Chapter 24: Separations
Employees separate from the campus in a variety of ways. Some separations are voluntary and initiated by the employee, such as resignation or retirement. Others are involuntary and initiated by management, such as layoff or medical separation. The death of an employee or dismissal for cause creates unique challenges. Each type of separation requires specific, different actions by you, though some processes are common to all. Your common sense and good judgment will serve you well in response to the special circumstances that arise with each employee's separation. Whatever the circumstances, every employee leaving the campus, whether voluntarily or involuntarily, should feel they were treated with respect. Keep this goal in mind as you review the guidelines for different types of separations in this chapter.
- Death of an Employee
- Dismissal
- Exit Interviews
- Job Abandonment
- Layoff
- Medical Separation
- Resignation
- Retirement
- Sample Letter of Intent to Dismiss
- Training Resources
- Sample Letter of Dismissal
Death of an Employee
When an employee dies, the surviving family members or named beneficiaries may be eligible for certain benefits. You should report the death immediately so notifications can be made and paperwork started. It's also important to maintain contact with the family and offer assistance.
You may wish to call FSAP (Faculty and Staff Assistance Program) to provide counseling in your department if the death brings up emotional difficulties for staff.
Reporting a Death
When learning of an employee's death, you should immediately contact the Benefits staff in Human Resources. They will need the following information:
- The employee's name, Social Security number, and the employee number
- The nearest relative's name, address, and phone number
- The date of death, cause (if an accident, there may be additional benefits due), and city where the death occurred
- The employee's last day worked
If the death occurred on campus or while traveling on University business, prepare an Employer's Report of Injury form after you call Human Resources to notify them of the death. The Report of Injury form must be faxed immediately to Workers' Compensation or hand-carried to their office at . Any documentation you may have received, such as police reports, should be mailed separately.
Death of a Dependent
You should contact the Benefits staff in Human Resources when you are notified of the death of an eligible dependent (if the employee carries dependent life insurance). If you do not know whether the employee has coverage, call the Benefits unit and they will determine whether benefits are due.
Death of a Retiree
Once you are notified of a retiree's death, call the Benefits staff in Human Resources. They will make all required notifications.
Retirement benefits may be due to the family and if the employee retired with a disability, additional insurance may be due. The beneficiaries will be contacted by the offices involved.
Dismissal
Dismissal is the ultimate disciplinary action, normally used when other methods employed to correct performance or behavioral problems have not been successful. Dismissal is usually preceded by coaching, performance appraisal, and progressive disciplinary action. (See Chapter 23, Taking Disciplinary Action.) Under circumstances of extreme misconduct (consult with your L/ER Analyst), dismissal without prior warning may be warranted.
Before dismissing an employee, review the Seven Tests of Just Cause in Chapter 22, and consider alternatives such as other disciplinary action or transfer and consult with your L/ER Analyst. Be sure that you have made sufficient effort (documented and undocumented) to help the employee correct the problem. If you find that dismissal is appropriate, don't engage in unnecessary delays, which may hurt the morale and productivity of other employees.
The Letter of Intent to Dismiss
The personnel policies and union contracts under which your employees may work include provisions for a notice of intent to dismiss or terminate, prior to a final decision and implementation. This is based on a 1975 California State Supreme Court ruling in the case of Skelly vs. State Personnel Board. The Court ruled that public employees who have attained regular status have a property right to their jobs, and management must first serve notice if it intends to deprive an employee of that property right. This normally means that the immediate supervisor issues the notice of intent and informs the employee that they may respond to the next level of management. This next level manager (or department head, depending on the personnel program) reviews the employee's response (if any) and makes a final decision. The manager has the authority to uphold, modify to a lesser penalty, or overturn the action communicated in the notice of intent.
In composing a letter of intent (see Sample Letter of Intent to Dismiss in this chapter) do the following:
- State clearly at the beginning of the letter that it is a notice of intent to dismiss, and cite the appropriate personnel policy or contract provision.
- State the effective date of the intended action.
- Describe the performance or behavioral problem(s) in very specific detail, and attach copies of all material that served as a basis for your decision to take this action.
- Describe all previous steps taken to correct the problem, such as previous disciplinary actions, and attach copies of these documents.
- Inform the employee that they have a right to respond, either orally or in writing, within ___ (depends on policy or contract) calendar days of the date of issuance of the notice, and to whom. The number of days will be specified in each personnel policy or union contract, and they vary, so review them carefully. Your L/ER Analyst can help identify an appropriate next level manager to conduct the review for each situation.
- Deliver it to the employee and to the employee's personnel file using an appropriate mechanism such as Proof of Service. Send a copy to the union or the employee's representative, if appropriate, via Proof of Service. (See Sample Proof of Service Form in this chapter <hard copies of the Guide only>.)
Next Level Review
The employee, or the employee's designated representative, may choose to respond orally or in writing to the notice of intent to dismiss. If a meeting is to be held, an L/ER Analyst will be available to counsel the next level reviewer regarding the content, and will attend the meeting if the employee elects to have a representative present.
Before making a final decision, the reviewer should carefully consider the following:
- The notice of intent to dismiss and all attachments
- The employee's written response, if any
- Notes taken during meeting(s) with the employee and/or the employee's representative
- Notes of interviews held during the review period
- Appropriate personnel policy or union contract provisions
Notification of Decision
After the review, the reviewer issues a decision letter, which should:
- State clearly the decision reached, and cite the appropriate policy or contract provision
- Itemize the documents reviewed and summarize the discussion(s) held with the employee and her representative
- State the effective date of the action to be taken
- Notify the employee of their appeal rights, citing the appropriate policy or contract provision
- Be delivered by the same mechanism as the notice of intent
Dismissal without Prior Warning
As noted above, instances of extreme misconduct may warrant dismissal without prior disciplinary action. Acts that endanger others, job abandonment, and misappropriation of University resources are examples of conduct grave enough to lead directly to a decision to dismiss. Before taking such an action you should have clear and convincing proof based on a thorough investigation. Consult your L/ER Analyst to review campus precedents. If you decide to proceed, the steps outlined above for the notice of intent and decision letters are appropriate.
Separation
After a dismissal letter has been delivered, you may prepare separation documents and start recruiting for your vacancy. Remember that discharge is the capital punishment of employment, which results in no further opportunities for correction. Be sure it is the appropriate action to take.
Exit Interviews
Employees terminating from the campus are valuable resources. Through hearing their feelings, concerns, and impressions, you collect data relevant to your department and the campus. A meeting with employees before they leave is an opportune time to get their candid and honest reactions to policies, systems, management, and overall working conditions.
As soon as you know an employee is leaving, schedule an exit interview meeting. Exit interviews are used primarily for voluntary separations. During this meeting, talk about the employee's reasons for leaving, and how the employee feels about the job and supervision. Ask for specific suggestions the employee may have for you and the department. Take note of anything you may want to change. Look for trends as you receive feedback from several employees. Also, contact your Staffing & Compensation Analyst with information on compensation, benefits, training, etc. You may also want to discuss any departmental issues that may have come to your attention.
The exit interview process provides you and the campus with data which might not normally be collected from employees. Use this time to your advantage and make this process a worthwhile one for you and the employee.
Job Abandonment
An employee who does not report to work when expected or call in to report their absence for five consecutive days or more may be considered to have abandoned their position, and may be subject to dismissal without prior discipline, as noted in the Dismissal section of this chapter. To help you decide whether dismissal is warranted, consult with your L/ER Analyst and consider the following:
- What is the employee's performance and behavior record? Have there been previous no show occurrences?
- Have there been recent absences for illness or personal problems?
- Are you aware, or do you suspect, that the employee is a substance abuser?
- What are the employee's leave accrual balances?
- Have other employees provided information to you in confidence?
- Have you attempted to contract the employee by phone? By letter? By telegram? By email? How many attempts have you made?
- How has your department dealt with similar situations in the past?
You should attempt to communicate with the employee before making a decision to dismiss. A letter to the employee should:
- Inform the employee that they are absent without approval.
- Require immediate clarification of their status or explanation of the absence
- Specify to whom and by when this information must be provided
- Inform the employee that they will be considered to have abandoned their position if they fail to comply with this requirement
If the employee responds to this demand for information and returns to work, disciplinary action may be appropriate. (See Chapter 23, Taking Disciplinary Action.) If the employee fails to respond and return to work you may proceed to dismissal by the process outlined in the appropriate policy or contract. In either case, you are strongly encouraged to consult with your L/ER Analyst, who can help you consider your options.
Layoff
The University is committed to administering its layoff policy and procedures fairly and attempting to minimize the effects of layoffs. Implementation of a staff reduction program may be one of the most difficult challenges you face. Therefore, the following guidelines are intended to provide you with general information and suggestions to be used along with direct services offered by Human Resources.
Managing the Process
- Seek consultation and training on the change process and its impact on people.
- Consider education workshops and problem-solving opportunities for employees.
- Become familiar with resources and how to refer employees for help.
- Make sure communication is clear and concise.
- Present both good and bad news.
- Be as available and accessible as your work permits.
- Develop appropriate communication structures such as newsletters, bulletin boards, and meetings.
- Attend to morale.
- Be flexible.
- Be tolerant but clear about expectations.
- Expect new, different, and more intensified behaviors.
- Encourage employees to discuss their concerns and feelings.
- Deal with your own feelings and needs.
- Develop ways for people to break down isolation and promote social support.
Planning for a Layoff
How well you plan for the layoff will directly affect how well you can implement your staff reduction program. Staff reductions are usually precipitated by a budget reduction, programmatic changes, or a combination of these two. During your preliminary planning stage, you will want to do the following:
- Consult with your L/ER Analyst.
- Determine how the departmental program will change: What programs will be cut, what work will no longer be done, and what work will be shifted to other areas.
- Consult with your staff members to gather suggestions for cost-saving measures such as what functions can be eliminated or performed more efficiently, or how you can economize on facilities and supplies.
- Meet with your staff members about their preferences for a reduced schedule and/or furlough; discuss where you are in the process and listen to their concerns.
- Review all limited and restricted positions to determine which ones can be eliminated or functions reassigned to an employee in a career position.
- Review existing and revised organization charts to help you identify the assignment shifts you are considering.
- Notify the appropriate union of your plans (see Chapter 21, Labor Relations - Notice).
- Make sure you identify the proper layoff unit. (Consult with your L/ER Analyst.)
- Look at the impact of these changes on staffing.
- Try to identify an ideal organization within the budgetary target.
When the Final Plan is in Place
- Consult your L/ER Analyst about the appropriate policy, contract, and procedures.
- Determine the order of layoffs (what classifications and seniority within each). Inform the employees who will be laid off. The unions and/or employees may want to spend time discussing the impact of the layoff. At the same time, you will want to be flexible and supportive in working with employees to be laid off.
- Notify the Preferential Reemployment Coordinator.
Contract and Policy Requirements
Before moving forward with a layoff, you should read the contracts and policies that govern the affected employees. Providing proper notice to your employees and their unions is an important part of any staff reduction plan. For more information on your notice obligations see Chapter 21, Labor Relations - Notice.
For information on layoffs, advance written notice, and recall and preferential rehire rights, you should review the Guide to Layoff for Managers, available from the Labor Relations Unit, and consult appropriate provisions in pertinent policies and contracts.
Calculating Seniority Points
The seniority provision of the policies and contracts require that the employee with the least seniority in the classification affected normally be laid off first. (There are specific provisions for out-of-seniority layoffs under special circumstances; consult with your L/ER Analyst.) Seniority points should be calculated for all employees in the same layoff units with the same classification as the position scheduled to be abolished. Check policies and contracts for details on calculating points.
The department makes the first seniority calculations and then reviews them with Human Resources.
Communications about Layoffs
Good communication is absolutely critical in the planning and implementation of layoffs. While the material you have to present is not pleasant, employees must hear it directly and honestly from management not from the rumor mill.
Two-way communication, which provides for information flowing to employees and for ideas and feedback flowing back to management, will make the layoff process smoother for you and your employees. Employees will feel they have some part in making and understanding decisions that affect them, while you may get some good ideas about how to bring about the budget savings you must make. Many managers find that the best format for communication is either a series of meetings with the whole unit, or meeting with smaller work groups followed by individual meetings with employees.
Communicating with Management
All levels of management should participate in the discussion of plans before the plans are presented to employees. You should:
- Consult with the Control Point, if appropriate, to get approvals necessary for your actions.
- Speak with individual managers before formulating a proposed cutback plan.
- Hold a meeting with all managers to review your plan once it is developed.
- Offer other managers and supervisors a chance to react, discuss, and help revise the plan.
- Discuss cuts for specific areas with the affected managers before the meeting.
Communicating with Employees
Throughout the planning and implementation stages of a staff reduction, the most important thing you can do is to effectively and openly communicate with your staff.
- Keep employees informed right from the beginning.
- Solicit their input and ideas on how to consolidate work.
- Ask for suggestions regarding voluntary reductions in time or other suggestion for saving money.
Communicating Final Actions to Employees
Employees who will be laid off should be told as soon as possible and with as much lead time before the layoff as is feasible. You should hold a personal discussion with the employee before issuing the written layoff notice. See the Management Guide to Layoffs for sample layoff letters.
Consult with your L/ER Analyst as well. Whenever possible, the employee's direct supervisor should hold this meeting. While no supervisor or manager enjoys such a duty, the employee deserves this personal attention. During the discussion, you should include the following:
- Recognize the employee's contribution to the unit.
- Explain once again the reasons for the layoff.
- Describe the assistance that the department will offer as part of the employee's transition.
- Contact your Staffing & Compensation Analyst in Human Resources to schedule a meeting with the employee to activate recall and preferential rehire rights. Remind the employee that it is essential to keep this appointment and that activation is their responsibility; it is not automatic.
- Tell the employee that written notice of the layoff will be coming and when they should receive that notice.
- Offer support and a sympathetic ear. Be prepared for the employee to be upset; listen without being patronizing or defensive.
- Tell the employee about assistance and services available from FSAP (Faculty and Staff Assistance Program).
- Discuss turning in ID card and keys and signing final papers at a later meeting.
- Contact your IT department about computer access.
Medical Separation
When an employee becomes unable to perform essential, assigned duties of a position as a result of a disability or medical condition, the campus is committed to providing services to assist the employee, including efforts at reasonable accommodation. (See Chapter 18, Disability Management.) If accommodation efforts are unsuccessful, the employee may be medically separated.
Before you begin the medical separation process, discuss these questions with your L/ER Analyst:
- Under which set of personnel policies or contract does the employee work? Does it contain a provision for medical separation?
- Is the employee off work? If so, for how long?
- Is the employee receiving Extended Sick Leave benefits?
- What has been your department's past practice regarding leaves of absence for any reason (including the Family and Medical Leave Act)?
- Is the employee currently working on a modified assignment? If so, why can't it continue?
- What does the latest written information from the employee's physician or medical practitioner indicate about the employee's ability to return to, or remain at, work?
- Does the employee meet the Americans with Disabilities Act (ADA) definition of a person with a disability?
- What is the department's business necessity to have the position filled permanently at this time?
If you believe medical separation is appropriate after you have considered the above questions:
- Complete the request for Review for Medical Separation of Employee form located in the Medical Separation procedures. Attach all pertinent documents (correspondence with the employee regarding absences for medical reasons or requests for medical information; written statements from the employee's physician; a job description with essential functions identified). Send this to your L/ER Analyst, who will review it and forward it to the Disability Management Analyst.
- Review any additional accommodations made by the Disability Management Analyst and implement them if possible.
- Provide a written response to the Disability Management Analyst if accommodations are recommended but not implemented.
If the Disability Management Analyst concludes that no additional accommodations can be recommended, and the L/ER Analyst agrees that medical separation is appropriate, the review form will be returned to you with an approval to proceed.
The campus procedures include guidelines for issuing a notice and samples of an Intent to Medically Separate letter and a final decision letter. Your L/ER Analyst can help you with this process.
Resignation
Employees who voluntarily separate from employment are considered to have resigned their University employment. Requirements for the amount of notice vary, depending on the personnel program.
Your Role
When you find out an employee is resigning, be sure to:
- Discuss the reasons for the person's desire to resign. If you see some alternatives, discuss those with the employee.
- Ask for a written letter of resignation, including reasons and effective date of the separation.
- Schedule an exit interview meeting.
- Complete all the tasks on the Separating Employee Checklist.
- Make sure the employee receives termination pay on time.
- If an employee is retiring, refer to Retirement in this chapter.
- If you feel that in the best interest of the department the employee should not be at work, consult with your L/ER Analyst.
Retirement
When an employee separates service from the University at age 50 or later, refer the employee to the Benefits staff for information on options for retirement and savings plans. An employee under age 50 may have the option of becoming an inactive member of the retirement and savings plans. An employee 50 or over may have the option of applying for retirement benefits. For more information, refer to Chapter 19, Benefits.
Sample Letter of Intent to Dismiss
[Date]
TO: [Employee’s name and title]
FROM: [Supervisor’s name and title]
RE: Notice of Intent to Dismiss
This letter is to notify you that it is the intent of the University to dismiss you from employment as a [title] in the [department], effective [date].
The reason for this action is [state reasons]. [Describe problem or incident prompting this letter with details and examples. If investigatory meeting was held, describe meeting, employee’s response and why response is insufficient.]
[If employee was counseled or warned regarding subject of letter, describe counseling(s) and warning.]
You have the right to respond to this notice, either orally or in writing, to [supervisor’s supervisor] within [eight/ten (8/10)] calendar days of the date of this letter. If you choose not to respond, your dismissal will become effective on the above-referenced date.
If, after receipt and review of your response, the intended action is taken, you may have the right to request a review of this action in accordance with the provisions of the collective bargaining agreement in effect between the University of California and [applicable union].
Attachment: Copies of materials upon which decision was based
cc: Department Personnel File
Labor and Employee Relations
[Supervisor’s Supervisor]
[Applicable Union]
Training Resources
Recommended training resources include: "OLPPS Policy". You can enroll for these and other courses at: http://training.ucsf.edu/.
Sample Letter of Dismissal
[date]
To: [employee name and title]
From: [supervisor name and title]
Subject: Notice of Dismissal
On [insert date] I [received your written response my letter of (insert date)/met with you to discuss my letter of (date)], notifying you of the University’s intent to dismiss you from your employment with the University effective [date of termination].
[following employee response]
I have taken into account your response the University’s intended action. However, your response has not altered my decision. Therefore, your dismissal will become effective on [termination date].
[no employee response]
My letter further indicated that you had the right to respond either orally or in writing to the intended action within eight (8) calendar days. I have not received any response from you. Therefore, your dismissal will become effective on [termination date].
The reason for this action is [state reason(s) as applicable].
Your final paycheck will be issued to you on [insert date], and will include all hours worked up to the date of your dismissal, including payment for any unused vacation [and #days pay in lieu of notice, if applicble].
You have the right to request a review of this action in accordance with Policy 70 of the Personnel Polices for Staff Members.
Proof of Service
Cc: Labor Relations Analyst
Department Personnel file
Supervisor’s Supervisor