Employment Agreement

INDEX OPS Examiner Informational Memorandum……………………………………………….…. 2 Supplement to Employment Application…………………………………….……………….… 3 655.057 Records; limited restrictions upon public access……………………………………... 5 655.59 Access to books and records; confidentiality; penalty for disclosure………………… 8 69U-100.956 Conflict of Interest Policy………………………………………………………... 10 Sexual Harassment and Other Acts of Unlawful Discrimination……………………………. 13 Domestic and General Violence in the Workplace……………………………………………. 22 Neotism Form……………………………………………………………………………………. 27 Release Form…………………………………………………………………………………….. 28 Education and Background Information Verification Form………………………………… 29 Employee Screening - Background Information……………………………………………… 30 DFS-C2-1425 (Rev. 12/07) Office of Financial Regulation OPS Examiner Informational Memorandum This memorandum is an informational document prepared by the State of Florida, Office of Financial Regulation, Division of Financial Institutions (OFR) to clarify certain expectations and requirements of OPS Examiners. Scope of work: The OPS Examiner must possess the requisite experience to competently and independently complete financial institution examination, application or training work. He/she will be required to participate in regular and/or special examinations or visitations conducted by the OFR at Florida chartered banks, credit unions, trust companies, or foreign banking offices or in Regional Offices or Tallahassee headquarters. Such participation may be in the areas of loan or credit review, operations review, BSA/AML review, trust activities, international operations, or data processing. The OPS Examiner may also be required to review de novo applications, train OFR personnel, or perform other assignments pertaining to the regulatory oversight of Florida financial institutions. These services shall be performed at the direction of the Director of the Division of Financial Institutions. The performance of services shall be on a part-time, on-call basis and may be subject to limited prior notice. Confidentiality: The OPS Examiner shall be bound by and conform to the confidentiality provisions of Sections 655.057 and 655.059, F.S. Any person who willfully discloses information made confidential by these sections is guilty of a felony of the third degree. Any violation by the OPS Examiner shall be actionable to the full extent of the law. Conflict of interest: OPS Examiners participating in examinations or otherwise representing the OFR must conform to Section 69U-100.956, F.A.C. -- Conflict of Interest Policy. Sexual harassment: OPS Examiners are covered by and must conform to DFS Administrative Policies and Procedures 5-24, entitled Sexual Harassment and Other Acts of Unlawful Discrimination. Nonviolence: OPS Examiners are covered by and must conform to DFS Administrative Policies and Procedures 5-23, entitled Domestic and General Violence in the Workplace. Other employment: Direct or indirect employment by any OFR regulated entity must be disclosed prior to employment with the OFR, or immediately upon such engagement if it follows the acceptance of employment with the OFR. I acknowledge receipt of the Informational Memorandum and referenced policies and agree to be bound by them. _________________________ name Office of Financial Regulation Date:_________________ DFS-C2-1425 (Rev. 12/07) __________________________ name OPS Examiner Date:__________________ Attachments SUPPLEMENT TO EMPLOYMENT APPLICATION Name ___________________________ Please check applicable boxes, and attach narrative responses as requested. I TYPE AND SIZE OF INSTITUTION a) Indicate the type or types of financial institutions with which you have experience.        Commercial Bank Savings and Loan/Savings Bank Credit Union Money Service Business International Agency, Branch, or Office Trust Service Provider Data Service Provider Related to the above, specify the approximate dates of experience. b) Indicate the size of financial institutions with which you have experience.     Community Regional National International If international, please indicate countries or regions of experience. II PROFICIENCY IN WORK AREAS Indicate the work areas where you are independently proficient, and describe your relevant experience, qualifications, and training. Also indicate whether experience was in a supervisory capacity, or whether it involved direct work product. If experience involved the use of imaging systems, please share observations. a) Loan Review      Commercial & industrial Real estate acquisition, development and/or construction Income producing real estate, including office, retail, hotel/motel & warehouse Installment, including marine, aviation, indirect auto, leasing, and floor plan Single family residential, including mortgage banking and warehouse lines DFS-C2-1425 (Rev. 12/07)     Agricultural and agricultural related Junk bonds and similar commercial credit extensions Factoring International trade financing b) Operations Review        Capital Earnings Liquidity Interest-rate risk Capital markets Mortgage-backed securities, including derivatives thereof Mortgage loan servicing rights c) Specialty Areas of Review     Bank Secrecy Act/Anti-Money Laundering Trust service providers International Electronic Data Processing III GENERAL INFORMATION a) Describe any relevant special skills, such as foreign languages or computer skills. b) Describe any investigative experience, or experience with legal proceedings. c) List any current or anticipated employment, and indicate if such employment could raise the appearance of a conflict of interest. d) List investments that you own, or in any way from which you stand to benefit, that could raise the appearance of a conflict of interest. e) Provide other comments you feel reflect favorably upon your application for employment, including awards, commendations, noteworthy achievements, teaching assignments, or schools attended. f) Other miscellaneous information: 1) List geographic areas you will and will not work; 2) any time of the year you are not available; 3) are you willing to be away from home during the entire work week; 4) have you had employment that involved such travel, and if so, please describe; 5) how much advance notice for overnight travel do you require; 6) do you have any commitments that would conflict with extended travel; and 7) how many hours a week/month/year are you available. DFS-C2-1425 (Rev. 12/07) The 2004 Florida Statutes Title XXXVIII BANKS AND BANKING Chapter 655 FINANCIAL INSTITUTIONS GENERALLY View Entire Chapter 655.057 Records; limited restrictions upon public access.-(1) Except as otherwise provided in this section and except for such portions thereof which are otherwise public record, all records and information relating to an investigation by the office are confidential and exempt from the provisions of s. 119.07(1) until such investigation is completed or ceases to be active. For purposes of this subsection, an investigation is considered "active" while such investigation is being conducted by the office with a reasonable, good faith belief that it may lead to the filing of administrative, civil, or criminal proceedings. An investigation does not cease to be active if the office is proceeding with reasonable dispatch, and there is a good faith belief that action may be initiated by the office or other administrative or law enforcement agency. After an investigation is completed or ceases to be active, portions of such records relating to the investigation shall be confidential and exempt from the provisions of s. 119.07(1) to the extent that disclosure would: (a) Jeopardize the integrity of another active investigation; (b) Impair the safety and soundness of the financial institution; (c) Reveal personal financial information; (d) Reveal the identity of a confidential source; (e) Defame or cause unwarranted damage to the good name or reputation of an individual or jeopardize the safety of an individual; or (f) Reveal investigative techniques or procedures. (2) Except as otherwise provided in this section and except for such portions thereof which are public record, reports of examinations, operations, or condition, including working papers, or portions thereof, prepared by, or for the use of, the office or any state or federal agency responsible for the regulation or supervision of financial institutions in this state are confidential and exempt from the provisions of s. 119.07(1). However, such reports or papers or portions thereof may be released to: (a) The financial institution under examination; (b) Any holding company of which the financial institution is a subsidiary; (c) Proposed purchasers if necessary to protect the continued financial viability of the financial institution, upon prior approval by the board of directors of such institution; DFS-C2-1425 (Rev. 12/07) (d) Persons proposing in good faith to acquire a controlling interest in or to merge with the financial institution, upon prior approval by the board of directors of such financial institution; (e) Any officer, director, committee member, employee, attorney, auditor, or independent auditor officially connected with the financial institution, holding company, proposed purchaser, or person seeking to acquire a controlling interest in or merge with the financial institution; or (f) A fidelity insurance company, upon approval of the financial institution's board of directors. However, a fidelity insurance company may receive only that portion of an examination report relating to a claim or investigation being conducted by such fidelity insurance company. (g) Examination, operation, or condition reports of a financial institution shall be released by the office within 1 year after the appointment of a liquidator, receiver, or conservator to such financial institution. However, any portion of such reports which discloses the identities of depositors, bondholders, members, borrowers, or stockholders, other than directors, officers, or controlling stockholders of the institution, shall remain confidential and exempt from the provisions of s. 119.07(1). Any confidential information or records obtained from the office pursuant to this paragraph shall be maintained as confidential and exempt from the provisions of s. 119.07(1). (3) The provisions of this section do not prevent or restrict: (a) Publishing reports required to be submitted to the office pursuant to s. 655.045(2)(a) or required by applicable federal statutes or regulations to be published. (b) Furnishing records or information to any other state, federal, or foreign agency responsible for the regulation or supervision of financial institutions, including Federal Home Loan Banks. (c) Furnishing records or information, in the case of a credit union, to the Florida Credit Union Guaranty Corporation, Inc. (d) Disclosing or publishing summaries of the condition of financial institutions and general economic and similar statistics and data, provided that the identity of a particular financial institution is not disclosed. (e) Reporting any suspected criminal activity, with supporting documents and information, to appropriate law enforcement and prosecutorial agencies. (f) Furnishing information upon request to the Chief Financial Officer or the Division of Treasury of the Department of Financial Services regarding the financial condition of any financial institution that is, or has applied to be, designated as a qualified public depository pursuant to chapter 280. Any confidential information or records obtained from the office pursuant to this subsection shall be maintained as confidential and exempt from the provisions of s. 119.07(1). (4)(a) Orders of courts or of administrative law judges for the production of confidential records or information shall provide for inspection in camera by the court or the administrative law judge and, DFS-C2-1425 (Rev. 12/07) after the court or administrative law judge has made a determination that the documents requested are relevant or would likely lead to the discovery of admissible evidence, said documents shall be subject to further orders by the court or the administrative law judge to protect the confidentiality thereof. Any order directing the release of information shall be immediately reviewable, and a petition by the office for review of such order shall automatically stay further proceedings in the trial court or the administrative hearing until the disposition of such petition by the reviewing court. If any other party files such a petition for review, it will operate as a stay of such proceedings only upon order of the reviewing court. (b) Confidential records and information furnished pursuant to a legislative subpoena shall be kept confidential by the legislative body or committee which received the records or information, except in a case involving investigation of charges against a public official subject to impeachment or removal, and then disclosure of such information shall be only to the extent determined by the legislative body or committee to be necessary. (5) Every credit union and mutual association shall maintain, in the principal office where its business is transacted, full and correct records of the names and residences of all the members of the credit union or mutual association. Such records shall be subject to the inspection of all the members of the credit union or mutual association, and the officers authorized to assess taxes under state authority, during business hours of each business day. A current list of members shall be made available to the office's examiners for their inspection and, upon the request of the office, shall be submitted to the office. Except as otherwise provided in this subsection, the list of the members of the credit union or mutual association is confidential and exempt from the provisions of s. 119.07(1). (6) Every bank, trust company, and stock association shall maintain, in the principal office where its business is transacted, full and complete records of the names and residences of all the shareholders of the bank, trust company, or stock association and the number of shares held by each. Such records shall be subject to the inspection of all the shareholders of the bank, trust company, or stock association, and the officers authorized to assess taxes under state authority, during business hours of each banking day. A current list of shareholders shall be made available to the office's examiners for their inspection and, upon the request of the office, shall be submitted to the office. Except as otherwise provided in this subsection, any portion of this list which reveals the identities of the shareholders is confidential and exempt from the provisions of s. 119.07(1). (7) Materials supplied to the office or to employees of any financial institution by other governmental agencies, federal or state, or the Florida Credit Union Guaranty Corporation, Inc., shall remain the property of the submitting agency or the corporation, and any document request must be made to the appropriate agency. Any confidential documents supplied to the office or to employees of any financial institution by other governmental agencies, federal or state, or by the Florida Credit Union Guaranty Corporation, Inc., shall be confidential and exempt from the provisions of s. 119.07(1). Such information shall be made public only with the consent of such agency or the corporation. (8) Examination reports, investigatory records, applications, and related information compiled by the office, or photographic copies thereof, shall be retained by the office for a period of at least 10 years. DFS-C2-1425 (Rev. 12/07) (9) A copy of any document on file with the office which is certified by the office as being a true copy may be introduced in evidence as if it were the original. The commission shall establish a schedule of fees for preparing true copies of documents. (10) Any person who willfully discloses information made confidential by this section is guilty of a felony of the third degree, punishable as provided in s. 775.082, s. 775.083, or s. 775.084. History.--s. 1, ch. 80-273; s. 441, ch. 81-259; s. 9, ch. 84-216; s. 1, ch. 85-65; s. 4, ch. 85-82; s. 13, ch. 88-185; s. 6, ch. 89-229; s. 1, ch. 91-307; ss. 1, 3, 28, 216, ch. 92-303; s. 412, ch. 96-406; s. 292, ch. 96-410; s. 1720, ch. 2003-261. The 2004 Florida Statutes Title XXXVIII BANKS AND BANKING Chapter 655 FINANCIAL INSTITUTIONS GENERALLY View Entire Chapter 655.059 Access to books and records; confidentiality; penalty for disclosure.-(1) The books and records of a financial institution are confidential and shall be made available for inspection and examination only: (a) To the office or its duly authorized representative; (b) To any person duly authorized to act for the financial institution; (c) To any federal or state instrumentality or agency authorized to inspect or examine the books and records of an insured financial institution; (d) With respect to an international banking corporation, to the home-country supervisor of the corporation, provided: 1. The supervisor provides advance notice to the office that the supervisor intends to examine the Florida office of the corporation. 2. The supervisor confirms to the office that the purpose of the examination is to ensure the safety and soundness of the corporation. 3. The books and records pertaining to customer deposit, investment, and custodial accounts are not disclosed to the supervisor. 4. At any time during the conduct of the examination, the office reserves the right to have an examiner present or to participate jointly in the examination. For purposes of this paragraph, "home-country supervisor" means the governmental entity in the corporation's home country with responsibility for the supervision and regulation of the corporation; DFS-C2-1425 (Rev. 12/07) (e) As compelled by a court of competent jurisdiction, pursuant to a subpoena issued pursuant to the Florida Rules of Civil Procedure, the Florida Rules of Criminal Procedure, or the Federa l Rules of Civil Procedure, or pursuant to a subpoena issued in accordance with state or federal law. Prior to the production of the books and records of a financial institution, the party seeking production must reimburse the financial institution for the reasonable costs and fees incurred in compliance with the production. If the parties disagree regarding the amount of reimbursement, the party seeking the records may request the court or agency having jurisdiction to set the amount of reimbursement; (f) As compelled by legislative subpoena as provided by law, in which case the provisions of s. 655.057 apply; (g) Pursuant to a subpoena, to any federal or state law enforcement or prosecutorial instrumentality authorized to investigate suspected criminal activity; (h) As authorized by the board of directors of the financial institution; or (i) As provided in subsection (2). (2)(a) Each depositor, borrower, member, or stockholder has the right to inspect such books and records of a financial institution as pertain to her or his loans or accounts or the determination of her or his voting rights. (b) The books and records pertaining to the deposit accounts and loans of depositors, borrowers, members, and stockholders of any financial institution shall be kept confidential by the financial institution and its directors, officers, and employees and shall not be released except upon express authorization of the account holder as to her or his own accounts, loans, or voting rights. However, information relating to any loan made by a financial institution may be released without the borrower's authorization in a manner prescribed by the board of directors for the purpose of meeting the needs of commerce and for fair and accurate credit information. Information may also be released, without the authorization of a member or depositor but in a manner prescribed by the board of directors, to verify or corroborate the existence or amount of a customer's or member's account when such information is reasonably provided to meet the needs of commerce and to ensure accurate credit information. In addition, a financial institution, affiliate, and its subsidiaries, and any holding company of the financial institution or subsidiary of such holding company, may furnish to one another information relating to their customers or members, subject to the requirement that each corporation receiving information that is confidential maintain the confidentiality of such information and not provide or disclose such information to any unaffiliated person or entity. Notwithstanding this paragraph, nothing in this subsection shall prohibit a financial institution from disclosing financial information as referenced in this subsection as permitted by Pub. L. No. 106102(1999), as set forth in 15 U.S.C.A. s. 6802, as amended. (c) A person who willfully violates the provisions of this section that relate to unlawful disclosure of confidential information is guilty of a felony of the third degree, punishable as provided in s. 775.082, s. 775.083, or s. 775.084. History.--ss. 7, 30, ch. 89-229; s. 1, ch. 91-307; ss. 1, 29, ch. 92-303; s. 524, ch. 97-102; s. 1, ch. 97109; s. 4, ch. 2001-243; s. 1721, ch. 2003-261; s. 9, ch. 2004-340; s. 92, ch. 2004-390. DFS-C2-1425 (Rev. 12/07) 69U-100.956 Conflict of Interest Policy. (1) Definitions. – As used in this rule, the following definitions shall apply: (a) “Regulatory employee” shall mean all employees of OFR who have direct regulatory authority over the Florida Financial Institution Codes, including the authority to overrule the actions or decisions of professional examination or legal staff in the exercise of their duties under the Financial Institution Codes. (b) “OFR” means the Office of Financial Regulation. (c) “Family relationship” means any individual who is related to the regulatory employee by affinity or consanguinity, including but not limited to the regulatory employee’s: father, mother, son, daughter, brother, sister, uncle, aunt, first cousin, nephew, niece, husband, wife, father-in-law, mother-in-law, son-in-law, daughter-in-law, brother-in-law, sister-in-law, stepfather, stepmother, stepson, stepdaughter, stepsister, stepbrother, half brother, half sister, grandparent, great grandparent, grandchild, great grandchild, step grandparent, step great grandparent, step grandchild, step great grandchild, person who is engaged to be married to the regulatory employee or who otherwise holds himself or herself out as or is generally known as the person to whom the regulatory employee intends to marry or with whom the regulatory employee intends to form a household, or any other natural person having the same legal residence as the regulatory employee. (d) “Nominal intrinsic value” means a rebuttable presumption that an item, food, or refreshment is symbolic and of minimum value when such item, food, or refreshment is available in the market to a retail purchaser for $25.00 or less. (2) Purpose. – This rule sets forth the policies and procedures of OFR with regard to conflicts of interest of regulatory employees. The ultimate mission of OFR is to ensure that state financial institutions are operated in a safe and sound manner. As such, the public deserves the highest standards of honesty, integrity, and impartiality as part of the conduct of each regulatory employee. It is incumbent upon every regulatory employee to avoid any actions which are or appear to be a conflict of interest. (3) Regulatory employees shall be provided a copy of this rule, Chapter 112, Part III, F.S.; and the Official Procedures of the Department of Banking and Finance, Discipline of Career Service Employees, Standards and Procedures, Effective: January 10, 1984. Each regulatory employee is responsible for ensuring that, as applicable, they are in compliance with the principles of conduct set forth herein, Chapter 112, Part III, F.S., and the Department’s Discipline of Career Service Employees, Standards and Procedures. (4) Any regulatory employee violating this rule, Chapter 112, Part III, F.S., or the Official Procedures of the Department of Banking and Finance, Discipline of Career Service Employees, Standards and Procedures, Effective: January 10, 1984, will be subject to disciplinary penalties, which may include divestment or suspension of conflicting interests, changes in assigned duties, disqualification for a particular assignment, written or oral reprimand, demotion, suspension, or termination of employment. (5) No regulatory employee shall engage in any activity, whether or not specifically prohibited by this rule, which would result in, or create the appearance of: (a) Using one’s official position for their own personal or private benefit; (b) Giving preferential treatment to any state financial institution; (c) Impeding an investigation or inquiry into a state financial institution; (d) Losing one’s independence or impartiality; or (e) Affecting adversely the public’s confidence in the state or financial institution system. (6) Except as otherwise permitted by law or this rule, no regulatory employee shall knowingly accept, directly or indirectly, anything of monetary value from a person who: (a) Has, or is seeking to obtain, a contractual or other business-type of relationship with OFR; DFS-C2-1425 (Rev. 12/07) (b) Conducts activities that are regulated or examined by OFR; or (c) Has financial or business interests that may be substantially affected by the performance or nonperformance of the regulatory employee’s official duties. (7) The provisions of subsection (6) shall not apply to the: (a) Acceptance of gifts, entertainment, or food when such items are provided to the regulatory employee pursuant to a family relationship; (b) Acceptance of unsolicited advertising or promotional material of nominal intrinsic value, such as pens, pencils or calendars; or (c) Acceptance of food or beverage consumed at a single sitting or event. (8) Regulatory employees are prohibited from having outside financial interests or from engaging in business transactions which: (a) Materially conflict, or appear to materially conflict, with the regulatory employee’s financial institution regulatory duties and responsibilities; or (b) Directly or indirectly rely on confidential information which was obtained through employment by OFR. (9)(a) No regulatory employee may own, acquire, or maintain: 1. A loan or other extension of credit with a state financial institution over which the regulatory employee is directly responsible for examining or supervising the daily affairs of such state financial institution; 2. Any other contractual obligation, including deposit accounts, with a state financial institution over which the regulatory employee is directly responsible for examining or supervising the daily affairs of such state financial institution; or 3. Securities or an equity interest in any state financial institution or an affiliate of a state financial institution. (b) Any regulatory employee holding, acquiring, owning, or maintaining any extension of credit, contractual obligation, or equity interest prohibited by this section shall notify the Director of OFR or his designee, in writing, within five working days of such an acquisition. The extension of credit, contractual obligation, or equity interest shall be disposed of or terminated as promptly as possible without causing undue hardship. The regulatory employee shall be prohibited from examination or supervision of the financial institution until the regulatory employee has terminated or disposed of the conflicting relationship. (10) The Director of OFR or his designee may approve limited exceptions to subsection (9) where a determination by the Director of OFR or his designee is made that the concerned prohibitions of subsection (9) place an excessive burden upon the regulatory employee and the granting of any such exemption will not materially impact the safety and soundness of the concerned financial institution. However, where a limited exception is granted, the regulatory employee shall be prohibited from examination or supervision of the financial institution until the regulatory employee has terminated or disposed of the conflicting extension of credit, contractual obligation, or equity interest. (11) Regulatory employees may engage in outside activities, including employment, if such activities are compatible with the official duties and responsibilities of the regulatory employee. However, any regulatory employee engaged in supplemental employment or outside activities must notify OFR. Such notification shall be filed with the Director of OFR or his designee and made a part of the regulatory employee’s official personnel file. (a) A regulatory employee may not: 1. Accept outside dual employment at any state financial institution or at an affiliate of a state financial institution while employed by OFR; DFS-C2-1425 (Rev. 12/07) 2. Accept any employment which creates, or appears to create, a conflict of interest with the duties assigned such regulatory employee or which tends to impair the regulatory employee’s objectivity in performing such assigned duties; or 3. Receive compensation, except for reimbursement of travel related expenses if approved by the Director of OFR or his designee, from other than OFR for services rendered in the course of performing the duties assigned such regulatory employee by OFR. (b) A regulatory employee who receives an offer of employment from or submits an application for employment to a state financial institution shall within five working days report in writing to the Director of OFR or his designee any such occurrence. If the objectivity of the regulatory employee is deemed to be impaired due to the receipt of an offer of employment or submission of an application for employment, the regulatory employee shall be reassigned and not permitted to examine such financial institution. (12)(a) A regulatory employee shall not, for personal gain or advantage, use or permit the use of, information obtained as a result of employment with OFR, unless such information is available to the general public. (b) Except as otherwise provided by law, no regulatory employee shall disclose any confidential information. (13) A regulatory employee shall disclose breaches of trust and violations of this conflict of interest policy whenever they are discovered. Instances of breach of trust or conflicts of interest which are committed by a regulatory employee shall be reported to the Director of OFR or his designee as soon as practical. In all cases, confidentiality will be maintained to the extent possible. (14) No regulatory employee shall intentionally falsify and submit any record or information that is inaccurate, misleading or incomplete. Deliberate falsification of records, including but not limited to travel vouchers, attendance records, and examination reports, may be grounds for dismissal. Specific Authority 655.012(3) FS. Law Implemented 655.012(3) FS., Section 76, Chapter 92-303, Laws of Florida. History–New 12-23-92, Formerly 3C-100.956. DFS-C2-1425 (Rev. 12/07) I. TITLE Sexual Harassment and Other Acts of Unlawful Discrimination II. AUTHORITY AND REFERENCES A. Florida Statutes (F.S.): Section(s) 20.05, 20.13, 110.105, 110.1221, 110.201, 110.233, 120.53, 760.10 B. Florida Administrative Code (F.A.C): Rule Chapter 60L-36 110.227, III. STATEMENT OF POLICY A. It is the policy of the Department of Financial Services, Chief Financial Officer (hereinafter referred to as Department) to assure each job applicant and employee equal employment and promotional opportunities without regard to that person's age, race, color, sex, religion, political opinions or affiliations, marital status, or disability, except when there exists a bona fide occupational qualification necessary to perform the tasks associated with the position. B. It is the policy of the Department that each employee is allowed to work in an environment free from any form of unlawful discrimination and that each employee shall not commit acts of unlawful discrimination. Sexual harassment of employees and applicants is a form of unlawful discrimination under Title VII of the 1964 Civil Rights Act, a willful violation of Sections 110.105 and 110.233, Florida Statutes, and conduct unbecoming a State employee a s provided in Section 110.227, Florida Statutes, and Chapter 60L-36, Conduct of Employees. The Department will take prompt and remedial action to resolve complaints of sexual harassment and other acts of unlawful discrimination. Employees found to have sexually harassed another person or to have committed other acts of unlawful discrimination will be subject to disciplinary action according to Chapter 60L-36, F.A.C. C. It is the policy of the Department that each person or business entity regulated by or doing business with the Department is allowed to conduct business free from any form of unlawful discrimination. D. An employee who is in a position that is in a certified bargaining unit covered by a collective bargaining agreement with the State shall have the option of utilizing the procedure for filing a complaint provided by this Administrative Policy and Procedure (AP&P) or the collective bargaining grievance procedure. However, such employee cannot use both this AP&P and the collective bargaining grievance procedure. IV. PURPOSE AND OBJECTIVE A. The purposes of this AP&P are: (1) to provide a uniform definition for acts of unlawful discrimination and sexual harassment; (2) to inform interested persons and employees of the Department’s policies and procedures regarding discrimination and sexual harassment; and (3) to provide job applicants, employees of the Department and persons or entities regulated by or DFS-C2-1425 (Rev. 12/07) doing business with the Department with a mechanism for filing complaints of acts of unlawful discrimination or sexual harassment. 1. This AP&P applies to job applicants, all employees appointed to established positions, whether Career Service positions or not, all employees paid from Other Personal Services appropriations pursuant to Section 216.011(1)(o), Florida Statutes, unpaid volunteers and person(s) or entities regulated by or doing business with the Department. However, this AP&P is not intended to alter the at will status of any non-Career Service employee. Any pertinent provisions of the Personnel Rules of the Career Service System, Collective Bargaining Agreements, Part VI of Chapter 112, Florida Statutes, or other statutory requirements must be followed. 2. All references in this AP&P to individuals of the male gender are used for convenience only and shall be interpreted to include both male and female persons. V. DEFINITIONS A. For the purpose of this AP&P, the following words and phrases shall have the meanings indicated: 1. "Agency" means the Department of Financial Services, Chief Financial Officer. 2. "Complainant" is defined as the individual or individuals who have filed a complaint of sexual harassment or other acts of unlawful discrimination with the Department. 3. "Discrimination" is defined as the difference of treatment of a job applicant, employee of the Department, or persons or entities regulated by or doing business with the Department, during the course of business because of their age, race, color, sex, religion, national origin, political opinions or affiliations, marital status or disability. 4. "Peer" means any employee including a Career Service, Selected Exempt Service, Senior Management Service, Receivership or OPS employee who has equal standing with another in rank or class. 5. "Respondent" is defined as the individual or individuals identified by a Complainant as having committed an alleged act of sexual harassment or other acts of unlawful discrimination. 6. "Sexual harassment" is defined as unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature from or involving supervisors, peers, subordinates or any other persons when: (a) Submission to such conduct is made either explicitly or implicitly a term or condition of an individual's employment; (b) Submission to or rejection of such conduct by an individual is used as the basis for employment decisions affecting such individual; DFS-C2-1425 (Rev. 12/07) (c)Such conduct has the purpose or effect of unreasonably interfering with an individual's work performance or creating an intimidating, hostile or offensive working environment; or (d) Submission to or rejection of such conduct by an individual is used as the basis for decisions affecting persons or entities regulated by or doing business with the Department. 7. "Subordinate" means any employee including a Career Service, Selected Exempt Service, Senior Management Service, Receivership or OPS employee who belongs to a lower rank or class when compared with another employee within the chain of command. 8. "Supervisor/ Managerial Employee" means any Career Service, Selected Exempt Service, Senior Management Service, Receivership or OPS employee who has the authority and responsibility of supervising other employees. 9. "Chief Financial Officer" refers to the Chief Financial Officer. VI. EMPLOYEE RELATIONS SECTION A. The Department’s Employee Relations Section may be contacted at: Department of Financial Services Bureau of Personnel Management 200 East Gaines Street Tallahassee, Florida 32399-0314 (850) 413-3182 B. The Department’s Employee Relations Section will endeavor to prevent all acts of sexual harassment and other acts of unlawful discrimination. C. All Department employees are encouraged to carefully review this AP&P on sexual harassment and other acts of unlawful discrimination. Any related problems or concerns should be forwarded to the Employee Relations Section. VII. NOTICE TO EMPLOYEES A. Each employee of the Department shall be furnished a copy of this AP&P and shall sign a written statement acknowledging receipt. This statement shall be placed in the employee's official personnel file. If the employee refuses to sign the receipt, the immediate supervisor or, when appropriate, the Chief of Personnel Management shall prepare a brief, dated and signed memorandum which records the time and date of such refusal, and place the memorandum in the employee's personnel file along with an attached copy of the unsigned acknowledgment form. B. Each employee shall be given an opportunity to discuss this AP&P and the issues of sexual harassment and/or other acts of unlawful discrimination with their immediate supervisor, Employee Relations Personnel Services Specialist, Administrator or Chief of Personnel Management. DFS-C2-1425 (Rev. 12/07) C. The Department shall take reasonable measures to inform employees of any changes in the provisions of this AP&P. However, all employees are responsible for keeping informed of any revisions to this AP&P, administrative rules and Florida Statutes. Current copies of this AP&P may be obtained from the Bureau of Personnel Management. VIII. COMPLAINTS TO OTHER AGENCIES A. The filing of a complaint with the Department pursuant to this AP&P, whether the complaint is dismissed or not, does not preclude the Complainant from also filing a complaint with the Florida Commission on Human Relations ("FCHR") or the Federal Equal Employment Opportunity Commission ("EEOC"). B. Section 760.11, Florida Statutes, requires that any complaint of sexual harassment or other acts of unlawful discrimination be filed with the FCHR within 365 days, and 300 days with EEOC of the occurrence of the violation. Any person filing a complaint with the Department may file with the FCHR or EEOC at the same time in order not to be barred from the right to file a complaint with the FCHR or EEOC. C. Failure to file the complaint simultaneously with the FCHR or EEOC will in no way waive the right of the Complainant to timely file with either the FCHR or EEOC. D. Failure to timely file a complaint with the Department will not waive the Complainant's right to timely file with the FCHR or EEOC. E. If and when a complaint has been filed with either the FCHR or EEOC and the commission procedure results in an investigation, the Department will provide the commission with all documentation concerning the complaint and cooperate with them in their investigation. However, an employee who has been found to have committed sexual harassment or other acts of unlawful discrimination will be subject to disciplinary actions regardless of the type of investigation. IX. OTHER ACTS OF UNLAWFUL DISCRIMINATION AND SEXUAL HARASSMENT COMPLAINT FILING A. The Agency Head hereby designates the Chief of Personnel Management as the complaint intake officer to receive all complaints of discrimination and sexual harassment. The Agency Head may designate additional complaint intake officers when, in his judgment, there is a need. B. Any applicant for a position, any employee, or any person or entity regulated by or doing business with the Department claiming to be aggrieved by sexual harassment or other acts of unlawful discrimination as defined in this AP&P, may file a complaint with the Department's Chief of Personnel Management or his designee. C. A complaint shall be filed within 30 calendar days or as soon as practical after the alleged acts of sexual harassment and other acts of unlawful discrimination. If the alleged acts of sexual harassment and other acts of unlawful discrimination are of a continuing nature, the DFS-C2-1425 (Rev. 12/07) date of the occurrence may be any date the alleged acts of sexual harassment or other acts of unlawful discrimination began up to and should include the date on which it ceased. 1. The Complainant may obtain a complaint form (see Exhibit A) from the Department’s Chief of Personnel Management or the Employee Relations Section. The form shall be filled out completely, signed by the Complainant, dated and witnessed and should contain the following information: a. The name, address, home and work telephone number, the Bureau and Section of the person filing the complaint. b. The name(s) and Bureau and Section of the Department employee(s) who allegedly participated in, witnessed or committed the sexual harassment or other acts of unlawful discriminatory practice and the names of alleged victim(s). c. A clear and concise statement of the facts, including pertinent dates, locations, potential witnesses and any other documentation in support of the complaint which, in total, alleges a violation of this AP&P, and the relief requested. d. A statement disclosing whether a complaint or other legal proceedings involving the alleged unlawful employment practice has been filed with another agency (federal, state, or local agency) charged with the enforcement of fair employment practice laws and, if so, the date of such commencement and the name of the agency. 2. Notwithstanding the foregoing requirements, a complaint is sufficient if it is in writing and is sufficiently precise to identify the parties and to describe generally the allegation of sexual harassment or other acts of unlawful discrimination. 3. A copy of the filed complaint may be forwarded by the Complainant to the Agency Head. 4. Complaints may, in the alternative, be made verbally either to an immediate supervisor or the Chief of Personnel Management. Such complaints shall immediately thereafter be documented and filed with the Chief of Personnel Management in the manner described in Section IX.C.1. a.-d. above. The Chief of Personnel Management or his designee shall contact the Complainant to determine the nature of the allegation. The Chief of Personnel Management will review the complaint within three (3) workdays of receipt, and prepare an acknowledgment memorandum confirming receipt of the complaint and advising the Complainant that the complaint will be acted on according to the process set forth in this AP&P. a. Once the complaint has been acknowledged, an investigation shall be conducted or remedial action taken pursuant to Section XI below. b. When a verbal accusation has been lodged or filed, and the Complainant does not execute a complaint form, no investigation shall be conducted, except as DFS-C2-1425 (Rev. 12/07) noted below. However, the report of the complaint shall be retained by the Chief of Personnel Management. 5. A complaint may be amended to cure technical defects, omissions, or to clarify or amplify allegations made therein. An amendment may be filed at any time before the investigation is completed. 6. Even though a complaint form is not executed, the agency is not precluded from conducting a fact finding inquiry and taking remedial action when appropriate. 7. A complaint may be withdrawn by the Complainant at any time. The Complainant shall contact the Chief of Personnel Management or the Employee Relations Section indicating an interest in withdrawing the complaint. Once the appropriate personnel have been notified, a Complainant Withdrawal Request Form (see Exhibit C) must be signed by the Complainant and placed in the complaint file. 8. Entities or individuals regulated by or doing business with the Department shall be notified of written complaints of sexual harassment or other acts of unlawful discrimination filed by a Department of Financial Services employee against one of their employees or representatives. 9. Complaints filed with the Florida Commission on Human Relations (FCHR) or the U.S. Equal Employment Opportunity Commission (EEOC) and referred to the Department for investigation will be received and processed according to this AP&P. 10. If an employee is in a position covered by a collective bargaining agreement, which provides for an alternative procedure for making a complaint covered by this AP&P, the employee may use the alternative procedure in lieu of, but not in addition to, the procedure provided by this AP&P. X. CONFIDENTIALITY A. Pursuant to Section 119.07(3), Florida Statutes, all complaints and other records in the custody of the Agency which relate to a complaint of sexual harassment or other acts of unlawful discrimination are exempt from the provisions of Section 119.07(1), Florida Statutes, and Section 24(a), Article I of the State Constitution, until a finding is made relating to probable cause, the investigation of the complaint becomes inactive, or the complaint or other record is made part of the official record of any hearing or court proceeding. This provision shall not affect any function or activity of any state or federal agency, which authorized by any provision of law to have access to or investigate such complaints or records. Said agencies shall be granted such access in the furtherance of the agencies’ statutory duties, notwithstanding the provisions of this section. B. The Complainant and Respondent will receive a copy of the approved recommendation(s) described in Section XII.B. below. Any additional relevant documents may be requested pursuant to Chapter 119, F.S. Pursuant to Section 624.501(20)(a), F.S., there will be a charge of 50 cents per page for copies. Request for copies shall be made to the Bureau of Personnel Management’s Employee Relations Section. DFS-C2-1425 (Rev. 12/07) C. During the pendancy of the investigation or fact finding inquiry referenced above, the Complainant, Respondent and all witnesses are prohibited from communicating in any manner among themselves regarding the allegations of sexual harassment or other acts of discrimination. Violation of this provision may subject the employee to disciplinary action. XI. SEXUAL HARASSMENT AND OTHER ACTS UNLAWFUL DISCRIMINATION COMPLAINT INVESTIGATION PROCEDURES A. Within ten (10) workdays of receipt of a complaint of sexual harassment or other acts of unlawful discrimination, the Chief of Personnel Management shall: 1. Determine if the provisions of this AP&P are the appropriate basis to seek relief of the stated complaint; 2. Appoint a person from within the Department to investigate the complaint. In no case shall the investigator be an employee from the same division or other work unit directly involved in the complaint, or occupy a position that would normally represent the Department in any subsequent litigation concerning the subject of the complaint; and 3. Notify the Complainant of the name of the investigator. Such notification may be by copy of the correspondence appointing the investigator. 4. The Respondent shall be given the opportunity to respond to the complaint in writing within five (5) workdays after receipt of the complaint (see Exhibit B). In lieu of providing a written response, the Respondent may choose to provide a sworn statement to the investigator. 5. At this point, the investigator may discuss with the Complainant and Respondent the relief requested. If the parties agree upon appropriate remedial action, the proposed solution shall be forwarded to the Agency Head or his designee for approval. Upon such approval, the matter shall be closed. If the parties do not agree on appropriate remedial action or if the Agency Head does not approve the proposed solution, the complaint shall be further investigated and resolved as provided in this AP&P. 6. If the investigation proceeds further, the investigation shall include but not be limited to investigating all allegations involving the Respondent, interviewing any witnesses, including co-workers and supervisors, and taking statements from witnesses and, as deemed necessary, other persons who may be able to provide valid and pertinent information concerning the complaint. 7. All Department employees shall provide the investigator with any work-related documentation requested and with responses to oral or written questions presented. Employees failing to cooperate with an investigator conducting a formal investigation or fact finding inquiry shall be subject to discipline in accordance with Chapter 4E-1, F.A.C. DFS-C2-1425 (Rev. 12/07) 8. Investigations of all complaints shall be initiated within thirty (30) calendar days of receipt and the investigator shall prepare a thorough written report of the facts of the matter, which shall include all pertinent accompanying documents, to the Chief of Personnel Management. XII. DISCRIMINATION AND SEXUAL HARASSMENT COMPLAINT DISPOSITION A. Within ten (10) workdays after receipt of the investigator's report, the Chief of Personnel Management shall render a written recommendation to the Agency Head or his designee, dismissing the complaint or recommending corrective action, which may include proposed disciplinary action. B. Within ten (10) workdays after receipt of the Chief of Personnel Management's written recommendation, the Agency Head or his designee shall accept, reject, or modify the recommendation. C. The time periods provided by this Section, as well as Sections IX, XI and XIII, may be extended by the Chief of Personnel Management for cause. XIII. PROCEEDINGS PRIOR TO TAKING DISCIPLINARY ACTION A. If the Agency Head or other designated authority finds that disciplinary action warranted, he shall: is 1. In the case of a Career Service employee, follow the procedures for taking disciplinary actions against Career Service employees established pursuant to Rules 60K-9.003 and 4E-1, Florida Administrative Code. 2. In the case of a non-Career Service Employee, within twenty (20) workdays from receipt of the Chief of Personnel Management's approved recommendation(s), afford the Respondent a conference to rebut the charges prior to taking disciplinary action. However, the affording of a conference to a non-Career Service Employee does not alter the at will status of any non-Career Service Employee. XIV. DISCIPLINARY ACTION A. Any employee of the Department who is determined by the Agency Head or his designee to have unlawfully discriminated against or to have sexually harassed another employee or applicant for employment, or person(s) or entities regulated by or doing business with the Department, shall be subject to disciplinary action up to and including dismissal. B. Any supervisor or managerial employee who has knowledge or should have knowledge of any sexual harassment or any complaint of sexual harassment or of any other acts of unlawful discrimination or any complaint of other acts unlawful discrimination involving any agency employee, shall immediately report the matter to the Agency Head or the Chief of Personnel Management. However, if he/she does not take corrective action DFS-C2-1425 (Rev. 12/07) and/or report the matter, the individual shall be subject to discipline up to and including dismissal. C. Any employee who knowingly or without any factual basis files a false complaint of sexual harassment or other acts of unlawful discrimination against another employee, shall be subject to discipline up to and including dismissal. XV. MAINTENANCE AND DISPOSITION OF RECORDS A. The Bureau of Personnel Management will house the complaint files and a chronological log of complaints for 5 years. The files will then be processed for storage with the Bureau of Archives and Records Management. B. No information regarding an open investigation of a complaint of unlawful employment discrimination or sexual harassment shall be placed in the Complainant or Respondent's personnel file. However, once a decision is made by the Agency Head or his designee that discipline is warranted and disciplinary action is taken, a copy of the disciplinary action will be placed in the Respondent’s personnel file. Furthermore, only substantiated findings shall be placed in the Respondent's personnel file. The Respondent shall be afforded the right to place rebuttal statements and evidence in his personnel file or any other records retained by the agency regarding the investigation and disposition of a complaint of sexual harassment or other acts of unlawful discrimination. XVI. PROHIBITION AGAINST RETALIATION A. It is the policy of the State of Florida and the Department that retaliation is prohibited against a job applicant, employee of the Department, or persons or entities regulated by or doing business with the Department because such person in good faith either: (1) filed a complaint of sexual harassment or other acts of unlawful discrimination; (2) testified, assisted or participated in any manner in an investigation, proceeding or hearing involving an alleged offense; or (3) provided information regarding such complaint. Any employee found to be engaging in such retaliation shall be subject to discipline up to and including dismissal. However, this provision shall not preclude the Department from taking action as otherwise provided for in this AP&P. B. Any individual against whom such retaliatory action has allegedly been taken may file a complaint in the manner provided in this AP&P. XVII. COMPLAINTS AGAINST LAW ENFORCEMENT OFFICERS A. If a complaint of sexual harassment or other acts of unlawful discrimination is made against a law enforcement officer, the Department and the Complainant shall comply with the requirements of Part VI of Chapter 112 of the Florida Statutes. B. All sworn law enforcement personnel will be afforded all rights as prescribed by Sections 112.531-112.535, F.S. DFS-C2-1425 (Rev. 12/07) 5-23 Domestic and General Violence in the Workplace Revised: 09/30/97 Created: 08/08/97 I. TITLE Domestic and General Violence in the Workplace II. AUTHORITY AND REFERENCES A. Florida Statutes (F.S.): Chapter 110, Chapter 112 and Chapter 119 B. State of Florida, Department of Management Services, Rules and Regulations: Chapter 60K-9, Florida Administrative Code (F.A.C.) C. Resolution and Model Domestic Violence in the Workplace Policy adopted by the Governor and Cabinet - September 26, 1996. III. PURPOSE OR OBJECTIVES The purpose of this policy is to heighten awareness of violence in the workplace including all aspects of domestic violence and to provide guidance for employees and management to address the occurrence of violence, and its effects in the workplace. IV. DEFINITIONS A. "Arrest" - means any restraint of an employee by a law enforcement agency for an act of violence; actual or implied, which is committed by the employee. This also means any arrest or injunction for protection against violence or repeat violence received by the employee. This includes arrests or injunctions received prior to the employee's employment by the Department of Financial Services (DFS). B. "Batterer" or "Perpetrator" - refers to the individual who perpetrates an act of violence in the workplace, including domestic violence. C. "Batterers' Intervention Programs" - refers to the programs for batterers or perpetrators which are designed to: eliminate violence in intimate relationships, stop other forms of abusive behavior and increase victim safety. The programs educate batterers, teach them new skills and monitor their behavior toward victims and society at large. These programs use the power and control model of batterers' intervention. Certified programs under Section 741.32, F.S. and Section 741.325, F.S. are preferred. D. "Domestic or Workplace Violence" - includes but is not limited to: stalking or other patterns of coercive behavior that are used by one person to control another by means of physical, sexual, emotional or psychological violence, intimidation and verbal abuse. Domestic violence is also defined in Section 741.28, F.S. E. "Domestic Violence Centers" - refers to service agencies which provide, among other things, counseling and referrals, community education, emergency shelter and other services to victims of domestic violence and their children. DFS-C2-1425 (Rev. 12/07) F. "EAP" - refers to the DFS Employee Assistance Program. G. "Certified Batterer's Intervention Programs" - include, but are not limited to: couples, marriage or family counseling, and anger management courses that have proven to be effective in stopping domestic violence. H. "Victim" - refers to the individual who is abused by the batterer or perpetrator. I. "Weapon" - a device, instrument or material which is used or intended to be used in the destruction of life or the infliction of bodily injury, including, but not limited to: firearms, switchblade knives and knives with blades longer than four inches, chains and other objects possessed for the purpose of intimidating. J. "Battery" - as defined in Section 784.03, F.S. K. "Assault" - as defined in Section 784.011, F.S. V. POLICY It is the policy of DFS and the State to use early intervention and awareness strategies as a first line of defense in order to avoid or minimize the occurrence and effects of domestic and workplace violence. Every new employee will receive a copy of this policy in their New Employee Packet and this policy will be reviewed with them during the New Employee Orientation. Further, current DFS employees will be given a copy of this policy and their supervisors will be required to see that each employee under their supervision receives, reads and is given the opportunity to ask for clarification concerning any questions about this policy. DFS will offer assistance (i.e., gaining access to EAP, etc. ) to perpetrators. The Department may also discipline perpetrators of such acts for violation of standards established by Rule 4E-1, Florida Administrative Code (F.A.C.) - Discipline of Career Service Employees Standards and Procedures. DFS will not tolerate domestic or workplace violence, including harassment against any employee or client, while in state owned or leased offices, facilities, work sites, vehicles or while conducting state business or using state equipment. This includes, but is not limited to: the display of any violent, aggressive, or threatening behavior (verbal or physical) that results in physical injury or emotional trauma or otherwise places any person's safety or productivity at risk. Any employee who threatens, harasses, abuses or batters someone at or from the workplace during the performance of state business using any state resources such as: state time or state equipment (phones, Fax machines, mail, electronic mail, the Internet or other means) will be subject to corrective or disciplinary action, which may include dismissal, notification of law enforcement, or referral to counseling. VI. PROCEDURE A. ASSISTANCE FOR VICTIMS AND PERPETRATORS DFS-C2-1425 (Rev. 12/07) 1. An employee who is or may be a victim of domestic or general violence in the workplace or of a stalker and any employee who is aware of such is obligated to immediately contact his or her supervisor, the Chief of Personnel Management, the Human Relations Administrator or the EAP Coordinator so that appropriate measures may be taken regarding safety, security, referral to counseling and if necessary, other referrals (i.e., law enforcement). 2. Employees who are perpetrators of domestic or workplace violence are also encouraged to seek assistance and contact their supervisor, the Chief of Personnel Management, the Human Relations Administrator or the EAP Coordinator. 3. Any employee who is a victim of workplace violence or domestic violence shall be treated with sensitivity and confidentiality. Appropriate action should be taken by the supervisor to change the workplace environment or workplace activities to heighten security and safety for this and other employees. 4. DFS employees may utilize confidential channels consisting of an employee's chain-ofcommand, immediate supervisor, Bureau Chief, Division Director, EAP coordinator, or Human Relations Administrator (Bureau of Personnel Management), to report threats of workplace or domestic violence or other concerns regarding violence. 5. The supervisor may grant leave with or without pay, adjust schedules or work assignments, as appropriate for employees who are victims of workplace and domestic violence to include time off for medical and/or legal assistance, court appearances, counseling, relocation, or to make other necessary arrangements to provide for victim safety. 6. The supervisor should make every effort to grant leave time or adjust an employee's work schedule for the purpose of allowing an employee to attend an approved batterers' intervention program. 7. It is the responsibility of the employee, not DFS, to incur all costs associated with participation in a batterers' intervention program. 8. A list of domestic violence centers and contact information is maintained by the Department of Children and Family Services and a list of certified batterers' intervention programs and contact information is maintained by the Department of Corrections. DFS employees may obtain this information by contacting the EAP Coordinator in the Bureau of Personnel Management. 9. Supervisors, the Chief of Personnel Management, the EAP Coordinator and the Human Relations Administrator shall be trained regarding the necessary and appropriate actions to be taken, with regard to both the victim and the perpetrator, in situations of workplace or domestic violence. B. TRAINING AND EDUCATION DFS will provide, encourage, and promote workplace and domestic violence education and/or training for all department employees for the purpose of preventing violence in the workplace and domestic violence. Special emphasis will be placed on workplace security and safety, the training and utilization of DFS's EAP, appropriate training for supervisory personnel on detection, appropriate personnel actions, the need for confidentiality and record keeping, and referral of DFS-C2-1425 (Rev. 12/07) employees affected by workplace and/or domestic violence. This training will be provided by DFS's EAP, DFS Training Section, and Capitol Police. C. RESOURCES DFS shall maintain, publish and post in locations of high visibility, such as: bulletin boards and break rooms, the following information: Statewide Victim Information and Referral Hotline Number (800) 226-6667 - (provides information on crimes compensation and victims rights); Statewide Domestic Violence Hotline Number (800) 500-1119; Information on DFS's EAP and, any other appropriate referral information. The Division of Capitol Police, Department of Management Services, may be called upon to conduct building security audits and discuss access issues as well as provide training in domestic and workplace violence and personal safety issues. D. EMPLOYMENT SCREENING AND OTHER EMPLOYMENT ISSUES All prospective employees of DFS will undergo an appropriate level of employment security screening which may include a history of prior conviction(s) for a crime of violence. This should be done minimally through self-disclosure on the State employment application and Employee Screening-Background form (See Exhibit A). A more extensive review may be done, as determined by DFS. If an applicant indicates on his or her application form that he or she is a respondent (or ever has been a respondent) on an injunction for protection, DFS will consider his or her application on a case by case basis, exactly the same as other past criminal convictions are evaluated. A zero tolerance for violence statement will appear on all DFS job opportunity announcements. This statement will appear as such: THE DEPARTMENT OF FINANCIAL SERVICES HAS ZERO TOLERANCE FOR VIOLENCE IN THE WORKPLACE. E. PRIVACY, CONFIDENTIALITY AND RECORD KEEPING Pursuant to Section 110.1091, F.S., any communication relative to an employee's participation in the EAP or equivalent program shall be confidential communication between program personnel of DFS and the participating employee to the extent allowed by law. DFS shall inform victims of the provisions of Section 119.07(3)(s), F.S., that information about a person who is a victim of certain crimes, including domestic violence, shall be confidential for a term of five years. This provision requires that before material will be considered confidential, the victim must make a written request for such information to be held confidential. Records relating to victims or perpetrators of workplace violence and/or domestic violence shall be maintained by DFS with the appropriate level of confidentiality. DFS-C2-1425 (Rev. 12/07) F. WEAPONS With the exception of duly authorized persons performing official State duties and others who have written authorization from the Department, possession, use or threat of use of a weapon is not permitted in the workplace, including State owned or leased property including State vehicles. Any employee who becomes aware of another employee possessing a weapon at the workplace, that is not authorized to do so, shall immediately notify their immediate or next level supervisor. This supervisor shall notify the Chief of Personnel Management or the Human Relations Administrator who shall review the report and make recommendations for action, which may include notifying law enforcement agencies. G. REPORTING RESPONSIBILITIES Employees have an obligation to report incidents or threats of incidents of workplace violence to management. DFS will respond in accordance with the above defined policy and procedure. Appropriate responses may include, but shall not be limited to, corrective and/or disciplinary action, termination of employment, notification to law enforcement or EAP referral. Department of Financial Services NEPOTISM Section 112.3135, Florida Statutes, prohibits a public official from employing any job applicant who falls into certain statutorily defined classes of relatives where the public official has or is delegated the authority to effect or advocate the appointment or promotion of the applicant. Relative is defined as an individual related to the supervisor as father, mother, son, daughter, brother, sister, uncle, aunt, first cousin, nephew, niece, husband, wife, father-in-law, mother-in-law, son-in-law, daughter-in-law, brother-in-law, sister-in-law, stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half brother or half sister. In order to insure that the Department is not placed in a situation that would violate the above provisions, we ask that you complete the following: To the best of your knowledge, are you related to any current employee of the Department of Financial Services? Yes No If yes, please state the name of your relative and the relationship. (Please print) Name: Relationship: Signature of Applicant Date Applicant Name - PRINTED DI4-640 Rev. 1-2003 AUTHORIZATION TO RELEASE INFORMATION This, or any photo static copy hereof, will authorize you to furnish the Florida Department of Financial Services any information you may have concerning me on record or otherwise. The following reference and all individuals contacted therewith are released from all liability for any damage whatsoever incurred in providing such information. Date Signature of Applicant  Employer: Address: Applicant's Name: SS#: The above reference applicant has stated he/she was in your employ from to under the supervision of . Please complete the following sections and return it to us at your earliest convenience. Signature Date  Dates employed: Last position held: Reason for separation: Would you rehire the employee? If no, please give reason: Yes No from Last annual salary: to DI4-661 Rev. 1/03 DEPARTMENT OF FINANCIAL SERVICES Division of Administration – Bureau of Human Resource Management EDUCATION AND BACKGROUND INFORMATION VERIFICATION FORM It is the policy of the Department of Financial Services that applicants for employment complete the information below concerning the Education and Background Information sections of the State of Florida Employment Application in order to be further considered in the selection process. In regard to your criminal history, on your State of Florida Employment Application you were asked whether you had ever been found guilty of, or entered a plea of nolo contendere or guilty to, any first degree misdemeanor or felony, regardless of the age of the crime. (Please note that an answer of “yes” will not automatically disqualify you from employment with this agency.) If you are not completely certain of the accuracy of the information you have provided in the Education and/or Background Information (criminal history) sections of your State of Florida Employment Application (including the effect of any plea you entered or whether your offense is a first degree misdemeanor or felony), you should indicate and explain your uncertainty below. EDUCATION: I AM / AM NOT (circle one) certain of the accuracy of the information in the Education Section of my State of Florida Employment Application. If NOT: The circumstances surrounding my uncertainty are as follows: BACKGROUND INFORMATION (criminal history): I AM / AM NOT (circle one) certain of the accuracy of the information in the Background Information (criminal history) section of my State of Florida Employment Application. If NOT: The circumstances surrounding my uncertainty are as follows: I understand that any misrepresentation or omission of my educational credentials and/or background information (criminal history) shall be grounds for disqualifying me from employment or, if I am hired, grounds for terminating me from employment at any time. Print Name: Signature: As the supervisor of the position I have explained this form in its entirety to the applicant/employee. I have further disclosed to the applicant/employee that any misrepresentation or omission of their education credentials and/or background information (criminal history) shall be grounds for disqualification in the selection process or termination of current employment at any time. Supervisor Signature: DFS-C2-1425 (Rev. 12/07) Date: Date: