Disciplining and Terminating Staff
Employees UPPS No. 04.04.40
Issue No. 9
Effective Date: 07/15/2009
Review: April 1 ONY
01. POLICY
STATEMENTS
01.01 This UPPS
provides policies and procedures for disciplining and involuntarily terminating
regular and non-student, non-regular staff employees.
01.02 For terminations
that are the result of a reduction in force (RIF), refer to UPPS No. 04.04.14, Staff Reduction in Force.
02. GENERAL
PROVISIONS
02.01 All applicable
portions of the Rules and Regulations of the Board of Regents are incorporated
by reference into this UPPS.
02.02 This UPPS
applies to all regular and non-student, non-regular staff employees, including
administrative officers as defined in Section 1.1 of Chapter V of the Regents'
Rules.
02.03 Staff employees (except
those with special employment contracts) serve without fixed terms and at the
pleasure of the president or Board of Regents. As employees at will, either the
university or the staff employee may terminate the employment relationship at
any time with or without cause and without liability for failure to continue
the employment.
02.04 Only the president,
vice presidents, deans and directors reporting directly to a vice president
have the authority to involuntarily terminate regular and non-student,
non-regular employees and sign letters of involuntary termination. However,
these officials may delegate in writing to their account managers the authority
to terminate non-student, non-regular employees using the procedures described
in Section 06.
02.05 The president
delegates to each supervisor the authority to discipline those whom he or she
supervises, using any of the disciplinary actions set forth in Section 05 of
this UPPS except the sanction of discharge (see Section 5.03 f.). However,
before a supervisor suspends without pay, demotes or reduces the pay of any
employee, he or she must receive the approval of the next higher level
supervisor.
02.06 The staff
of Human Resources is available to both supervisors and employees to provide
advice and assistance on employee relations.
03. INVOLUNTARY
TERMINATIONS
03.01 Disciplinary –
see Section 05.03 f. (discharge)
03.02 Non-disciplinary
– on occasion the university may determine it is in its best interest to
involuntarily terminate an employee for non-disciplinary reasons. Such reasons
include lack of funding, no longer a need for a position, completion of
assigned project, expiration of project time, end of “interim” status, or an
employee’s inability to perform the duties of a position due to illness or
injury. Access the Non-Disciplinary form template at http://www.hr.txstate.edu/Forms/employerelationforms.html.
NOTE: For information concerning non-disciplinary,
involuntary terminations as the result of a reduction in force see UPPS No. 04.04.14, Staff Reduction in Force.
03.03 Prior to any involuntary termination, the discharging
official must consult with Human Resources to assure objective investigation of
the case for termination.
03.04 Non-disciplinary
terminations of non-student, non-regular employees are not grievable but
employees may use the complaint process as described in UPPS No. 04.04.41, Staff Employee Mediation, Grievance, and Complaint Policy.
04. JOB
ABANDONMENT
04.01 The university considers any employee who abandons his or
her job resigned from employment and will remove the employee from the university
payroll effective the employee’s last day worked or the last day of approved
leave. Job abandonment occurs in either of
the following situations:
a. an employee fails
to report for duty on the first regular workday after a leave without pay
(LWOP), or
b. in a non-LWOP
situation, an employee is absent for three consecutive workdays without
notifying his or her supervisor.
NOTE: Prior to beginning the official termination process,
the supervisor will make a good faith effort to establish contact with or
ascertain the whereabouts of the employee before separating the employee.
04.02 Notification
The account manager will send a certified letter, return
receipt requested, notifying the employee of the effective date of his or her
job abandonment termination. Access the Job Abandonment suggested form letter
at http://www.hr.txstate.edu/Forms/employerelationforms.html.
a. For failure to
return from an LWOP, the effective date of termination is the last day of the
approved leave of absence period.
b. For a non-LWOP
situation, the effective date of termination is the last day worked or the last
day of approved leave, as appropriate.
04.03 Separation
Paperwork. The account manager will:
a. process the
separating Personnel Change Request (PCR), indicating “job abandonment” in the
Explanation section;
b. attach to the PCR
a copy of the certified letter with return receipt requested (See Section
04.02); and
c. for a non-LWOP
situation, also attach to the PCR a memorandum to the Director of Human
Resources documenting the supervisor’s efforts to contact the employee or
ascertain the employee’s whereabouts.
04.04 Because job
abandonment is considered a resignation, it is not processed as a disciplinary
action. Employees may not appeal job
abandonment terminations through the complaint and grievance procedures in UPPS No. 04.04.41, Staff Employee Mediation, Grievance, and Complaint Policy.
05. DISCIPLINARY
OPTIONS
05.01 Staff employees
are subject to disciplinary action or dismissal for adequate cause. This does
not, however, affect their status as at-will employees. Supervisors should apply disciplinary action in a consistent
manner for all of their employees.
The following list of infractions may result in disciplinary action, up to and
including dismissal. This list is not exclusive; other acts or omissions
contrary to standard work performance or conduct, may warrant disciplinary
action:
a. Failure to comply with state or federal law;
the policies, regulations, rules, and procedures of The Texas State University
System, Texas State University-San Marcos, or departments and work units of
Texas State;
b. Performance, conduct, or behavior, whether by
action or omission, that interferes with or adversely affects the orderly or
efficient operation of Texas State;
c. Insubordinate acts toward a supervisor that
interfere or impede efficient operations or the ability of a supervisor to
manage or function;
d. Any other behavior that is not in the best
interest of the university or that undermines the employee’s ability to continue
as a university employee.
05.02 Supervisors are
encouraged to use mediation where appropriate in lieu of disciplinary measures.
Mediation policy and procedures are found in UPPS No. 04.04.41, Staff Employee Mediation, Grievance, and Complaint Policy.
05.03 The following is
a list of possible disciplinary actions. Although all information relevant to
an individual's employment relationship with the university constitutes his or
her personnel records, Human Resources maintains each staff employee's
permanent file.
NOTE: Before taking disciplinary actions "c. 2)"
through "f.", the disciplining official is required to consult with
his or her supervisor and with Human Resources.
a.
Oral Reprimand: This is the least severe disciplinary action. The
supervisor delivering the reprimand should keep a written record of this
sanction. Employees may appeal oral reprimands
through the complaint procedures in UPPS No. 04.04.41, Staff Employee Mediation, Grievance, and Complaint Policy.
b. Written
Reprimand: Written reprimands are given either when oral reprimands have failed
to achieve the desired improvement or when justified by the nature of the
offense. The supervisor must give the written
reprimand to the employee personally, and must forward a copy to Human
Resources for placement in the employee’s personnel file. The written notice must inform the employee of his or her
right to appeal the written reprimand through the complaint procedures in UPPS No. 04.04.41, Staff Employee Mediation, Grievance, and Complaint Policy
and that the employee should contact Human Resources in regard to any questions
about appeals. Access the Written Reprimand suggested form letter at http://www.hr.txstate.edu/Forms/employerelationforms.html.
c. Suspension:
There are two types of suspension, one of which is non-disciplinary:
1) Suspension With
Pay for Investigation (Non-Disciplinary): The employee is paid while suspended
from regular duties. This type of suspension is used when a supervisor needs to
investigate the circumstances surrounding an alleged offense more thoroughly
and the continued presence in the work place of the employee alleged to have
committed the offense is detrimental to operations. The suspending official
must notify the employee by memorandum as soon as possible of the suspension
with pay, including the reasons for the suspension and the dates covered by the
suspension. Access the Suspension With Pay suggested form letter at http://www.hr.txstate.edu/Forms/employerelationforms.html. The suspending official must provide copies of this
memorandum to his or her supervisor and Human Resources. Payroll will record the employee’s time while
on suspension with pay as Administrative Leave.
2) Disciplinary
Suspension Without Pay (Disciplinary): The employee is not paid while
suspended. The vice president in the suspended
employee reporting line must approve any disciplinary suspension in excess of
five working days. The university must provide notice of suspension for
disciplinary purposes directly to the employee with a copy to Human Resources
for placement in the employee’s personnel file.
The written notice must inform the employee of his or her right to appeal the
suspension through the complaint and grievance procedures as appropriate in UPPS No. 04.04.41, Staff Employee Mediation, Grievance, and Complaint Policy
and that the employee should contact Human Resources in regard to any questions
about appeals. Access the Disciplinary Suspension Without Pay suggested form
letter at http://www.hr.txstate.edu/Forms/employerelationforms.html.
A PCR must be submitted for the suspension time period.
d. Reduction in
Pay: The university will reduce the
employee’s pay by a fixed amount each month. The supervisor must give the employee
written notice of the pay reduction and forward a copy to Human Resources for
placement in the employee’s personnel file.
The written notice must inform the employee of his or her right to appeal the
reduction in pay through the complaint and grievance procedures as appropriate
in UPPS No. 04.04.41, Staff Employee Mediation, Grievance, and Complaint Policy
and that the employee should contact Human Resources in regard to any questions
about appeals. Access the Reduction in Pay suggested form letter at http://www.hr.txstate.edu/Forms/employerelationforms.html.
The supervisor must also initiate a PCR reflecting the reduction in pay and
send it through administrative channels.
The university may reduce an employee’s pay regardless of
the employee’s salary. In disciplinary actions, the
supervisor may reduce an employee’s pay even if it causes the employee’s salary
to go below the pay plan minimum for the title the employee holds.
e. Demotion:
Demotion results in a change of title for the employee. The new title will have
a lower minimum pay rate than the title previously held. The supervisor must give a written demotion notice to the
employee and forward another copy to Human Resources for placement in the
employee’s personnel file. The written
notice must inform the employee of his or her right to appeal the demotion
through the complaint and grievance procedures as appropriate in UPPS No. 04.04.41, Staff Employee Mediation, Grievance, and Complaint Policy
and that the employee should contact Human Resources in regard to any questions
about appeals. Access the Demotion suggested form letter at http://www.hr.txstate.edu/Forms/employerelationforms.html.
The supervisor must initiate a PCR and send it through administrative channels.
f. Discharge:
Only the president, vice presidents, deans and directors reporting directly to
a vice president have authority to discharge regular employees. The discharging official must consult with Human Resources
before taking any discharge action to assure adequate investigation of the case
for dismissal. The discharging official must sign the dismissal notice which
must specify the effective discharge date and inform the employee of the right
to appeal the discharge through the complaint and grievance procedures in UPPS No. 04.04.41, Staff Employee Mediation, Grievance, and Complaint Policy
and to contact Human Resources regarding any appeal questions. In addition, the discharge letter must receive approval and
signature from Human Resources. Access the Discharge suggested form letter at http://www.hr.txstate.edu/Forms/employerelationforms.html.
The discharging official will forward a copy of the discharge documents to
Human Resources for placement in the employee's personnel file and ensure that
a PCR terminating the employee is prepared and sent through administrative
channels.
06. PROCEDURES
FOR IMPOSING DISCIPLINARY SANCTIONS AND INVOLUNTARY TERMINATIONS
06.01 Good human
resources management is enhanced when disciplinary sanctions and involuntary
terminations are administered in an orderly way. The following procedures will
assist supervisors in their efforts to achieve good management of human
resources.
06.02 Disciplinary
Sanctions. The supervisor shall:
a. Fairly and
thoroughly investigate each case before imposing any discipline.
b. Consult with his
or her supervisor and Human Resources if considering disciplinary suspension
without pay, reduction in pay, demotion, or discharge.
c. Inform the
employee of the exact charge against him or her before imposing disciplinary
sanctions.
d. Give the employee
the opportunity to rebut the case and to present written statements or
witnesses in support of his or her case. The supervisor may impose a timeframe
for response.
e. Use and retain the
checklist found in http://www.humanresources.txstate.edu/pdf/Attachment%20I%20040440%20110107.pdf
f. Prepare a
disciplinary letter using the sample disciplinary letters set forth in the UPPS
and found at http://www.humanresources.txstate.edu/hrforms.htm#employeerelations. Ensure that the letter tells the employee:
1) the type of
disciplinary sanction and why (check wording with Human Resources);
2) that further
infractions could lead to more severe discipline, including discharge; and
3) that the employee
has the right to appeal the disciplinary action through the complaint and
grievance procedures as appropriate in UPPS No. 04.04.41, Staff Employee Mediation, Grievance, and Complaint Policy
and that the employee should contact Human Resources in regard to any questions
about appeals.
g. Meet promptly with
the employee and give him or her the letter.
h. Maintain complete
records to document all disciplinary actions taken against any employee.
NOTE: If unusual circumstances prohibit face-to-face
meetings with the employee for steps c., d., or g. above, the supervisor shall
communicate by certified mail.
06.03 Non-disciplinary
Terminations. When terminating an employee for non-disciplinary reasons the supervisor shall:
a. Fairly and
thoroughly investigate each case before terminating.
b. Consult with his
or her supervisor and Human Resources.
c. Prepare a
non-disciplinary termination letter using a form letter found at http://www.hr.txstate.edu/Forms/employerelationforms.html
as a guide. Ensure that the letter tells the employee:
1)
that the employee’s termination is for
non-disciplinary reasons. Although the employee is not
entitled to a statement of reasons for the discharge, the supervisor may, in
appropriate situations, provide reasons.
2) that a regular
employee has the right to appeal the termination through the complaint and
grievance procedures as appropriate in UPPS No. 04.04.41, Staff Employee Mediation, Grievance, and Complaint Policy
and that the employee should contact Human Resources in regard to any questions
about appeals.
d. Meet promptly with
the employee and give him or her the letter.
NOTE: If unusual circumstances prohibit a face-to-face
meeting, the supervisor shall send the letter to the employee by certified
mail.
e. Maintain complete
records to document the non-disciplinary termination.
06.04 Procedural
Defects. If an employee appeals a disciplinary or non-disciplinary termination,
a supervisor's failure to follow the university's procedures for imposing the
termination does not, on its own merit, provide sufficient justification for
overturning the termination.
06.05 When sexual harassment or illegal discrimination allegations
are concurrent with possible disciplinary action under this policy, the
university must settle those allegations before taking any action under this
policy’s disciplinary provisions except suspension
with pay for investigation as provided in Section 05.03 c. unless the allegation’s gravity warrants immediate
disciplinary action as determined by the appropriate divisional vice president.
07. PROCEDURES
FOR TERMINATING ADMINISTRATIVE OFFICERS
07.01 Most of the
policies and procedures in previous sections are applicable to the discipline
and discharge of administrative officers (administrative officers are defined
in UPPS No. 04.04.11 and listed in the University Pay Plan).
Special additional conditions pertaining to termination of administrative
officers, as contained in the Regents' Rules, are noted below.
07.02 Section 3.21 of
Chapter V of the Regents' Rules provides that the Board or president of the university
may remove an administrative officer of the university when, in the judgment of
the Board or the president, the interest of the System or of the individual
university requires removal. An administrative officer shall not have a right
to a hearing in front of the president or the Board unless he or she alleges
that the decision to terminate constitutes violation of a right guaranteed by
the laws or Constitution of the State of Texas or of the United States and
requests an administrative hearing to review the allegations. In such cases, a hearing committee, consisting of three
impartial university officers appointed by the president will afford the
administrative officer an opportunity to present the allegations before the
committee. The committee will hear the allegations under the same procedures as
for faculty dismissal for cause, with the following exceptions:
a. The burden of
proof is upon the affected administrative officer to establish at such hearing
that the decision in question constitutes violation of a right guaranteed by
the laws or Constitution of the State of Texas or of the United States.
b. The president of
the university need not state the reasons for the questioned decision nor offer
evidence in support thereof unless the affected administrative officer presents
a prima facie case in support of such allegations. In such case, the hearing
committee shall determine whether the president has no other reason for his or
her decision.
c. The hearing
committee will submit written recommendations, based on the material facts, to
the president and to the affected administrative officer. The administrative
officer may appeal to the president and ultimately to the Board of Regents in
accordance with the terms and procedures specified in Subsections 4.244
and 4.245 of this Chapter.
07.03 Regents’ Rules,
Chapter V, Section 3.22 provide that if the administrative office has university
tenure by virtue of a past faculty position or otherwise, termination will only
follow a showing of good cause during a hearing.
07.04 An Equity and
Access Investigating Committee, constituted as part of a formal complaint filed
under UPPS
No. 04.04.42, Prohibition of Sexual Harassment or UPPS No. 04.04.46,
Prohibition of Discrimination or Harassment Based on Race, Color, National
Origin, Age, Sex, Religion, Disability, or Sexual Orientation, must investigate
and issue a finding for any claim of discrimination or sexual harassment
brought by an administrative officer before the administrative officer can initiate
the appeal process to the president.
08. REVIEWERS
OF THIS UPPS
08.01 Reviewers of
this UPPS include the following:
Position Date
Director of Human Resources April
1 ONY
Chief Diversity Officer and Director, April 1 ONY
Office of Equity and Access
University Attorney April
1 ONY
Chair, Staff Council April
1 ONY
09. CERTIFICATION
STATEMENT
This UPPS has been approved by the following individuals in their
official capacities and represents Texas State policy and procedure from the
date of this document until superseded.
Director of Human Resources; senior reviewer of this UPPS
Vice President for Finance and Support Services
President