The University of Texas Health Science Center at Houston (UTHSC-H) encourages fair, efficient, and equitable solutions for problems arising out of the employment relationship and to meet the requirements of state and federal law.
The policy and procedures described herein apply to conduct or job performance of a classified employee that results in a management decision to impose a formal disciplinary action. A formal disciplinary action is either demotion, suspension without pay for a period not to exceed 30 calendar days, or termination of employment.
Reprimands (written or verbal), performance coaching, or other typical employee-employer interactions that may be of a disciplinary nature are not regarded as formal disciplinary actions. Supervisors are expected to take these types of actions when and if they feel such actions are appropriate. Such actions should be documented in an employee's departmental files. These types of supervisory actions may be grieved by the employee through the grievance procedure stated in 2.50 Grievances.
The formal disciplinary actions described herein are those that are appropriate for significant performance and/or conduct problems. Supervisors are expected to impose these disciplinary actions for poor work performance and/or unacceptable behavior. These actions must be documented in an employee's official personnel file. Demotions, suspensions without pay, and terminations may be appealed by the employee within the provisions of this policy.
The policy and procedures described herein do not apply to classified UT police, who are subject to other procedures; to employees being separated from the university due to a reduction in force; to employees suspended with pay pending an investigation*; to employees who have not successfully completed the probationary period; or to non-benefits eligible classified employees.a Formal disciplinary actions will be reviewed by Human Resources to ensure compliance with equal opportunity criteria.
Employees are expected to acquaint themselves with performance criteria for their jobs and with all rules, procedures, and standards of conduct established by the Board of Regents of The University of Texas System, the UTHSC-H, and their departments. Any employee who does not fulfill the responsibilities set out by such work performance criteria, rules, procedures, and standards of conduct may be subject to disciplinary action up to and including termination of employment.
Failure of an employee to maintain satisfactory work performance standards can constitute good cause for disciplinary action including termination. Work performance includes all aspects of an employee's work. Work performance is judged by the supervisor; work performance that is below the supervisor's standards will be subject to disciplinary action up to and including termination.
All employees are expected to maintain standards of conduct suitable and acceptable in the work environment. Disciplinary action including dismissal may be imposed for unacceptable conduct. Examples of unacceptable conduct that may result in disciplinary action up to and including termination include but are not limited to
Once a supervisor has determined that demotion, suspension without pay, or termination is an appropriate disciplinary action to impose on an employee because of his or her unacceptable conduct or work performance, the supervisor should complete the Notice of Disciplinary Action form. Completion of this document will assist the supervisor in fully documenting the alleged poor work performance and/or misconduct, the reasons for the disciplinary action being proposed, the specific policies or procedures that may have been violated, as well as preparing for the pre-disciplinary meeting.
The supervisor will then conduct a conference (pre-disciplinary meeting) with the employee where he or she will inform the employee of the intention to impose the disciplinary action of demotion, suspension without pay, or termination.
The supervisor will inform the employee in person and/or in writing of the reasons for the action, the relevant facts of the situation, the names of any persons who have made statements about the situation and the content of such statements.
The supervisor will present for review any documentary material that contributed to the intention to apply the disciplinary action.
The pre-disciplinary meeting serves as an opportunity to avoid mistaken decisions to impose discipline and is not intended to definitively resolve the propriety of the disciplinary action being considered.
The supervisor will give the employee an opportunity to respond to the charges either orally or in writing within a reasonable time.
Once these approvals have been obtained in writing on the Notice of Disciplinary Action form, the supervisor will impose the disciplinary action.
The employee will be given a copy of the approved Notice of Disciplinary Action; this copy will serve as formal notification of demotion, suspension without pay or termination.
As noted above, the Notice of Disciplinary Action will specify the disciplinary action being imposed; the effective date(s); the incident, conduct, course of conduct, unsatisfactory work performance, or other basis for the disciplinary action; any previous efforts to make the employee aware of the need for change or to improve work performance or conduct; and reference to any relevant rule, regulation, or policy.
The supervisor will also inform the employee of the right to appeal the demotion, suspension without pay, or termination and provide the employee with a copy of the appeal procedures.
An employee who is suspended without pay will continue to accrue vacation and sick leave, to be covered by group insurances, and to be entitled to other employee benefit programs.
If the demotion or suspension without pay is appealed and overturned, the employee will be entitled to payment of wages lost as a result of the demotion or suspension without pay. Additionally, in the case of the overturn of a demotion, the employee will be returned to work to his or her former position.
An employee who is terminated will not continue to accrue vacation and sick leave, to be covered by group insurances, or to be entitled to other employee benefit programs.
If the termination is appealed and overturned, the employee will be reinstated to his or her position and be entitled to payment of wages lost as a result of the termination (less any unemployment compensation received by the employee after termination). Employee benefits such as vacation and sick leave will be credited back to the date of termination.
Demotion, suspensions without pay, and terminations may be appealed by the affected employee pursuant to the process described below.
The time limits set forth in the appeal process must be adhered to by both the employee and the appropriate supervisory and administrative staff unless extended for good cause by the Chief Human Resources Officer.
The failure of the employee to process the appeal in a timely manner shall constitute withdrawal of the appeal. The failure of management to respond to the appeal in a timely manner shall constitute authorization for the employee to process the appeal to the next step.
The employee will present a written appeal of the disciplinary action to the dean (or appropriate senior management staff member in University Administration) within five working days from the date of the disciplinary action.
The appeal should document clearly and concisely why the employee feels that the imposed disciplinary action is inappropriate.
The dean (or senior management staff member in General Administration or HCPC) will respond in writing to the appeal within 10 working days of the date of the appeal. The response will be sent to the home address of record of the employee by certified mail, return receipt requested.
Copies of both the appeal and the response will be forwarded to HR and filed in the employee's personnel file.
If the employee is not satisfied with the response at Step One, he or she may present a written request for an appeal to the chief operating officer.
The employee may request institutional documents, records, or exhibits. Requests for such documents must accompany the Step Two appeal. The vice president of Human Resources will furnish such records if they are relevant to the appeal and are not confidential by law.
The request for the appeal must state with particularity why the employee feels that the disciplinary action is inappropriate and/or why the decision at Step One should be changed.
This request must be received in the office of the chief operating officer within five working days following receipt of the response at Step One.
Any appeal meeting must be conducted pursuant to the procedure described below:
Appeal Meeting Procedure (Step Two)
The chief operating officer will determine whether or not he or she will hear the appeal personally; appoint a meeting officer in his or her stead; or appoint an appeal tribunal. If he or she appoints a meeting officer in his or her stead, he or she will furnish the name of the meeting officer to the employee as soon as practical. If he or she decides that an appeal tribunal will hear the appeal, the chief operating officer will notify and furnish the names of the appeal tribunal to the employee as soon as practical.
The appeal tribunal will be composed of three representatives of the UTHSC-H, none of whom are party to the appeal. One member will be appointed by the chief operating officer to serve as the chair of the tribunal and as the meeting officer.
If the employee feels that the chief operating officer, any meeting officer or any member of an appeal tribunal cannot be fair and impartial in his or her case, he or she may challenge that person.
The challenge must be in writing and must state clearly the factual basis of the challenge. The challenge must be filed with the chief operating officer within five working days of the date the employee was notified of the names of those who will hear the appeal.
It shall be up to the person(s) challenged to determine whether or not they can be fair and impartial in the consideration of the appeal. If the individual defers to the challenge, the chief operating officer will appoint another member of the appeal tribunal. If the chief operating officer is challenged and defers to the challenge, he or she will appoint an appeal tribunal. The meeting will be conducted as soon as is practical, but not later than 20 working days following the date of receipt of Step Two of the appeal if it is to be heard by the chief operating officer or within 20 working days of the appointment of a meeting officer or appeal tribunal.
The employee has the right to be represented at this meeting by an attorney or some other individual representative who does not claim the right to strike. If the employee is represented by counsel, the UTHSC-H may also be represented by counsel. If the employee chooses to be represented by counsel or another individual representative who does not claim the right to strike, the name, address, and telephone number of the attorney/other individual must be supplied to the chief operating officer no later than 10 working days from the date the employee was informed of the appointment of a meeting officer or appeal tribunal. If the employee does not supply this information within the time period prescribed, he or she waives representation by counsel or other representative.
At least five working days prior to the time set for the meeting, a representative of the department will contact Human Resources - Employee Relations and furnish them with the names of the witnesses to be called; a summary of their expected testimony; and three copies of each document, record, or exhibit to be introduced at the meeting by the UTHSC-H. The employee must also furnish the representative of Human Resources - Employee Relations with that same information at this time. These data will be provided to the tribunal members 24 hours in advance of the meeting whenever possible to allow them time to review them for relevancy.
Any appeal meeting will be conducted by a meeting officer. The meeting officer will be the chief operating officer if he or she decides to hear the appeal personally; a person appointed in his or her stead as a single meeting officer; or the chair of the appeal tribunal if an appeal tribunal has been appointed, whichever is applicable.
The meeting officer will preside at the meeting and ensure the order of presentation as well as decide on questions of relevancy. The meeting officer will have the discretion to determine the form and scope of cross-examination allowed at the meeting. On request, the meeting officer, if other than the chief operating officer, may consult with and be advised by a representative of HR during the meeting.
All appeal meetings will be audio taped. This tape (or transcript, see below) will serve as the official record of the meeting. The employee may receive a copy of the audio tape on written request at cost. If the employee is represented by counsel, the appeal meeting will be recorded by a court reporter who will record the meeting and swear in witnesses. The court reporter will be provided by the UTHSC-H. The employee may receive a copy of the transcript on written request at cost.
The burden of proof is on the UTHSC-H to demonstrate by a preponderance of credible evidence that good cause exists for the disciplinary action, and therefore, the UTHSC-H shall have the right to open and close the meeting.
The following individuals will be present throughout the meeting:
The meeting officer will open the meeting with instructions as to how the meeting will proceed. Both the employee (or representative) and the supervisor (or representative) will make opening statements. Testimony from witnesses called by both parties will then proceed. Any witnesses who have been contacted by the representative of HR to be available for testimony for either party will be called as needed.Any employee of the UTHSC-H may be called to appear as a witness for either party. It is the duty of such an employee to testify as to any facts that may be relevant to the appeal.
Relevant exhibits may be introduced by either party and the chair shall take notice of the employee's personnel records.
If the chief operating officer has conducted the appeal meeting, he or she will deliberate and prepare a written decision to be forwarded to the employee within 10 working days of the close of the meeting.
If the chief operating officer has appointed a single meeting officer or a tribunal to hear the appeal, the meeting officer or tribunal will deliberate, prepare, and forward a written summary and recommendation(s) to the chief operating officer within 10 working days of the close of the meeting.
On receipt of the meeting officer's document, the chief operating officer will render a decision and forward a written response to the employee within 10 days of the receipt of the meeting officer's document. The written decision will be sent via certified mail, return receipt requested, to the individual's home address.
In all cases, the appeal decision will be made by the chief operating officer. If requested, he or she may be advised by counsel from the UTHSC-H Office of Legal Affairs and Institutional Compliance.
If the employee is not satisfied with the Step Two decision, he or she may file a written appeal to the president of the UTHSC-H within five working days of receipt of the Step Two decision. This written appeal must state why the employee feels that the decision reached at Step Two is inappropriate.
The president will review the employee's appeal and the information produced at Step Two. If requested, the president may be advised by counsel from the UTHSC-H Office of Legal Affairs and Institutional Compliance.
No new issues or evidence may be presented at this stage.
Within a reasonable time, not to exceed 30 days following the date of the appeal, the president will issue a written decision. The president's written decision will be sent via certified mail, return receipt requested, to the individual's home address.
The decision of the president is final.
Copies of all documents pertaining to disciplinary actions will be filed in the employee's personnel file.
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* Suspension with pay may be imposed at the discretion of the supervisor either to remove an employee from the premises pending an investigation of the employee's conduct or in the event that an employee's behavior poses an immediate threat to himself, other employees, or UTHSC-H property.
a(a) UT System Policies and Procedures for Discipline and Dismissal of Employees and (b) Grievance Policy and Procedures.
Updated 08/05