of University policy and may have serious disciplinary and legal consequences. 

• Litigation has been commenced or threatened or is reasonably anticipated;
• A state or federal investigation has been commenced or threatened;
• An internal investigation or audit has commenced; or
• Senior administrative officials have determined that urgent circumstances require the preservation of records and have issued a record preservation directive.

In the event that a University custodian of records believes that one or more of the circumstances identified above exists, the custodian must suspend record disposal or destruction and immediately must consult with the Office of the Vice President for Administration and Human Resources for direction relative to the preservation of relevant records.

No employee who has been formally notified of a record preservation directive may discard, destroy, alter, or delete a record that falls within the cope of that directive. Violation of the directive may subject the individual to disciplinary action, up to and including dismissal, as well as personal liability for civil or criminal sanctions by courts or law enforcement agencies.

Date Approved: October 2009
Approved by: University Leadership Team
Staff Responsibility: Vice President for Administrative & Human Resources

Policy Statement on Reduction-in-Force (Layoff)

Policy Guidelines 

Prior to any RIF (Layoff) process based exclusively on the financial circumstances of the University, Fielding will consider implementing cost-cutting measures to reduce operating expenses to mitigate the scope of the RIF or eliminate the need for a RIF entirely. Such measures may include, but are not limited to, freezing all hiring, reducing one or more departmental budgets, and voluntary and involuntary furlough.  

When evaluating the viability cost-cutting measures as a total or partial alternative to RIF, the following considerations will be paramount:

• The quality and integrity of core academic programs will be maintained
• Programs slated for teach out will continue to retain a sufficient faculty. Complement to facilitate degree completion for existing students.
• Decisions about continuance of programs and staffing will be made consistent with Fielding’s mission and goals, Strategic Plan, and in keeping with the principles espoused in “Our Common Ground.”

Process

• The President has ultimate authority and responsibility to declare a state of financial exigency that requires a RIF.
• The President will consult with the University Leadership Team (ULT), the Budget, Finance and Audit Committee (BFA) of the Board of Trustees, and with appropriate governance bodies before making such a declaration.       
  

Formation of University Review Committee:

If a RIF (layoff) is based exclusively on financial exigency, the President will appoint an ad hoc University Review Committee (URC) to monitor the RIF policy throughout its phases, ensuring alternative solutions are considered fully. The URC includes the Vice President for Administration and Human Resources as chair, representatives from the appropriate University organizations (e.g., Academic Senate, Staff Council) and others as deemed appropriate by the President 

• As chair of the University Review Committee, the Vice President for Administration and Human Resources will: 
  • Ensure that the Fielding community is kept informed about the RIF process
  • Provide a mechanism for obtaining and forwarding alternative solutions in a timely manner.
  • Meet with the President or the President's designee to review and offer opinions concerning the options under consideration
  • Give approval of all decisions prior to finalization and announcement 
  • Initiate the RIF process
• RIF Implementation: In implementing a RIF, the following steps will occur, in the order stated:
  
  Notification: Written notification of the impending RIF will be sent to the appropriate university constituents.  The Fielding community will receive written notification of a possible future RIF no less than three months before employees involved may be laid off, unless there are circumstances that make such advance notification impracticable, in which case as much advance notice as is practicable will be provided. The notification will include a timetable and will include a statement explaining the general reasons for the contemplated RIF (e.g., budgetary, institutional mission, reorganization), as well as information concerning procedures to be followed between the time of announcement and the final decision. All established Human Resource policies and procedures are in effect throughout the period of discussion and decision. Employees to be laid off will be notified by a supervisor and by a member of the Human Resources Office at least one month prior to the date of termination. Notice will be accompanied by a written description of the RIF severance package.  Separation from the University may be immediate, however, but full salary and benefits will be continued until the date of termination.
• Voluntary Severance: A voluntary severance package may be offered.  The components may include voluntary adjustments of work arrangements (e.g., combining assignments, transfer of staff, reduction in hours, early retirement).  Incentives may be offered.  Confidentiality will be maintained for those employees who express interest in and may decide to enter into a voluntary severance arrangement.
• Redistribution of Work Load(s): Redistribution of work load(s) necessitated by the RIF will be completed following consultation with the affected departments and personnel. Job descriptions may be rewritten and wage/salary adjustments may be made where appropriate at the time of the RIF for those employees affected by the redistribution of workloads.
  

Appendix – Reduction in Force Severance Guidelines 

It is the policy of Fielding Graduate University to provide severance benefits to employees who separate from employment due to a Reduction in force.  

Severance benefits in the context of a RIF will consist of:Severance pay:  Employees will be offered severance pay calculated with reference to the employee’s completed years of service to Fielding.  Generally, employees will be offered severance pay equal to one week of pay for each completed year of service. 

1. Medical benefit continuation: Employees who participate in Fielding’s group medical insurance plan will be offered the right to continue coverage pursuant to COBRA.  Employees who elect COBRA coverage will be offered one month premiums paid by Fielding for every four years of completed service, with a minimum of one month for employees who have fewer than eight years of completed service.
2. Unemployment benefits:  Employees will be provided information regarding unemployment insurance benefits in the state in which the employee pays employment withholding taxes.  Fielding will not contest the employee’s eligibility for such benefits but will provide accurate information concerning the employee’s wages to the relevant state agency. 

In order to receive the above-referenced severance benefits, the employee will be required to execute a severance agreement including a release of claims in favor of Fielding.

Fielding reserves the right to depart from these Severance Guidelines. Any departure will be supported by a statement from the University Review Committee setting forth in general terms the reasons for the departure.  

This is the policy and guidelines for employees working at home on a regularly scheduled basis for all or part of their standard workweek. It is designed to give you an overview of Fielding Graduate University's guidelines and procedures on telecommuting as well as to define the responsibilities of everyone involved.

• Overview
• Compensation and Work Schedule
• Computer Equipment
• Proprietary and Confidential Information
• Expenses
• Safety and Accidents
• Meetings, Hoteling and Dedicated Office Space
• Steps for Initiating Telecommuting
• Getting Ready to Telecommute
• Creating a Safe Home Office
• Guidelines for Supervisors
• Preparing Co-workers
• Reviewing the Telecommuting Arrangement
• Termination of the Telecommuting Agreement

Overview

Telecommuting is a voluntary work arrangement in which an eligible employee with approval works one or more days each workweek from home instead of commuting to a work place. Occasionally, telecommuting will be approved for employees who wish to work from home on a full-time basis.

Regular full-time staff employees may apply to participate in a telecommuting arrangement consistent with these guidelines. Management endorsement is required for all telecommuting agreements. All managers, supervisors, and telecommuters should be familiar with the Telecommuting Policy and Guidelines.

Approval

• Members of the University Leadership Team (ULT) or Academic Leadership Team (ALT) are authorized to recommend telecommuting within their units. Supervisors should consider all requests for participation and implement this policy fairly.
• The VP for Administration and Human Resources makes the final decision to approve or decline all telecommuting agreements. 

Eligibility

• Regular exempt, full-time staff employees 
• Employee selection shall be based on specific written, work-related criteria established by management.
• Permanently or temporarily disabled employees may request a telecommuting arrangement as a reasonable accommodation.

Compensation and Work Schedule

Compensation and benefits are not affected by telecommuting. The individual telecommuter must take responsibility for compliance with any federal, state and local tax implications regarding telecommuting. Fielding does not offer tax advice to its employees It is our understanding that home office deductions are not available if Fielding is paying an employee while working at home. Employees should seek guidance from IRS regulations or from  a personal tax advisor.

An Employee’s standard work hours are unaffected by telecommuting. The daily schedule is specified in the Telecommuting Agreement.

Fielding policies on requesting approval for vacation, reporting sick time, jury duty, etc. apply to all telecommuters.

Computer Equipment

Fielding will issue each telecommuter a computer that is solely for university business use and will provide the software necessary to support telecommuting.

• All maintenance will be performed by a Fielding authorized person either at Fielding or at the telecommuter’s home office, at the discretion of Fielding. If work is to be done at Fielding, the telecommuter is required to bring the equipment there.
• Fielding will repair or replace lost, damaged, or stolen Fielding owned equipment provided the employee has taken appropriate precautions to safeguard the equipment.
• Telecommuters may not use company-provided equipment for personal use or allow non-Fielding employees to use it.
• Telecommuters must return the equipment to Fielding when requested by their supervisors or when employment or the Telecommuting Agreement is terminated.

Proprietary and Confidential Information

All Fielding proprietary and confidential information must be stored in a locked room, desk or file cabinet when left unattended. Proprietary information must be disposed of at the Fielding offices.

• All Fielding information and network connections must be secured (e.g., locked up before leaving work area).
• Passwords may not be stored on employee-owned equipment, and safety measures (like software lock) preventing network access must be installed whenever the computer is left unattended.

Expenses

All Telecommuters are responsible for expenses related to maintaining their home office. Routine office supplies (paper, pens, etc.) may be obtained at the Fielding offices.

In looking at reimbursable and non-reimbursable expenses for employees, it is important to distinguish two types of telecommuting arrangements. Employees who work 2 or more days a week in the administrative buildings and live in Santa Barbara or Ventura counties are considered Santa Barbara Based Telecommuters. Employees who work three or more days a week from a home office and live outside Santa Barbara and Ventura counties are considered to be Home Based Telecommuters. Reimbursable expenses differ for each type based on IRS regulations and Fielding policy.

Reimbursable expenses include:

• Long distance business telephone calls. Documentation of each call and the business purpose is required.
• Home Based Telecommuters will be given a $50/mo. allowance for internet service.
• Home Based Telecommuters may be reimbursed for travel expenses between home and Fielding offices or events if they live outisde Santa Barbara or Ventura counties

Non-reimbursable expenses include:

• Monthly telephone service
• Internet service for Santa Barbara Based Telecommuters
• Expenses for maintenance, repair, insurance, etc. for employee owned equipment (printer, fax, scanner, telephone, answering machine, etc.) are the telecommuter’s responsibility.
• Equipment Printer cartridges
• Costs relating to remodeling and furnishing the home work space
• Santa Barbara Based Telecommuters will not be reimbursed for travel expenses between the telecommuting work location and Fielding’s offices.
• Household expenses such as heating, electricity, etc.
• Other expenses not listed above.

Safety and Accidents

Workers’ Compensation liability for illnesses and job-related injuries and eligibility for Accident Disability Benefits continues during the approved work schedule and in the employees home work area, as described in the Telecommuting Agreement. Accidents must be reported immediately to the employee’s supervisor and Human Resources.

Any injuries to family members, visitors, and others in the employee’s home are the responsibility of the telecommuter. Telecommuting employees should consider carrying insurance that covers third-party injuries arising out of or relating to use of the home under Fielding telecommuting policy; a personal insurance carrier should be consulted for advice.

Meetings, Hoteling and Dedicated Office Space

Any face-to-face meetings or Fielding business that involves interaction with other people may not be held at a home office.

Hoteling is a way of providing temporary office space at Fielding.

Home Based Telecommuters: Employees who telecommute as many as three days each week may be assigned a shared hoteling space. Telecommuters need to schedule hoteling space with their supervisor for in-office days.

Santa Barbara Based Telecommuters: Dedicated office space in the administrative buildings is for those employees who work more than three days a week at the Fielding office.

Steps for Initiating Telecommuting

All employees and supervisors who are interested in a telecommuting arrangement should obtain from HR a packet titled, “Telecommuting at Fielding Graduate University. This packet includes the following documents:

• Telecommuting Proposal
• Telecommuting Agreement
• Telecommuting Q&A

Steps for initiating a telecommuting agreement are summarized below:

1. Either the employee or the supervisor completes a Telecommuting Proposal.
2. The supervisor assesses the feasibility of telecommuting and determines telecommuting options.
3. Supervisor reviews the following: functions/tasks of position under consideration, departmental staffing needs, space and budgetary considerations; and consults with Human Resources as necessary.
4. The Telecommuting Agreement must be completed and submitted for approval. 
5. If approved, the supervisor notifies the employee to begin telecommuting and monitors arrangement; maintains open communications and regularly discusses concerns with employee as necessary.
6. If not approved, the supervisor should advise the employee as soon as is feasible after the decision has been made.
7. Either management or the employee may terminate a Telecommuting Agreement for any reason, at any time.
8. Telecommuting Agreements are good for one year and then need to be reviewed annually thereafter by management and approved by HR.
   

Getting Ready to Telecommute

After you have worked out your Telecommuting Agreement with your supervisor, you need to do several things before you actually start telecommuting. Schedule the start date far enough in the future to allow time to make adequate preparations so that you can be productive from your first day telecommuting. You should also follow the guidelines below for “Creating a Safe Home Office”.

• Check local zoning laws. Telecommuters should check their county and/or city offices to see if any restrictions apply. Although the terms of a lease or condominium agreement may also have restrictions, these usually apply to businesses in the home and not to telecommuting.
• Refer to “Expenses” to determine reimbursable and non-reimbursable expenses.
• Order the installation of a second telephone line, if needed, and any equipment.
• Set up a dedicated work location in your home. It doesn’t have to be a separate room, but it should be large enough to accommodate your equipment and paperwork, and allow for safeguarding proprietary material as specified above under “Proprietary Information."
• Talk to your insurance agent about obtaining liability insurance for your home work location. (Your current homeowner’s or renter’s insurance may already provide this coverage). This insurance would cover third-party injuries arising out of or relating to the use of your home for telecommuting.
• Get manuals and office supplies for home use.
• Set up your own home security procedures for protecting proprietary information and computing resources.
• Acquire any new skills necessary, like learning how to use the software necessary to do your job from your home, computer maintenance, etc.
• Discuss your plans with those outside Fielding with whom you work. Your telecommuting arrangement must not inconvenience them, and it is important to let them know ahead of time about any changes that may be necessary to stay in contact, like a new phone number, etc.
• Talk to your co-workers. Your supervisor should schedule a meeting with your work group to let them know you will be telecommuting. The people you work with should know your schedule, home phone number, and how to handle inquires.
• Talk to your family. Decide when family members and others can interrupt your work to ask you questions or have you respond to a request. Some telecommuters have their families set up the rules so they can buy into the whole process.
• Install and test equipment and software. If possible, do it first at Fielding, then at home. If you’ve never done this before, you may need help.

Creating a Safe Home Office

The following recommendations are guidelines only. Fielding is not responsible for any injury or harm resulting from following these guidelines improperly. An experienced, knowledgeable person should perform all electrical work.

• Your home office should be in a well-ventilated room with sufficient clear space around the desk and any equipment to allow for reasonable movement and air circulation. Lighting should be adequate for tasks to be performed but should not produce glare on computer monitors or work surfaces. Avoid damp areas and those, which are unheated in winter.
• If there are young children or pets in the home, it is desirable to be able to lock or close off the area. 
• The room should be equipped with a comfortable chair and a sturdy desk or table at an appropriate work height. If proprietary information will be handled, a locking file cabinet or drawer is necessary. Consult additional resources on workstation set-up information and ergonomics.

The following precautions should be taken with computers, printers, copiers, fax machines and other electrical equipment:

• Avoid overloading circuits by adding up the ampere rating of all equipment which will be placed on a single circuit and making sure that it is lower than the ampere rating of the circuit breaker.
• Only three-prong outlets, which have proper grounding and polarity, should be used.
• Three-prong plugs should not be modified to fit into two-prong outlets. Three-prong or two-prong adapters should not be used. If only two-prong outlets are available, the following recommended options are available:
  • Rewire outlets to a dedicated circuit using a qualified electrician.
  • Replace existing outlet with new outlet, which is equipped with individual grounding wire. Ground wire must then be connected to an adequately grounded source.
  • Install an outlet specifically designed for two-prong adaptations.
  • Locate equipment to minimize the lengths of power cords and telephone lines to reduce the possibility of creating tripping hazards.
  • A power cord unplugged from a computer or other equipment should also be unplugged from the wall outlet.
  • Avoid moving the equipment around to eliminate possible injury to your self as well as danger to the equipment.
  • Use a surge protector or, if possible, an uninterruptible power supply to protect your computer.

  Guidelines for Supervisors
  

  • Review your employee’s Telecommuting Agreement and discuss the effects the telecommuting arrangement will have on their work and the workplace. Use this time to interactively anticipate any problems that might arise.
  • Make it clear at the outset if there are specific times when the telecommuter must be in the office for meetings. Be sure to include it in the Telecommuting Agreement.
  • If this is the first time you have supervised someone who is telecommuting, talk to others at Fielding who have managed telecommuters or have telecommuted themselves.
  • Think about how you will assess performance. Prepare an itemized list of what you expect from your telecommuter.
  • Include your telecommuter in the process of establishing goals.
  • Explicitly define what the telecommuter needs to achieve a defined performance rating.
  • Set up regular meetings to review the telecommuter’s accomplishments and definite times to review the progress of the assigned work.
  • If you decide to approve the request, have your employee fill out the Telecommuter’s Agreement. You can add or modify it as needed to include meetings, schedules, etc.
  • Encourage your employee to go over these guidelines to prepare for this new way of working and discuss any questions they might have.

  Preparing Co-workers:

  • Non-telecommuters need to be kept informed and involved when someone in their group telecommutes. Engage their support and make sure they don’t feel left out.
  • Guide your team through “what if” situations. Address all issues that are pertinent and encourage participation from the entire team. Make it clear that non-telecommuters won’t be expected to do extra work in the office while telecommuters are working at home.
  • Establish guidelines for contacting telecommuters when an issue at the office requires immediate attention. Also establish guidelines for answering the telecommuter’s phone while they are telecommuting.

  Reviewing the Telecommuting Arrangement

  Telecommuting is a new way to work. The Telecommuter’s Agreement may require modification after both the telecommuter and the supervisor have gained some experience with it. And circumstances change – in a telecommuter’s life and at work – which may require a change in the agreement.

  Termination of the Telecommuting Agreement

  Frequently, the telecommuter should assess whether or not telecommuting is working for him/her. Questions to ask are:

  • Can the telecommuting arrangement be improved upon?
  • Do I need additional or different equipment at home to work more efficiently?
  • How much am I accomplishing at home as opposed to how much I accomplish working in the office?
  • Has the telecommuting arrangement had any negative impact on my colleagues or clients?

  Sometimes telecommuting doesn’t work. At that point, the telecommuter should terminate the agreement and go back to a regular in-office routine as soon as it is practical.

  Either employees or supervisors who want to terminate a telecommuting agreement may do so as long as the request is made at least one month before the desired date, if space in the Santa Barbara office is required. Either management or the employee may terminate telecommuting for any reason, at any time.

  Policy Revised 01/06/2009

  
  

After 12 months of continuous service, active, regular employees being paid through payroll at 80% time base or more, and their legal children, spouses, and/or life partners may attend Fielding Graduate University at reduced tuition rates.

For eligible employees in good standing, tuition would be 1/3 the regular cost (Fielding pays 2/3). Fielding will offer a 20% tuition reduction to the employee's legal children, spouse, and/or life partner. Tuition would be granted according to the appropriate tuition schedule for each program.

Total lifetime tuition benefits for an individual will be limited to a maximum of 18 terms (6 years). The combined total lifetime tuition benefits for a family, including the employee, will be limited to a maximum of 24 terms (8 years). These benefits apply to the minimum number of credits necessary to complete the degree program and not to tuition for courses that make-up for failed or withdrawn courses.

While Fielding Graduate University understands the need for each employee to balance academics and employment, the needs of the university will take precedence over the employee's needs as a student. For example, time off from work and schedule flexibility will be determined based first on Fielding's needs, and secondly, those of the student-employee. It is the discretion of the employee's immediate manager or supervisor, with input from the employee, to determine time off and schedule flexibility based on workload, target goals and the overall needs of the department or organization. Employees who wish to attend a session as a student are required to take vacation time. Attending a national session and/or Fielding event as both an employee and a student is not permissible.

Employees may not use departmental professional development funds for courses taken at Fielding.

Tax Liability

According to the IRS guidelines, a tuition reduction for graduate education is tax free if an educational institution provides the reduction to a graduate student who performs teaching or research activities for that institution. The qualified tuition reduction must be for education furnished by that institution, and not represent payment for services.

According to this ruling, the value of the graduate tuition reduction benefits at Fielding must be added to income and may be subject to withholding and FICA (Social Security) taxes.

Eligibility Requirements for Tuition Benefits

In order to qualify for the Fielding tuition benefit, interested employees must:

• Be accepted through established admissions processes.
• Have received a rating of "Meets Standard" or better in the most recent annual performance appraisal process.
• Advise their department manager, prior to enrolling, that they intend to apply to enter a specific program.
• Submit a completed Tuition Forgiveness Application & Renewal Request Form to Human Resources at least six (6) months prior to receiving the tuition forgiveness benefit. The department manager, in conjunction with Human Resources, will inform the individual whether or not s/he is eligible for reduction of tuition.  
• Approved applications are active for one academic year – September 1 to August 31. Employees who do not enroll in their approved program within this timeframe must submit a new application six months prior to the adjusted start date.  
• Employees applying to more than one program must submit a tuition forgiveness application for each program at lest six months prior to enrolling in order to receive the tuition forgiveness benefit.
• Have an identified and planned training objective for career development that is current and supported by their supervisor - i.e., a current Development Plan. The employee and her/his supervisor should update this on an annual basis.
• Submit a new Tuition Forgiveness Application & Renewal Request Form  to Human Resources every 12 months in the program.
• Submit an updated tracking sheet to Human Resources 30 days after every term for those in master's and certificate degree programs and on an annual basis for doctoral programs. Doctoral students on academic probation must submit tracking sheets within 30 days after their current progress evaluation deadline.
• Receive a grade of "B-" or better for each of the Knowledge Areas and/or courses in a program, or "pass" in a pass/fail course. 
• Meet all satisfactory academic progress requirements of the program. Failure to make satsifactory academic progress (SAP) for two consecutive reviews will cause him/her to become ineligible for tuition reduction, regardless of the School's decision to retain or withdraw the individual from the academic program.
• Assume 100% of his/her tuition until satisfactory academic progress (SAP) has been made, as determined at the first scheduled review after disqualification.
• Assume 100% of his/her tuition for courses that make-up for failed or withdrawn courses.
• Submit a written request to Human Resources at least six months before tuition reduction can be re-approved after withdrawal from the degree program.  
• Assume any tax liability that may accrue under this program.

Policy Approved 12/01/2008

• Fielding Graduate University will not retaliate against an employee who, in good faith, makes a protest or raises a complaint against some practice of the university or of another individual or entity acting on behalf of Fielding based on a belief that the practice is in violation of law, regulation, or policy.
• Fielding will not retaliate against an employee who discloses or threatens to disclose to a supervisor or a public body any activity, or practice of Fielding that the employee reasonably believes is in violation of a law, or regulation mandated pursuant to law or Fielding policy.