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Overdue Compliance Training Procedures Policy

Approved by Executive Council on April 7, 2015

Policy Number Policy Owner
9011.1.P Management Services

1.0    Purpose

This procedure outlines the steps the college will take to ensure employees complete necessary compliance trainings. 

2.0    Revision History

Date Version Change Ref Section
4/7/2015 1.0 New Document  
10/9/2015 1.1 Minor Revisions  7.0
1/11/2017 1.2 Minor Revisions  

3.0    Units and Persons Affected

All College Employees

4.0    Policy

SUNY Plattsburgh employees are required to complete all necessary compliance trainings mandated by the Federal Government, New York State, the Board of Trustees of the State University of New York, and the College, itself. 

5.0    Definitions

    5.1    Authorized Volunteer: An individual who has been approved by the college and has approval on file in Human Resources Services to perform a specific College function. May include students.

    5.2    College Employee: All employees of the College, excluding employees of College-Affiliated Organizations.     

    5.3    Compliance training: The process of educating employees about laws, regulations, or policies required for employment. Trainings may be offered through online or traditional, in-person instruction.

    5.4    College-Affiliated Organizations: College Auxiliary Services, Plattsburgh Alumni Association, Plattsburgh College Foundation, Research Foundation for the State University of New York, and SUNY Plattsburgh Childcare Center. 

6.0    Responsibilities

    6.1    All College Employees: Responsible for completing all assigned compliance trainings by the established due date.

    6.2    Supervisors, Directors, Deans, and Vice Presidents: Responsible for ensuring compliance of employees within their department or division.

    6.3    President: Responsible for directing employees to complete overdue trainings at specific dates/times.

    6.4    Human Resource Services: Responsible for invoking the discipline process in accordance with applicable collective bargaining agreements.

7.0    Procedures 

    7.1    Employees are informed of training completion requirements and due dates upon assignment of the training. 

    7.2    Before the deadline, employees will be sent three reminders of the deadline. 

    7.3    After the deadline, a list of employees who have not completed all assigned compliance trainings by the established due date will first be referred to their immediate supervisor. 

    7.4    Supervisors of delinquent employees should make every effort to get the employees to comply by providing space and equipment, scheduling work time, and issuing formal counseling memos.  Employee evaluations should address issues with non-compliance. 

    7.5    If these measures remain unsuccessful, the respective director/dean (if applicable) and vice president will be notified and should direct the employees to comply. 

    7.6    After two attempts by the respective vice president, the employee’s name will be referred to the President. 

    7.7    The President will direct the employee in writing to complete the training by a specific date and time. 

    7.8    If the employee continues to be non-compliant, a referral will be made to Human Resource Services for further action. 

    7.9    Upon receipt of the notification, Human Resource Services may revoke privileges including, but not limited to, direct deposit and eligibility for Discretionary Salary Awards (DSA) with the amount of the pool generated by non-compliant employees not being allocated to the delinquent employees’ units.  Such privileges will continue to be revoked until the employee complies with all overdue trainings. 

    7.10    If the employee continues to be non-compliant, other progressive corrective measures, such as a counseling session, will be taken. 

    7.11    As a last resort, employees who continue to be non-compliant may be subject to discipline, conducted in accordance with the applicable collective bargaining agreement.

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