Revised:
07/10/2008
Disciplining and Terminating Staff
Employees UPPS No. 04.04.40
Issue No. 8
Effective Date: 10/30/2006
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
serve without fixed terms and at the pleasure of the
02.04 The Regents'
Rules (Chapter V) give to the
02.05 Only the
02.06 The
02.07 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. A suggested form letter is found at http://www.txstate.edu/effective/upps/upps-04-04-40-att2f.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 that the case for termination has been objectively
investigated.
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 Any employee who
abandons his or her job will be considered to have resigned from employment and
will be removed from the University payroll effective the employee’s last day
worked or last day of approved leave as appropriate. 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 with return
receipt requested notifying the employee of his or her job abandonment
termination and the effective date. A suggested form letter can be found at http://www.txstate.edu/effective/upps/upps-04-04-40-att2g.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.
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. Job
abandonment terminations may not, therefore, be appealed through the complaint
and grievance procedures in UPPS No.
04.04.41, Staff Employee Mediation, Grievances 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 are
cautioned that disciplinary action should be applied 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, 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. Oral reprimands may be
appealed 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 to be placed 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. A suggested form letter is found at http://www.txstate.edu/effective/upps/upps-04-04-40-att2a.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. Copies of this memorandum
must be provided to the suspending official’s supervisor and Human Resources.
The employee’s time while on suspension with pay should be recorded as
Administrative Leave.
*2) Disciplinary
Suspension Without Pay (Disciplinary): The employee is not paid while
suspended. Any disciplinary suspension in excess of five working days must be
approved by the vice president in whose reporting line the suspended employee
reports. Notice of suspension for disciplinary purposes must be given directly
to the employee with a copy furnished to Human Resources to be placed 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. A suggested form letter is found at http://www.txstate.edu/effective/upps/upps-04-04-40-att2b.html.
A PCR must be submitted for the suspension time period.
*d. Reduction in Pay:
This discipline causes the pay of an employee to be reduced 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 to be placed 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. A suggested form letter is found at http://www.txstate.edu/effective/upps/upps-04-04-40-att2c.html.
The supervisor must also initiate a PCR reflecting the reduction in pay and
send it through administrative channels.
An employee’s pay may be reduced 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 notice of demotion to the employee and forward another copy to
Human Resources to be placed 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. A suggested form letter is found at http://www.txstate.edu/effective/upps/upps-04-04-40-att2d.html.
The supervisor must initiate a PCR and send it through administrative channels.
*f. Discharge:
Only the
06. PROCEDURES
FOR IMPOSING DISCIPLINARY SANCTIONS AND OTHER INVOLUNTARY TERMINATIONS
06.01 Good human
resources management is enhanced when disciplinary sanctions and other
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.txstate.edu/effective/upps/upps-04-04-40-att2f.html
as a guide. Ensure that the letter tells the employee:
1) that the employee
is being terminated 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 there are
allegations of sexual harassment or illegal discrimination that are concurrent
with possible disciplinary actions being recommended under this policy, the
allegations of sexual harassment or illegal discrimination must be settled
prior to any action taken under the disciplinary provisions of this policy
unless the gravity of the allegation 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
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
c. The hearing committee
will submit written recommendations, based on the material facts, to the Subsections 4.244 and 4.245 of this Chapter.
07.03 Section 3.22 of
Chapter V of the Regents' Rules provides that if the administrative officer has
tenure at the University by virtue of holding a past faculty position or
otherwise, termination as a member of the tenured faculty shall be only for
good cause shown, and he or she shall be given a hearing if terminated from
tenured faculty status.
07.04 The Equity and
Access Committee 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
08. REVIEWERS
OF THIS UPPS
08.01 Reviewers of
this UPPS include the following:
Position Date
Director, Human Resources April
1 ONY
Director, Equity and Access April
1 ONY
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