UH-Victoria

Office of the Vice President for
Administration and Finance

SECTION: HUMAN RESOURCES INDEX: C-30

SUBJECT: REDUCTION IN FORCE

POLICY

This policy prescribes the steps by which reduction in force decisions shall be made and implemented.  When planning or budgeting needs dictate reduction in force decisions, it is university policy that these decisions are made only after careful analysis and that employees who are affected are treated fairly and with dignity.

The Director, Human Resources/Affirmative Action must be consulted early in any organizational review that involves personnel reorganization, reclassification, and/or the possibility of reducing the work force.  All necessary actions shall be taken to ensure that employees are treated fairly and offered opportunities for reassignment, assistance, and re-employment.

This policy applies to decisions affecting all non-faculty regular employees at UHV, regardless of the source of funds from which the position is paid.

Definitions

Reduction in force (RIF): The elimination of an occupied position or positions resulting from an administrative decision  appropriate under such situations as a lack of funds, a lack of sufficient work, reorganization, changes in technology or research needs, or other factors that require some manner of reduction of university non-faculty personnel.  A suspension, dismissal, discharge, or discontinuance of temporary employment does not constitute a reduction in force.

Regular employee (benefits-eligible):  A university employee who is employed for at least 20 hours per week on a regular basis for a period of at least four and one-half months, excluding students employed in positions which require student status as a condition of employment.

Policy Provisions

All reduction in force decisions should include the following elements:

  • Careful analysis to determine which areas, activities, programs, or organizations should be reduced.
  • Identification of the jobs and functions that will need to be performed after the reductions.
  • Evaluation of qualifications and abilities of present employees to perform the remaining jobs.
  • Written notification to the employee(s) affected by the reduction in force as soon as feasible, but not less than 30 days prior to the effective date of the action.
  • Reasonable opportunities for displaced employees to interview for other employment.
  • Placement and re-employment assistance by the Human Resources Office.
  • Opportunity for the displaced employee to appeal, if he/she believes that the reason for the reduction action was not related to a legitimate reduction in force factor or that the procedures were improperly followed.


PROCEDURES

Development and Approval of a Reduction in Force Plan

The  department head planning to reduce a department’s or program’s work force shall develop a clear statement of the rationale for eliminating or reducing programs and/or services. The statement must address the ultimate benefits to be achieved, such as reallocation of resources, effecting a budgetary reduction, or enhanced productivity.

Unit functions and responsibilities must be carefully analyzed to determine which areas, activities, programs, organizations, or classifications should be reduced and which jobs and functions will need to be performed after the reductions.

In evaluating employees to determine who can best perform the remaining jobs, the unit supervisor may consider the following qualifications of present employees:

  • Effectiveness on the job, including past performance, records of achievement, and disciplinary history;
  • Specialized training and skills necessary for a particular function, such as proficiency in use of equipment, licenses, or special certification;
  • Length of time in service with the university;
  • Amount of total work experience in the field, including applicable non-university experience

The department head proposing the work force reduction shall prepare a reduction in force plan that includes the statement of rationale, a list of the positions and the employees affected, an explanation of the recommendations, a summary of the racial, gender, age and disability  composition of the unit, including names and protected class status of employees to be displaced, and all documentation prepared in the evaluation process.

The written plan shall be submitted to the to the Director, Human Resources/Affirmative Action who will assist in completion of these materials, if needed, and will review the plan to determine that all work force reductions proposed are consistent with this policy and that protected classes are not disproportionately affected by the reduction in force decision.  Within five working days, the Director, Human Resources/Affirmative Action will forward the plan to the appropriate cabinet-level supervisor for concurrence and signature approval of the plan.

Following approval, the written reduction in force plan shall then be forwarded to the President for final approval.  Only after the President approves the recommendation may the department proceed with the notification process.

In the case of an employee whose duties are divided between two or more departments, a reduction in force decision by one department will not obligate the other(s) to increase the appointment and funding to compensate for the reduction.

Notification of the Affected Employee(s)

The department head implementing the reduction in force shall schedule a personal meeting with the employee(s) affected not less than 30 days prior to the effective date of the action. At that time, the employee(s) will be notified and provided with a letter of notification of their reduction in force.  Each letter of notification must include language describing transition assistance offered by the Human Resources  Office and the employee’s right to file an appeal.   A copy of the notice of reduction in force will be forwarded promptly to the Director, Human Resources/Affirmative Action .

The reduction in force decision is effective upon delivery of the written notice to the employee. An appeal does not affect the effective date of the reduction in force.

An employee who has been notified of reduction in force may be removed from the work site, with pay, immediately upon receipt of the notice of reduction in force, if all the following conditions are met:

  • The employee’s supervisor believes taking this action would be in the best interest of the university;
  • The employee’s supervisor is able to justify this  decision in writing to the satisfaction of the Director, Human Resources/Affirmative Action.
  • The employee is given a written work assignment to be completed away from the work site.

Placement Assistance and Re-employment Benefits

The Human Resources Office will provide support and services to assist regular employees displaced as a result of reduction in force in obtaining internal placement.

Subject to their supervisor’s approval, displaced employees will be granted reasonable leave with pay to interview for other employment.  Displaced employees should make every effort to notify their supervisor in advance of their need to be absent from the workplace to seek other employment.

Benefits information will be made available to displaced employees, identifying those benefits that cease upon termination, those benefits that can be continued at employee expense, and retirement options (if applicable).

The names of employees displaced as a result of work force reduction will be placed on a re-employment list in the order of displacement for a period of six months following their termination. An employee who has been displaced as a result of a work force reduction will be offered the same position if it is re-established within six months of the reduction in force, provided that the employee has retained the ability to perform the work.

When a vacancy occurs in a position that is determined by the Director, Human Resources/Affirmative Action  to require equivalent job skills within the same or any other department, except as provided below, the name of the displaced worker will be referred to the hiring supervisor for consideration.  A displaced employee may be bypassed for re-employment for any of the following reasons:

  • Another employee has been or will be voluntarily or involuntarily demoted to that classification within the department.
  • The displaced employee did not previously work within the employing department; displaced employees previously employed in that department may be given first consideration for re-employment.
  • The employing manager, in consultation with the Director, Human Resources/Affirmative Action , determines that—on the basis of past performance, training, experience, or skills—the applicant is not qualified to fill the position.

The Director, Human Resources/Affirmative Action will mail a notice of re-employment opportunity to the displaced employee at his or her last reported address as shown on the official university records via certified mail, return receipt requested.  The displaced employee must respond to the notice within 10 calendar days of the date on the notice or will be deemed to have forfeited all rights to remain on the re-employment list.  It is the obligation of the employee to ensure that the university address records are correct.

If, within the six-month period following termination, a displaced employee is offered other employment with the university in a position for which the employee is qualified and such offer is refused, the employee will be deemed to have relinquished further rights to remain on the re-employment list, unless his/her former position becomes available.

An employee who is terminated because of reduction in force and who is re-employed by any State of Texas agency or institution of higher education within 12 months shall have his or her sick leave balance restored.  Also, regardless of the time lapse, upon re-employment, an employee will receive credit for prior state service in longevity and vacation calculations.

An employee who is terminated because of reduction in force and who is recalled to work in the same position within six months is not subject to an additional probationary period.  Under any other conditions, the employee returning to employment following a break in service is subject to the probationary periods outlined in  UHV Policy C-23.

Appeal Process

Any employee affected by a reduction in force may appeal the decision if he or she believes that the reason for the reduction action was not related to a legitimate reduction in force factor (as described in the definition of "reduction in force" above) or that the procedures were improperly applied.  The employee may not challenge the nature of the reduction measures taken when evidence can be presented that a reduction is necessary, but must provide evidence that the reduction was based on a reason impermissible under the laws, constitutions, or regulations of the United States, the State of Texas, or the University of Houston System.

The appeal must be presented in writing to the Director, Human Resources/Affirmative Action  within five working days of receipt of the written notice of  the reduction in force.  Failure to comply with this requirement will be deemed a waiver of the right to appeal.

The Director, Human Resources/Affirmative Action will review the request to appeal to determine that the appeal is timely and in compliance with this policy. A request that meets the criteria will be processed in accordance with Step 3 of  UHV Policy C-21 - Employee Grievances. A hearing panel will be appointed and the hearing will be conducted in accordance with that university policy.

At least two working days prior to the hearing, the employee will be provided with a copy of the reduction in force plan and all accompanying documentation.

The burden will be on the employee to show that the reduction action is not related to a reduction in force factor or that the procedures were improperly applied. No other issues will be heard or considered by the hearing panel.

The report of the hearing committee will be forwarded to the Director, Human Resources/Affirmative Action , who will forward it to a cabinet-level supervisor who is not in the employee’s appeal chain.  In no case will the report be forwarded to the cabinet-level supervisor over that employee’s division.

Within five working days from the receipt of the report of the hearing panel, the cabinet-level supervisor will take action on the recommendation of the panel.  The cabinet-level supervisor may accept or reject the recommendation of the panel, or may return the case to the panel with instructions to conduct further deliberations or answer specific questions.  If the case requires further deliberation, the Director, Human Resources/Affirmative Action will establish new time schedules and communicate them to the members of the panel.  The cabinet-level supervisor will make a decision and forward it to the Director, Human Resources/Affirmative Action, who will notify the employee and the supervisor by mailing copies of the decision by certified mail.

If the appeal process is not completed by the employee’s last scheduled day of work, the employee will be released on the effective date of the reduction in force.  If the appeal results in a decision favorable to the employee, the employee will be reinstated with back wages, less the amount of any unemployment compensation received from the Texas Workforce Commission.  The Human Resources Office will notify the Texas Workforce Commission promptly in writing of the employee’s reinstatement. 

Approved by: 


Signature obtained                          3/12/03
Dr. Karen S. Haynes                      Date
President

  

Originating department: Human Resources
New review date:  March 2005

 

 

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