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Managers, Supervisors and HR Professionals

Guide to Managing Human Resources

Chapter 23: Separations

Contents
Summary

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 that she was treated with respect. Keep this goal in mind as you review the guidelines for different types of separations in this chapter.

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 Employee Relations Specialist.
Job Abandonment

An employee who does not report to work when expected or call in to report her absence for five consecutive days or more may be considered to have abandoned her 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, 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? 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 she is absent without approval.
  • Require immediate clarification of her status or explanation of the absence
  • Specify to whom and by when this information must be provided
  • Inform the employee that she will be considered to have abandoned her position if she fails 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 22, 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 Employee Relations Specialist, who can help you consider your options.

Retirement

When an employee separates service from the University at age 50 or later, refer the employee to the Campus 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.

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 22, Taking Disciplinary Action.) Under circumstances of extreme misconduct, 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. 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 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 she 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 she has 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 Employee Relations Specialist 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 Employee Relations Specialist 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 her 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 Employee Relations Specialist to review University or Berkeley 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.

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 Employee Relations Specialist:

  • 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 Berkeley Campus Rehabilitation /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 Employee Relations Specialist, who will review it and forward it to the Vocational Rehabilitation Counselor.
  • Review any additional accommodations made by the Vocational Rehabilitation Counselor and implement them if possible.
  • Provide a written response to the Vocational Rehabilitation Counselor if accommodations are recommended but not implemented.
  • If the Vocational Rehabilitation Counselor concludes that no additional accommodations can be recommended, and the Employee Relations Specialist 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 Employee Relations Specialist can help you with this process.

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 Employee Relations Specialist 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.

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 CARE Services for Faculty and Staff 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 Survivor Assistance 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 Tang Center, 2222 Bancroft Way. Any documentation you may have received, such as police reports, should be mailed separately.

Death of a Dependent

You should contact the Survivor Assistance 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 Survivor Assistance unit and they will determine whether benefits are due.

Death of a Retiree

Once you are notified of a retiree's death, call the Survivor Assistance 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.

Campus Guidelines for Responding to Death

Visit the Guidelines for Responding to Death, a helpful guide prepared at the request of former Chancellor Berdahl by a campus workgroup made up of staff, student, and faculty representatives.

SEPARATING EMPLOYEE CHECKLIST

Instructions: The immediate supervisor initiates this form and completes Sections I - IV on or before the last day of employment. The department retains the Separating Employee Checklist.

Name: _________________________________________________________
(Last, First, MI)

Effective Date of Termination: ______________________________________

Forwarding Address: _____________________________________________

______________________________________________________________

SECTION I

____ Letter of Resignation received (if appropriate)

____ Human Resources Notified (if appropriate)

____ Performance Evaluation Completed (if appropriate)

SECTION II

____ All Keys Returned

____ Department Manuals/Equipment Returned

____ Name removed from Authorized Signature Files

____ Name removed from Authorized Entrance Files

____ Computer accounts (userid) cancelled

____ Identification Card Returned

____ Parking Pass Returned

____ Credit Cards Returned (if applicable)

SECTION III

____ Timesheet Completed

____ Final paycheck mailed

SECTION IV

____ Exit Interview Done

____ Benefit Conversion Information provided

____ Termination of Employment Benefits Checklist

____ COBRA Information

____ Unemployment Insurance Information

____ State Disability Brochure

____ UCRS Distribution Kit

SAMPLE LETTER OF INTENT TO DISMISS

[Employee's Name]
[Campus Address]

Dear [Employee]:

In accordance with [cite applicable policy provision or contract article] this is a notice of intent to dismiss you from University employment effective [date, to be set with policy/contract guidelines]. This intended action is based on your [list performance deficiencies and/or unacceptable behavior].

Previously, detailed reviews of expectations regarding your [performance and/or conduct] were undertaken to ensure that you understood the requirements of your position. They were discussed with you orally [list dates, if available] and in writing [list dates of performance appraisals, counseling memos, and previous disciplinary actions; attach copies]. However, you have continued to fail to meet these expectations [list infractions since last disciplinary action].

Your [performance/behavior] has had a serious negative impact on our operation, and can no longer be tolerated.

You have the right to respond to this notice either orally or in writing, within [__] calendar days from the date of issuance. Please direct your response to [Next Level Reviewer's name, campus address, and phone number].

Sincerely,

[Supervisor's Name]
[Title]

Attachments:
[Documents referenced in letter]
Proof of Service

cc:
Next Level Reviewer
Departmental Personnel File
Department Head
Employee Relations Specialist
Employee's Representative, if appropriate
Union, if appropriate

SAMPLE LETTER OF DISMISSAL

[Employee's Name]
[Campus Address]

Dear [Employee]:

In accordance with [cite applicable policy provision or contract article] this is to inform you of your dismissal from University employment, effective [date, to be set with policy/contract guidelines].

[Review information provided in employee's response to notice of intent to dismiss, if any, and explain reasons for proceeding with dismissal;

OR

indicate no response was provided by employee and restate reason conveyed in notice of intent.]

You may review [cite applicable provision or contract article] for your appeal rights.

Sincerely,

[Next Level Reviewer's Name]
[Title]

Attachments:
Letter of Intent to Dismiss
Proof of Service

cc:
Departmental Personnel File
Department Head
Supervisor
Employee Relations Specialist
Employee's Representative, if appropriate
Union, if appropriate

(Sample Proof of Service form inserted here in hard copies of Guide)

Other Resources

Proof of Service Instructions & Samples

 

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