2.38 Vacation

POLICY OVERVIEW

Regular employees (employees appointed for a minimum of 20 hours per week for at least four and one-half months in a fiscal year) of The University of Texas Health Science Center at Houston (UTHSC-H) are entitled to a vacation in each fiscal year.

The eligibility requirement for accrual of vacation time, as for most leaves, is that the employee must be appointed for a minimum of 20 hours per week for at least four and one-half months in a fiscal year. (Employees with appointments of less than 50 percent time do not accrue vacation time.)

Vacation should be requested in advance and must be approved in advance by a representative of departmental management. Approvals of vacation leave requests are contingent upon the employee having sufficient accrued vacation leave to cover the absence at the time the vacation is taken. Negative vacation leave balances cannot be carried over from one calendar month to the next. An employee with a negative vacation leave balance must be placed on leave without pay for any unearned vacation leave taken. Each department is responsible for maintaining accurate vacation records.

PROCEDURE

I. Accrual and Carry Over

The monthly vacation accrual rate for eligible employees is based on two factors: the employee's length of state service, and the percent time of the employee's appointment. For example, an employee with three years of total state service accrues 8 hours of vacation time per month if engaged in a 100 percent time appointment, 6 hours per month if engaged in a 75 percent time appointment, and 4 hours per month if engaged in a 50 percent time appointment.

Note: An employee on development leave accrues at the full-time rate.

Full credit for one month's accrual will be given for each month or fraction of a month of service. An employee earns vacation entitlement beginning on the first day of employment and ending on the last day of employment.

Less than full-time, benefits eligible employees will accrue vacation leave on a proportional basis, and the maximum carry over will also be proportional.

If an employee is absent on a paid leave status, he/she will continue to accrue paid leave each month on leave. The hours accrued while on leave may be posted to the leave balance only when the employee returns to work. Should the employee fail to return to work, he/she will not receive the accruals and will not be paid for those hours.

No vacation will be accrued while an employee is on unpaid leave of at least one full calendar month. When an employee is approved for an unpaid leave to extend a vacation, all leave accrued prior to the beginning of the vacation must be exhausted before the unpaid leave is used.

Employees are encouraged to use vacation hours during the fiscal year in which they accrue. If this is not possible, employees are entitled to carry forward from one fiscal year to the next the balance of unused accumulated vacation leave that does not exceed the maximum amount allowed by law. All hours of unused accumulated vacation leave that may not be carried forward at the end of a fiscal year will be credited to the employee's sick leave balance effective on the first day of the next fiscal year. The vacation hours accrued per month and the maximum carry over amounts are published in the UTHSC-H Holiday and Vacation Schedule.

II. Entitlement to Leave

Although employees begin to accrue vacation time on their first day of employment, they will not be permitted to take a vacation with pay until they have completed six months of continuous state service. Continuous state service means the employee is paid a regular state salary for the period. The time an employee is on leave of absence without pay does not count toward fulfilling the six-month requirement if the period covers one or more entire calendar months. The six-month eligibility requirement does not have to be met again upon reemployment to state service.

Employees who transfer directly from another state agency without a break in service will carry their earned but unused vacation with them.

III. Payment or Transfer of Vacation Leave upon Separation of Employment

Employees who are eligible and who have vacation hours remaining when they are terminated will be paid a lump-sum payment for the remaining hours. The payments are computed based on the rate of pay on the last date of employment and an hourly rate calculation as prescribed by the State Comptroller.

In addition, eligible employees who remain employed in a non-benefit eligible position may receive a lump sum vacation payment.

In lieu of a lump-sum vacation payment, employees may, with the approval of a representative of departmental management, be allowed to remain on the payroll after the last day worked to utilize vacation leave. Compensation and benefits that the employee was receiving on the last active work day, including paid holidays, longevity, and/or hazardous duty pay will continue.

If employees are paid for vacation upon separation, they will be credited for any holiday that falls within the period after the date of separation and the last date of the period in which the employee would have used the time had they remained on the payroll. Lump sum payments for accrued but unused vacation time are computed as though the employee worked the holiday.

Updated 12/02

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2.39 Paid Leave Eligibility

POLICY OVERVIEW

The University of Texas Health Science Center at Houston (UTHSC-H) may grant employees paid leaves of absence for a wide variety of reasons. The granting of a leave of absence signifies that the employee's position will be restored when the employee returns. Once a leave has been approved, it becomes the responsibility of the department to ensure that the employee's position will be available at the appropriate time. (One exception exists: refer to 2.40A Extended Military Leave.) The UTHSC-H considers the following to be paid leaves:

• Sick leave
• Funeral leave
• Administrative leave
• Civic duty leave
• Military leave
• Preventive health care leave

The eligibility requirement for paid leaves, as with vacation leave, is that the employee must be a regular employee; that is, one appointed for a minimum of 20 hours per week for at least four and one-half months in a fiscal year.

Employees may not carry over negative paid leave balances from one calendar month to the next. An employee with a negative balance must be placed on leave without pay for any unearned leave taken.

Note: Leave granted pursuant to the Federal Family and Medical Leave Act of 1993 is not considered to be paid leave. However, during the 12-work week period of that leave, the employee is required to substitute any accrued sick leave when applicable and/or vacation available to remain on paid status.a (Refer to 2.40C Family and Medical Leave.) If an employee is absent on a paid leave status, he/she will continue to accrue paid leave each month on leave. The hours accrued while on leave may be posted to the leave balance only when the employee returns to work. Should the employee fail to return to work, he/she will not receive the accruals and will not be paid for those hours.

Except for military leave, time off for voting, and jury duty, the eligibility requirement for all paid leaves is that employees must be appointed for at least 20 hours per week for at least four and one-half months. Less than full-time, benefits eligible employees will accrue paid leave on a proportional basis.

^aFederal Family and Medical Leave Act of 1993.

Updated 8/01

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2.39A Sick Leave

POLICY OVERVIEW

Regular employees (employees appointed for a minimum of 20 hours per week for at least four and one-half months in a fiscal year) of The University of Texas Health Science Center at Houston (UTHSC-H), when authorized, may use sick leave with pay for absences necessitated by personal illness, injury, or pregnancy and confinement, or when the employee is needed to assist a member of his/her immediate family who is actually ill. Immediate family is defined as any person living in the same household who is related by kinship, adoption (including foster children certified by the Texas Department of Protective and Regulatory Services), or marriage. Minor children of the employee, whether or not living in the same household, are also considered immediate family. An employee's use of sick leave for family members not residing in that employee's household is strictly limited to the time necessary to provide care and assistance to a spouse, child, or parent of the employee who needs that care and assistance as a direct result of a documented medical condition.a

Negative balances of sick leave cannot be carried forward from one month to the next. Employees must be placed on leave without pay for hours overdrawn on sick leave.

Each department is responsible for maintaining accurate records of sick leave entitlement and use. (Refer to 2.27 Time and Attendance Reporting.)

PROCEDURE

I. Accrual

Sick leave entitlement for full-time employees is earned at the rate of eight hours for each month or fraction of a month of employment. Less than full-time, benefits eligible employees will accrue sick leave on a proportional basis. All unused sick leave will be carried forward each month. There is no limit to the number of days that may be accrued.

Provided there is no break in service, an employee whose status changes accrues sick leave as follows:

• Sick leave will be accrued for each month or fraction of a month of service proportionate to the time appointed. However, an employee on development leave will accrue sick leave at the full-time rate.

• No sick leave will be accrued for an employee who is on leave without pay for at least one full calendar month.

• An employee who transfers from an eligible to an ineligible leave status will have all accrued sick leave balances frozen at the time of the transfer. If the employee subsequently returns to an eligible leave status, he or she may recommence the use and accrual of sick leave.

• Sick leave that was accumulated prior to extended military leave is frozen until the employee returns to employment, provided the employee meets the requirements specified in 2.40A Extended Military Leave.

• If an employee is separated from employment with the state under a formal reduction-in-force and becomes re-employed by the state within 12 months of termination, that individual's sick leave balance will be restored.

• If an employee is separated for reasons other than reduction-in-force, and is re-employed by UTHSC-H within twelve months, the employee must have a break of service of thirty calendar days before sick leave balances can be restored. If an employee is re-employed by another state agency within 12 months following the end of the month in which they separated from UTHSC-H, the employee is entitled to reinstatement of his/her sick leave balance at their new institution.

• An employee who transfers directly from another state agency will be credited with any unused sick leave, provided employment with the state was uninterrupted.

• One-half of the sick leave balance (up to 336 hours maximum) is paid to the estate of an employee who dies while employed in state service. The same State Comptroller policy used to calculate payment for sick leave is also used for payment of lump sum vacation hours upon termination of employment.b

II. Use

An employee becomes eligible to use accumulated sick leave only after completing 30 calendar days of employment at UTHSC-H. To use sick leave with pay, the employee must notify or cause the supervisor to be notified promptly of the reason for any absence attributed to illness, on the initial day of the absence and each day thereafter.

If an employee is absent on a paid leave status, he/she will continue to accrue paid leave each month on leave. The hours accrued while on leave may be posted to the leave balance only when the employee returns to work. Should the employee fail to return to work, he/she will not receive the accruals and will not be paid for those hours.

For absences of more than three working days, an employee will be required to submit a statement from the attending physician (or some other written statement of the facts concerning the illness that is acceptable to the supervisor) upon returning to work. An employee who uses sick leave to care for a child or parent who does not reside with the employee and is not totally dependent on the employee, but needs the employee's care as a direct result of documented medical condition, must be able to provide a doctor's statement naming the child's or parent's condition. It is within the discretion of the supervisor to require documentation concerning illnesses resulting in absenses of three working days or less.

The UTHSC-H requires employees with identified medical conditions that may have debilitating effects (for example, pregnancy or hypertension) to submit a doctor's statement to their supervisors to the effect that they can safely return to work. An employee whose behavior gives rise to the suspicion that sick leave is being used inappropriately may be required to submit a statement from an attending physician. This request is to be made at the discretion of the employee's supervisor. An employee who is discovered to have obtained sick leave pay under false pretenses is subject to discharge.

Sick leave may be used by the employee for the period following delivery and recovery associated with the birth of a child to the extent certified by the physician.

An employee who is the parent of a child(ren) attending school (prekindergarten through 12th grade) is entitled to use up to eight hours of sick leave per calendar year to attend parent-teacher conferences for the child(ren). An employee will give his or her supervisor reasonable advance notice of the conference.c

All accrued sick leave and vacation time must be exhausted before a request for personal leave for medical reasons. (Refer to 2.40B Personal Leave.) Employees who wish to take family and medical leave for their own serious health condition, or to care for a family member with a serious health condition, should consult the Family Medical Leave policy for the circumstances and restrictions specified for that leave. An employee taking family and medical leave must substitute any accrued sick leave for the 12-work week leave period of family leave, as applicable to the sick leave policy.d (Refer to 2.40C Family and Medical Leave.)

^aCurrent Appropriations Act (1997).

^bCurrent Appropriations Act (1997).

^cHB1177.

^dId.

Updated 10/02

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2.39A.1 Temporary Modified Duty Assignments

POLICY OVERVIEW

Because its staff is its most valuable resource, The University of Texas Health Science Center at Houston (UTHSC-H) strives to accommodate employees who have been temporarily restricted for medical reasons from performing their regularly assigned duties. This policy only covers employees who have sustained an accidental injury or occupational illness while performing duties within the course and scope of their employment or appointment. The UTHSC-H will, to the extent possible, assist employees in these circumstances by temporarily modifying work assignments or duties or arranging for a temporary transfer until the employee is able to resume regular duties for a period of time not to exceed six calendar months.

While an employee is on a modified duty assignment, medical re-evaluation by the employee's health care provider must be performed monthly at the expense of the Workers' Compensation Insurance program, as provided by that program.

PROCEDURES

Employees who sustain an injury or illness while performing assigned job duties should immediately report the injury or illness to their immediate supervisor, in compliance with policy 2.17D Workers' Compensation Insurance.

The procedures below are to be followed after an illness or injury incurred while performing assigned job duties resolves sufficiently for the employee to return to work on a modified basis.

I. Evaluation by a Health Care Provider

After an employee has visited a health care provider for care relating to the injury, the attending health care provider must determine the temporary restrictions to be applied to the employee's work duties and complete the required forms (Texas Workers' Compensation Commission 73 Work Status Report [TWCC 73]). This information will be forwarded to Workers' Compensation and Insurance (WCI). With the employees consent, WCI may contact the employee's attending health care provider regarding modified duty and provide information regarding UTHSC-H return-to-work procedures after receipt of the documentation from the health care provider.

II. Evaluation by UTHSC-H

Upon receipt of the TWCC 73, WCI may forward to UT Health Services (UTHS) this documentation and a copy of the employee's job description provided by the employee's supervisor. UTHS may use this information to perform an evaluation for the purpose of clarifying the temporary work restrictions and/or temporary job accommodations. The results of the evaluation will be sent to WCI, the employee's supervisor, and the employee.

After the work evaluation, UTHS, the employee's supervisor, and WCI may meet to discuss the employee's work limitations (as assessed by the employee's attending health care provider and UTHS), and the feasibility of the employee temporarily returning to work in a modified capacity. Harris County Psychiatric Center (HCPC) cases may involve the Employee Health Case Manager assigned to HCPC.

III. Bona Fide Job Offer

If the supervisor/department can accommodate the employee with a temporary modified duty position, the employee and the employee's supervisor must agree in writing to the requirements of the temporary modified work assignment as developed in accordance with the TWCC 73. WCI will assist in facilitating this agreement. The employee will be offered the opportunity to return to work in a temporary modified position via a bona fide* offer of employment, not to exceed six calendar months. A copy of the signed agreement will be provided to WCI.

If the employee is not released by his/her attending health care provider to return to regular duties at the end of six calendar months, or if, during the six-month period, the employee's health care provider or the employee's supervisor determines it is no longer practical or feasible to continue the temporary modified duty assignment, the employee will be returned to the WCI Program.

If an employee is released by his/her attending health care provider to temporary modified duties, the employee will perform his/her temporary modified position in accordance with the bona fide job offer. If the employee refuses a bona fide offer for temporary modified duties sent via certified mail, the insurance carrier has the right to reduce the indemnity benefits of the employee, and the provisions of the Texas Labor Code, Texas Workers' Compensation Rule 129.6 will apply.

^*A written offer of employment that was delivered to the employee during the period for which benefits are payable shall be presumed to be a bona fide offer, if the offer clearly states the position offered, the duties of the position, that the employer is aware of and will abide by the physical limitations under which the employee or his treating physician have authorized the employee to return to work, the maximum physical requirements of the job, the wage, and the location of employment. If the offer of employment was not made in writing, the insurance carrier shall be required to provide clear and convincing evidence that a bona fide offer was made.

Updated 5/03

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2.39B Funeral Leave

POLICY OVERVIEW

Regular employees of The University of Texas Health Science Center at Houston (UTHSC-H) are eligible for leave to attend the funeral of a family member. An emergency leave with pay shall be granted to compensate for the loss of regular pay. An employee's family is defined as a spouse, or the employee's or spouse's parents, children, brothers, sisters, grandparents, or grandchildren. Funeral leave shall be granted only for scheduled work days.

PROCEDURE

The president or delegate, upon recommendation of the appropriate dean or director and the vice president for human resources, may make a determination on other criteria for funeral leave.

Funeral leave shall be granted for a period not to exceed three days, provided that such leave does not extend more than two days beyond the date of the funeral. If additional time is required, it may, with the approval of the employee's immediate supervisor, be charged to vacation or to leave without pay. Leave without pay or vacation may be granted to attend a funeral that does not qualify for funeral leave.

Updated 6/01

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2.39C Administrative Leave

POLICY OVERVIEW

The University of Texas Health Science Center at Houston (UTHSC-H) recognizes that an unusual or extenuating situation may arise that warrants the granting of a period of paid leave, yet does not fall clearly under the jurisdiction of any of the existing leave policies as written (e.g., sick, extended military, funeral). Additionally, the State of Texas provides paid leave for specific circumstances that are also not covered by existing leave policies, as explained in the following. The umbrella term "administrative leave" is used to encompass all such paid leave situations for regular employees of the UTHSC-H.

Administrative leave is granted to compensate employees on occasions when the institution is declared to be officially closed due to adverse conditions. (Refer to 18.02 Suspension of Operations: Adverse Conditions.)

Employees who are volunteer firefighters or emergency medical services volunteers will be granted a paid leave of absence not to exceed five working days each fiscal year for attending training schools conducted by state agencies. This leave of absence may also be granted to volunteer firefighters or emergency medical services volunteers for the purpose of responding to emergency fire or medical situations. (The leave of absence in this case will not be charged against the employee's vacation or sick leave privileges.)a

An employee who is a foster parent to a child under the conservatorship of the Department of Protective and Regulatory Services is also entitled to administrative leave for the purpose of attending staffing meetings held by the Department of Protective and Regulatory Services regarding the child under the foster care of the employee, or to attend the admission, review, and dismissal meeting held by a school district regarding the child under the foster care of the employee.b

An employee who is a certified disaster service volunteer of the American Red Cross or who is in training to become such a volunteer, with the authorization of his or her supervisor, may be granted administrative leave not to exceed 10 days each year to participate in specialized disaster relief services for the American Red Cross, on the request of the American Red Cross and with the approval of the governor's office, without loss of pay, vacation time, sick leave, or earned overtime, and/or compensatory time. Notwithstanding this provision, the pool of state employees certified disaster volunteers must not exceed 200 participants at any one time. A list of such employees will be coordinated with the Division of Emergency Management and governor's office. Within 60 days of any request made by the American Red Cross, a report shall be prepared by the American Red Cross for the Legislative Budget Board setting forth the needs for any request made.c

An employee who is blind is entitled to an administrative leave of absence for the purpose of attending a training program to acquaint the employee with a seeing-eye dog to be used by the employee. This leave of absence is not to exceed 10 working days in the fiscal year and is in addition to other leave to which the employee is entitled.d

An employee is eligible for up to 5 days of administrative leave per fiscal year to serve as a bone marrow donor, up to 30 days in a fiscal year to serve as an organ donor, and up to 4 blood donation times per year with pay, with documentation.g

As delegated by the UTHSC-H president, a department head may grant administrative leave to classified employees as a reward for outstanding performance as documented by employee performance appraisals, but only to a maximum of 32 hours in any fiscal year.e Employees who are awarded administrative leave for meritorious performance must use this leave within the fiscal year in which it was awarded; the employee may not carry over an award of administrative leave to the next fiscal year. If an employee terminates employment before using some or all of the administrative leave award, the employee is not eligible to be paid in lieu of receiving the leave.

Additionally, full-time employees with five or more years of service to UTHSC-H will receive eight hours of paid administrative leave each fiscal year, to be taken on their date-of-hire anniversary date or within one calendar year of their anniversary date. Less than full-time, benefit eligible employees will accrue administrative leave on a proportional basis. For example, employees appointed at 75 percent time will receive 6 hours of paid administrative leave; those appointed for 50 percent time will receive 4 hours of paid administrative leave; and so on. This leave award is in recognition of their service to the UTHSC-H.

PROCEDURE

When administrative leave is awarded for meritorious job performance or granted to compensate employees when the institution is declared to be officially closed due to adverse conditions, the authority to grant this leave has been delegated by the UTHSC-H president directly to department heads. An employee who takes administrative leave in such cases must note it as such on his or her official time record.

Note: When awarding administrative leave for meritorious job performance, departmental timekeepers must ensure that a copy of the employee's performance appraisal form is readily available and easily cross-referenced to time records if the department is audited.

In other cases where the head of a department determines that an administrative leave is appropriate, he or she will submit a written request, or written notification, as appropriate, to the respective dean or director specifying the justification for granting such a leave. In these cases, the authority to grant this leave has been delegated by the UTHSC-H president directly to the dean or director; and, the dean or director has final responsibility for approving the request. Administrative leave will be considered as time worked for the purposes of computing pay; vacation and sick leave accruals; longevity pay; and holiday eligibility.f

^aCurrent Appropriations Act.

^bId.

^cId.

^dId.

^eId.

^fId.

^g78th Legislature

Updated 8/03

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2.39D Civic Duty Leave

POLICY OVERVIEW

The University of Texas Health Science Center at Houston (UTHSC-H) holds that it is the responsibility and duty of every employee to exercise the privilege of voting on an official election day and to serve on a jury when summoned; the university therefore provides leave with pay for such appearances. Additionally, the UTHSC-H provides time off with pay to serve as a witness in a court or administrative proceeding to which the employee is not a party (i.e., plaintiff or defendant).

PROCEDURE

I. Voting

Every employee should be able to vote either before or after regular working hours. If this is not possible, supervisors are authorized to grant a reasonable period of time off during the regular work day for voting. Time off for voting should be reported as time worked and no reduction in vacation allowance or salary will be made.

II. Jury Duty, Court Appearance, Administrative Proceeding

When summoned to serve on a jury or subpoenaed to serve as a witness in a court or administrative proceeding to which the employee is not a party, an employee will be allowed time off and will continue to receive scheduled pay. The employee will not suffer any loss of accrued leave time nor any reduction in salary as a consequence of the receipt of any amount for jury duty.

If an employee is called for jury duty during a particularly busy time, the immediate supervisor can instruct the employee to request a postponement from court service.

To qualify for pay during periods of court service, the employee must furnish documentary proof of such service. An employee is expected to work when not actually in court.

An employee who is called to appear as an expert witness may accept compensation only when the court appearances are made on the employee's own time.

Updated 6/01

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2.39E Military Leave

POLICY OVERVIEW

Any regular employee of The University of Texas Health Science Center at Houston (UTHSC-H) will be granted military leaves of absence with full pay for authorized training or duty for members of the state military forces and members of any of the reserve components of the United States Armed Forces, call to National Guard active duty by the Governor, or national emergency active duty for members of the United States Armed Forces.

The maximum time for which an employee may receive pay for annual tours of active duty or active duty during an emergency if called by the President is 15 working days in a federal fiscal year (October 1 through September 30). Employees who exhaust the 15-day period of paid military leave and are called for additional military service will be put on extended military leave (refer to policy 2.40A Extended Military Leave). An employee who is a member of the state military forces and is called to active duty by the Governor is entitled to paid leave of absence for the time in which that employee is on active duty. This time is not limited and does not count against military leave or vacation leave.

No employee who is a member of a reserve component of the armed forces or of the state military forces will be denied retention in employment or any promotion or other incident or advantage of employment because of any obligation as a member of a reserve component of the armed forces.

PROCEDURES

An employee who is a member of the state military forces, or one of the reserve components of the armed forces should notify the immediate supervisor as soon as the dates of military duty are known. This allows the university as much time as possible to make suitable interim arrangements.

A copy of the employee's military orders should be submitted to the employee's supervisor as proof of authorization for the leave as soon as they are available. A copy of the orders will be placed in the employee's departmental personnel file and a copy will be sent to Records Management.

The first 15 days leave will be processed through the time management system. An employee called to active duty by the Governor will be placed on an extended paid leave of absence by processing a transaction through PeopleSoft. An employee on other extended active duty will be placed on an unpaid leave of absence (refer to policy 2.40A Extended Military Leave).

On completion of military duty, the employee must report back to his or her regular job at the first regularly scheduled shift. Employees who fail to report back on schedule, without having adequate cause for their tardiness or failure to return, may be subject to disciplinary action.

For more information on military leaves of absence, employees may contact HR.

^aUniformed Services Employment and Reemployment Rights Act of 1994 (USERRA), 38 U.S.C., 4301 (1994) and Texas Government Code, 431.0825, 431.005, 613.002-613.006, 658.008, 661.903-661.004.

Updated 02/04

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2.39F Preventive Health Care

POLICY OVERVIEW

The University of Texas Health Science Center at Houston (UTHSC-H) is dedicated to improving the health of the people of the State of Texas and the nation. Based on its commitment to disease prevention, health education, health promotion, health care cost containment, and wellness, the university encourages employees to take preventive health care measures at least once each year.

With the authorization of their supervisors, employees of the UTHSC-H are eligible for up to eight hours of administrative leave per fiscal year for scheduled preventive health care appointments for themselves or immediate family members. This time is to be used by employees for preventive health care such as immunizations, periodic physical examinations, dental examinations, and vision checkups. Absences due to illness and injury continue to be covered under the sick leave policy (refer to 2.39A Sick Leave).

PROCEDURES

Full-time and less than full-time benefits eligible regular UTHSC-H employees who have completed their probationary period and received authorization from their supervisors will be permitted to use up to eight hours of administrative leave to schedule preventive health care appointments. Less than full-time benefits eligible employees will be entitled to leave based on percentage of time worked. Employees must notify their supervisors at least 48 hours in advance of the reason for taking preventive health care leave and of the scheduled appointment time and expected duration. At the discretion of the supervisor, an employee may be asked to submit a statement of verification from the health care provider. The allotted annual leave for preventive health care must be used by August 31 of each year. Unused leave will not accrue and will not be carried forward.

Updated 8/01

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2.40 Unpaid Leave Eligibility

The University of Texas Health Science Center at Houston (UTHSC-H) may grant employees unpaid leaves of absence for a variety of reasons. Granting a leave of absence signifies that the employee's position will be restored when the employee returns. Once a leave has been approved, it is the responsibility of the department to ensure that the employee's position will be available at the appropriate time. Only when an extended military leave of absence is granted does the university assume responsibility for restoration of the employee's original position, or one of like seniority, status, and pay. The UTHSC-H considers the following to be unpaid leaves:

• Extended military leave
• Personal leave
• Family and medical leave
• Parental Leave

Note: During the 12-work week period of family and medical leave, an employee is required to substitute any accrued sick leave when applicable and vacation leave when available to remain on paid status.a (Refer to 2.40C Family and Medical Leave.)

Except for extended military leaves of absence and leaves of absence granted under the Federal Family and Medical Leave Act of 1993 (FMLA), the eligibility requirement for all unpaid leaves is that employees must be appointed for at least 20 hours per week for at least four and one-half months.b

^aCurrent Appropriations Act.

bId.; Federal Family and Medical Leave Act of 1993.

Updated 6/01

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2.40A Extended Military Leave

POLICY OVERVIEW

Any regular employee of The University of Texas Health Science Center at Houston (UTHSC-H) who voluntarily enlists in one of the branches of the armed forces and is called to serve or who is a member of one of the reserve branches of the armed forces, Texas National Guard, or the commissioned corps of the Public Health Service who is called to active duty by the President during an emergency or who is called for annual tours of duty exceeding 15 work days will be granted an extended military leave of absence. Extended military leave is an unpaid leave, granted to cover service other than the first 15 working days of military duty served in a federal fiscal year (October 1 through September 30). The first 15 days of military duty served are covered under policy 2.39E Military Leave. An employee who is a member of the National Guard who is called by the Governor of Texas to active duty that exceeds 15 days will be placed on a paid leave of absence, as covered under 2.39E Military Leave.

No employee who is a member of a reserve component of the armed forces, Texas National Guard, or Texas State Guard will be denied retention in employment or promotions or other incidents or advantages of employment because of any obligation as a member of one of these units.

PROCEDURES

I. Applying for Extended Military Leave

An employee who is requesting extended military leave should notify the immediate supervisor as soon as he or she receives notice of impending military duty.

A copy of the employee's military orders should be submitted to the employee's supervisor as proof of authorization for the leave as soon as they are available and retained in the employee's departmental personnel file.

II. Reinstatement

An employee who returns from military service will be reinstated to the same position or to a position of like seniority, status, and pay as the former position as prescribed in the Veteran's Reemployment Rights Act. Time limits for returning to work depend upon the duration of a person's military service. In all cases, employees are urged to contact their managers as soon as possible to advise them of their desire to return to work.

As outlined by the Uniformed Services Employment and Reemployment Act (USERRA), applicable time limits are as follows.

• Employees with service of less than 31 days must return to work by the first day following return from active duty and allowing for an eight hour rest period. If this is impossible or unreasonable, then return must be as soon as possible.

• Employees with service of 31 to 180 days must submit in writing a request for reemployment. The reemployment request must be submitted no later than 14 days after the completion of service. If this is impossible or unreasonable through no fault of the employee, then the request must be made as soon as possible.

• Employees with service of 181 days or more should apply for reemployment no later than 90 days after completion of military service.

• For employees with a service-connected injury or illness who are hospitalized or convalescing, reporting or application deadlines are extended for up to two years.

If, owing to a service-incurred disability, an employee is unable to perform his or her former duties, yet may perform adequately in a similar position, the employee will be reinstated to a position that most nearly approximates the seniority, status, and pay of the former position.

III. Benefits and Accruals

Prior to the effective date of extended military leave, it is the employee's responsibility to contact HR to arrange for the continuance of group insurance programs; otherwise, they may be subject to cancellation. HR representatives will, on request, provide further information on insurance and Teacher Retirement System coverage during extended military leaves of absence.

Neither vacation nor sick leave will accrue for the duration of the leave; however, unused vacation and sick leave balances will remain unchanged until the employee returns to active employment.

An employee will begin accruing benefits immediately upon reinstatement. The vacation accrual and longevity pay accrual rates will be based on the effective date of employment and will include time spent in the armed forces for military duty.

IV. Differential Pay

The University of Texas Health Science Center at Houston will provide differential pay to a state employee on unpaid military leave if the employee's military pay is less than the state gross pay. (For more information please read the Rights and Responsibilities Web page on the Human Resources Advising Web site.) The combination of differential and military pay may not exceed the employee's actual state gross pay. An employee whose military pay is less than his/her gross UTHSC-H pay will receive differential payment through the payroll process. Departments are responsible for submitting a transaction to Payroll using the Extended Military Pay form.

^aUniformed Services Employment and Reemployment Rights Act of 1994 (USERRA), 38 U.S.C., 4301 (1994)

Updated 11/04

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2.40B Personal Leave

POLICY OVERVIEW

Regular employees of The University of Texas Health Science Center at Houston (UTHSC-H) are eligible for personal leave. The UTHSC-H recognizes that circumstances may arise that will compel an employee to request a temporary leave from work. The UTHSC-H may grant an eligible employee personal leave for good cause, if such action is considered to be in the best interests of the university. The approval of personal leave by the UTHSC-H constitutes a guarantee of employment for a specified period of time, subject to fiscal constraints.

Personal leave is defined as a leave of absence without pay justified by compelling personal affairs. In general, personal leave may not be granted for a period that exceeds 12 months. Compelling personal affairs do not include any form of business or other activity that can be handled just as readily, although perhaps not as conveniently, outside of normal working hours. After a return to work for one year or more, the leave of absence privilege will again be available subject to the conditions noted in this policy.

In unusual circumstances and with the interest of the institution being given first consideration, personal leaves of absence for a second consecutive year may be granted by the UTHSC-H president. These extended personal leaves will be granted only for the following reasons:

• health;

• continued graduate study; and

• public service or other activity that reflects credit on the UTHSC-H and enhances the employee's ability to make subsequent contributions to the institution.

Requests for a third consecutive year of unpaid personal leave must be reviewed by The University of Texas System executive vice chancellor for health affairs and may be approved only for any of the reasons noted previously.a

PROCEDURE

I. Approval Processes

The employee will submit a request in writing to the immediate supervisor detailing the reason(s) for the request and indicating what duration of leave is desired. For leaves due to medical reasons, a physician's statement detailing the necessity of the leave should be included. Any request for personal leave will be evaluated on its individual merits. If the request is approved, the department will process through PeopleSoft the appropriate personnel action for approval to place the employee on leave of absence.

Because all UTHSC-H employees are reappointed by an act of legislative appropriation at the beginning of each new fiscal year, a personal leave of absence can only be approved for the balance of the fiscal year in which it is granted. In the case of faculty, the date for return to duty will generally coincide with the beginning of the next semester following the period of absence. If an employee requests personal leave that would extend into the next fiscal year, a second approval process must be added: The employee must submit a written request to the department 30 days prior to the end of the first fiscal year to receive the necessary approval for that part of the leave that falls into the next fiscal year. If this request is approved, the department will process the appropriate personnel action for approval to project the remainder of the leave into the next fiscal year.

An employee who is unable to return to work on the expiration of the leave may request an extension of the leave. Within the conditions of this policy, a department head may extend the leave for a specified period of time or the employee may be separated.

II. Conditions that Apply

Except for disciplinary suspensions without pay or the use of Worker's Compensation Insurance or military leave, all accumulated paid leave entitlements and compensatory time balances must be exhausted before initiation of a personal leave. Vacation and sick leave do not accrue during any full calendar month for which an employee is on unpaid leave. An employee is not eligible to receive holiday pay while on an unpaid leave.

Prior to the effective date of leave, it is the employee's responsibility to contact the Benefits department to make arrangements for the continuance of group insurance programs, which will otherwise be subject to cancellation. Failure to return to work at the time specified or failure to comply with the terms and conditions of the leave will result in forfeiture of the privileges of leave.

^aBoard of Regents, UT System, Rules and Regulations, Part One, Chapter III, Section 16.

Updated 11/02

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2.40C Family and Medical Leave

POLICY OVERVIEW

In compliance with the Federal Family and Medical Leave Act of 1993 (FMLA), The University of Texas Health Science Center at Houston (UTHSC-H) will grant up to 12 weeks of leave in a 12-month period to eligible employees who have been employed by the State of Texas at least 12 months and worked at least 1,250 hours at UTHSC-H during the 12-month period immediately preceding the leave. Family and medical leave may be granted for one or more of the following reasons:

• Birth of son/daughter and care after such birth;

• Placement of son/daughter for adoption or foster care;

• Serious health condition of spouse, child, or parent of employee; or

• Serious health condition of employee (unable to perform the functions of his or her position).

Leave for birth or placement for adoption can be taken prior to the actual birth or adoption. By the end of the seventh month of pregnancy, pregnant employees must submit to their supervisors a doctor's statement to the effect that they can safely continue to work.

When an employee is taking leave to care for a family member, or due to his/her own serious health condition, the employee may be required to support the leave request with certification from the health care provider. Certification forms can be obtained from Human Resources. The employee must provide the requested certification to the supervisor either before the leave begins or within a time frame provided by the supervisor that is within at least 15 calendar days of the beginning of the leave unless it is not possible under the circumstances despite the employee's diligent, good-faith efforts. If medical certification is not provided, the leave is not FMLA leave, and the employee will not have the protections of the FMLA. There is no certification requirement if an employee is taking leave for the birth of a child or placement of a child.

If the UTHSC-H has reason to doubt the validity of the medical certification, a second opinion at the university's expense may be obtained. If the two opinions differ, a third opinion may be obtained at the university's expense, and will be the final determination. The UTHSC-H may request recertification of a serious health condition no more often than every 30 days unless circumstances described in the certification have changed.

The following terms and definitions are included to further clarify the policy and procedures.

Spouse/dependent: For the purposes of the FMLA, "spouse" is defined in accordance with the applicable state law including common law marriages when recognized by the state. Unmarried domestic partners do not qualify for FMLA leave. Son or daughter is defined under the FMLA to include a child under 18 years or one who is 18 years or older who is incapable of self-care because of a mental or physical disability. The UTHSC-H may request certification of family relationship. The certification may take the form of a statement from the employee or documentation such as a birth certificate or court document.

Serious health condition: A serious health condition is an illness, injury, impairment, or physical or mental condition involving one of the following:

• Inpatient hospital care and any resulting incapacity or treatment;

• any period of incapacity greater than three consecutive days, in conjunction with either treatment two or more times under the supervision of a health care provider, or one visit to a health care provider resulting in a continuing course of treatment;

• any period of incapacity due to pregnancy or prenatal care;

• chronic conditions requiring periodic visits to, or at the direction of, a health care provider that continue over an extended period of time and may cause episodic rather than continuous periods of incapacity (e.g., asthma);

• long-term incapacity due to a condition under continuing treatment by a health care provider but for which treatment may not be effective (e.g., severe stroke); or

• multiple treatments for non-chronic conditions that would result in incapacity for more than three consecutive days without such treatment (e.g., dialysis).

The term "serious health condition" is intended to cover those conditions that affect one's health to the extent that in-patient care is required or continuing treatment by a provider of health care is necessary on a recurring basis for more than a few days for treatment or recovery. The FMLA is not intended to cover short-term conditions for which treatment and recovery are brief.

Examples of serious health conditions include heart attacks, heart conditions, most cancers, back conditions requiring extensive therapy or surgical procedures, strokes, respiratory conditions, appendicitis, pneumonia, emphysema, severe nervous disorders, injuries caused by serious accidents on or off the job, pregnancy, severe morning sickness, need for prenatal care, childbirth, and recovery from childbirth. A serious health condition includes treatment for a serious chronic condition that, if left untreated, would likely result in an absence of work for more than three days.

Substance abuse: Treatment of substance abuse may be included under the FMLA so that an employee can undergo treatment by a health care provider. However, absences because of an employee's use of a substance without treatment does not qualify for FMLA leave. By including substance abuse, the UTHSC-H is not prevented from taking any employment action against an employee who is unable to perform the essential functions of the job provided the UTHSC-H complies with the Americans with Disabilities Act of 1990 (ADA) and does not take action against the employee because such employee exercises his rights under the FMLA.

Parental leave: An employee's entitlement to leave for the birth or placement of a child expires 12 months after the birth or placement. If both parents work for the university, regardless of whether they work at different work sites or different component institutions, the total amount of combined leave cannot exceed 12 weeks. This limitation applies only for those cases involving the birth or placement of a child. In cases involving sickness, this limitation does not apply.

Intermittent leave: FMLA taken due to the serious health condition of the employee or a member of the employee's family may be taken intermittently or on a reduced leave schedule. There is no minimum limitation on the number of hours of intermittent leave that may be taken (i.e., the leave may be taken in increments of 2 hours, 4 hours) provided proper notice has been given if the need for the leave is foreseeable.

When an employee has requested intermittent leave, the university may transfer the employee temporarily to an alternative position with equivalent pay and benefits if the employee is qualified for the position, and if it better accommodates the recurring periods of leave more so than the employee's current job.

PROCEDURE

I. Calculating the 12-Month Leave Period

Eligible employees are entitled to take up to 12 work weeks of FMLA leave so long as they have worked at least 1,250 hours at UTHSC-H during the 12 months immediately before commencement of the leave and worked a total of 12 months for the State of Texas. The 1,250 hour requirement refers to hours actually worked during the previous 12 months.

If the employee meets eligibility criteria for FMLA, the department will use a rolling calendar to determine the amount of FMLA leave available. A rolling calendar is defined as the 12 months measured backward from the date an employee uses any FMLA leave. Example: An employee who has not taken any FMLA leave in the previous 12 months would be entitled to up to the full 12 weeks leave. However, if the employee has used a portion of the 12 weeks in the previous 12 months, the amount of leave will be reduced by that used. Please consult with your Human Resources advisor for more information on applying the rolling calendar.

II. Requirement of Using Sick/Vacation Leave

Under the Current Appropriations Act, employees are required to use all accumulated vacation and sick leave, if applicable, when taking leave under the FMLA. All leave taken for an FMLA-qualifying reason, paid or unpaid, will count against the employee's 12-week FMLA entitlement. When paid leave has been exhausted, any balance of the employee's 12-week FMLA leave will be unpaid. Employees are entitled only to a combined total of 12 weeks of leave for any FMLA-qualifying reason, whether paid or unpaid. Holidays are included in the count toward the 12-week FMLA entitlement.

The UTHSC-H is not permitted to count paid leave that was not for an FMLA leave purpose against an employee's FMLA leave entitlement. For example, if an employee has taken sick leave on various occasions for a cold or flu, or condition that is not an extended illness, those days may not be counted toward the 12-week entitlement under the FMLA. If, however, the employee is expecting the birth of a child and has taken leave prior to the birth for prenatal care, the UTHSC-H may require the employee to use his or her sick and vacation leave, and limit the total amount of time away from employment to a total of 12 weeks. The UTHSC-H must inform the employee that paid leave must be taken when an individual requests leave under the FMLA.

If a department fails to advise an employee that he/she is ineligible for FMLA leave before the requested leave is to begin, the employee will be deemed eligible for FMLA leave. The department may not then assert the employee's ineligibility as a basis for denying the leave, and the employee will be protected under the FMLA. When an employee is unable to provide foreseeable notice of the leave, he/she will be deemed eligible if the department fails to notify the worker of ineligibility within two working days of receiving notice of the need for leave.

It is the institution's responsibility to designate whether or not the leave (paid or unpaid) will be considered leave taken pursuant to the FMLA. The department will notify the employee in writing of this designation. If the UTHSC-H learns that leave is being taken for an FMLA purpose after leave has begun, the entire portion or some portion may be counted retroactively as FMLA leave (to the extent that the leave qualifies as FMLA leave).

Note: As an exception to this requirement, employees on FMLA leave who are receiving temporary disability benefit payments or workers' compensation benefits are not required to use paid vacation or sick leave while on FMLA.

III. Premium Payment for Medical Insurance

When an employee is on unpaid FMLA leave, the university will continue to contribute its share of premium sharing for medical/dental insurance as if the employee had continued in employment during the leave. For example, if the employee normally has family medical coverage, the UTHSC-H will continue sharing the cost of the premiums with the employee at the family rate. The employee is required to pay his or her share of the premiums in the same manner required when working. An employee may pay his or her share of premiums of the health plan in any manner customarily used by the university.

If the employee fails to pay a timely health plan premium, a 30-day grace period will be provided after the agreed upon date for which payment is due. If the employee does not make payment within 30 days, the university will cease to maintain the health coverage on the date the grace period ends. Prior to expiration of the grace period, the UTHSC-H will notify the employee of the discontinuance of insurance coverage.

If the institution discontinues health coverage as a result of non-payment of premiums, the employee's group health benefits must be restored to at least the same level and terms as were provided when leave commenced. Therefore, the returning employee will not be required to meet any qualifications requirements, such as a waiting period or pre-existing condition requirements, when the employee has failed to continue his or her health coverage for non-payment of premiums.

If an employee fails to return to work after a period of unpaid family FMLA leave, and the UTHSC-H has paid for maintaining health coverage, the university is entitled to recover the premiums paid unless the reason the employee does not return to work is due to (1) continuation of a serious health condition that would entitle the employee to FMLA leave, or (2) other circumstances beyond the control of the employee.

An employee is considered to have returned to work after he or she has worked for a period of 30 calendar days. Therefore, an employee who returns to work only one week and then departs is not considered to have returned to work for the purposes of premium payments. The UTHSC-H may recover health insurance premium payments from any sum due to the non-returning employee such as travel reimbursement or paychecks, provided that prior to deducting any amounts, the institution consults with The University of Texas System Office of General Counsel to ensure that such deduction is appropriate.

IV. Returning Employee

When an employee returns to work under the FMLA, he or she is entitled to be restored to the same position held when the leave started, or to an equivalent position with equivalent pay. An equivalent position is one that has the same pay, benefits, and working conditions, and involves the same or substantially similar duties and responsibilities with the equivalent skill, effort, responsibility, and authority.

V. Posting Notice by Employer

A notice will be posted to notify employees of their rights and responsibilities under the FMLA. The UTHSC-H must provide an employee requesting leave with a written notice detailing the specific expectations and obligations of the employee. The notice detailing the specific expectations and obligations can be obtained from Human Resources.

VI. Notice by Employee

Employees must give at least 30 days' advance notice to the UTHSC-H of the need to take FMLA leave when it is foreseeable for the birth or adoption of a child or for planned medical treatment. When the need for leave is not foreseeable, it, such as premature birth or medical emergency, the notice should be given as soon as possible, preferably within one or two business days of when the employee learns of the need for leave. Verbal notice is sufficient to inform the institution that the employee will be needing FMLA leave.

An eligible employee who has given notice under the FMLA and has complied with the certification requirements, if needed, may not be denied FMLA leave.

VII. Rights of Employees

Employees who exercise their rights under the FMLA are entitled to do so without restraint and must not be subject to discharge or discrimination by the UTHSC-H. The UTHSC-H may not discriminate against an individual for having filed charges, instituted any proceeding under or related to the FMLA, or given information in connection with an inquiry or proceeding regarding the FMLA.

If the attending physician denies an employee FMLA certification, the department has two business days from their receipt of the denial to notify the employee. Failure to provide timely notification will provide the employee with FMLA protection.

If an employee's FMLA rights have been violated, the FMLA provides that the employee may file a complaint with the Department of Labor or file a private lawsuit against the employer to obtain damages or other relief.

VIII. Record-keeping Requirements

The following records must be kept by the UTHSC-H regarding FMLA leave:

• Books or records of no less than three years, that contain the basic payroll and identifying employee data, including name, address, occupation, rate of pay, terms of compensation, hours worked, additions and deductions to the wages, and total compensation.

• Dates FMLA leave is taken by an employee. The leave must be designated in the records as FMLA leave.

• Documentation of FMLA leave taken in increments of less than one full day, as well as hours of the leave.

• Copies of the employee notices of leave furnished to the UTHSC-H under the FMLA, if in writing, and copies of all general and specific notices that were given to employees under the FMLA.

• Any documents describing employee benefits or university policies. This includes written and electronic records regarding taking paid and unpaid leave.

• Premium payments of employee benefits.

• Records of any dispute between the employee and the university regarding any designation of leave as FMLA leave including any written statements from the university or employee and the reasons for the designation and disagreement.

• FMLA records of employee who transfer to another department at UTHSC-H within 12 months of FMLA use will be forwarded to the new department.

IX. Confidential Medical Records

Records and documents relating to medical certifications, recertification, and medical histories of the employee or employee's family members should be maintained in separate files and treated as confidential medical records. Therefore, these records do not go into the employee's personnel file. The medical information may be released only in the following situations:

• to the employee's supervisor, manager, or designated team leader if needed to make adjustments in job duties/responsibilities due to work restrictions resulting from the medical condition; or

• to first aid and/or safety personnel if the employee's medical condition might require emergency treatment; or

• to government officials investigating compliance with the FMLA.

X. Coordination with Other Leave Entitlement

FMLA regulations state that if an employer provides more benefits than required by the FMLA, the FMLA will not restrict those benefits. Therefore, benefits such as the sick leave pool and extended disability leave may be used in conjunction with and count toward the 12 weeks of FMLA leave. The FMLA does not restrict or modify any federal or state anti-discrimination rules or the employer's obligation to comply with the ADA.

Updated 4/02

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2.40D Parental Leave

POLICY OVERVIEW

Regular employees of The University of Texas Health Science Center at Houston (UTHSC-H) with less than 12 months of state service or who have worked fewer than 1,250 hours at UTHSC-H in a 12-month period immediately preceding the commencement of leave are eligible to take a parental leave of absence for a period not to exceed 12 weeks, providing that the employee utilizes all available applicable paid vacation and sick leave while taking leave pursuant to this provision. The leave is limited to, and begins with the date of, the birth of a natural child or the adoption or foster care placement of a child under three years of age.a

The UTHSC-H considers parental leave to be unpaid leave; however, employees must substitute any combination of available vacation leave, compensatory time off, or sick leave, if applicable, to remain on a paid leave status for any or all of the approved leave period. The approval of parental leave by the UTHSC-H constitutes a guarantee of employment for a specified period of time, subject to fiscal constraints.a

PROCEDURE

I. Approval Processes

The employee will submit a request in writing to the immediate supervisor detailing the reason(s) for the request and indicating what duration of leave is desired.

By the end of the seventh month of pregnancy, pregnant employees must submit to their supervisors a doctor's statement to the effect that they can safely continue to work.

An employee who is unable to return to work upon the expiration of the leave or who wishes to extend the leave may request an extension. At the discretion of the department head, the leave may be extended for a specified period of time.

II. Conditions that Apply

Employees must use all accumulated vacation leave, sick leave (if applicable), compensatory time off, or leave without pay for this period. It is expressly provided that the use of sick leave is strictly limited to those situations clearly falling within the definition of sick leave contained in 2.39A Sick Leave. Vacation and sick leave do not accrue during any full calendar month for which an employee is on unpaid leave. An employee is not eligible to receive holiday pay while on an unpaid leave.

Prior to the effective date of leave, it is the employee's responsibility to contact the appropriate Human Resources representative to make arrangements for the continuance of group insurance programs, which will otherwise be subject to cancellation.

^aCurrent Appropriations Act.

^aId.

Updated 6/01

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2.41 Premium Sharing and Automatic Coverage

POLICY OVERVIEW

The University of Texas Health Science Center at Houston (UTHSC-H) administers premium sharing, the state's contribution toward the cost of insurance premiums to regular employees and retirees of the UTHSC-H.

PROCEDURE

Eligible employees may apply the state's premium sharing contribution to medical insurances. An employee who has other medical insurance coverage may waive the medical coverage offered by the UTHSC-H and use up to one-half of the employee-only premium sharing allocation toward the purchase of other optional coverage.

Employees on a leave of absence without pay for at least one full calendar month are not eligible to receive premium sharing; however, they may retain insurance coverage by paying the total cost of their insurance directly to Employee Benefits. Employees on family leave without pay will continue to receive premium sharing. Any difference in total cost and premium sharing must be paid directly to Employee Benefits. Failure to make payments will result in automatic cancellation of the policy.a

I. Basic Coverage

Eligible employees who do not select any of the group insurances offered by the UTHSC-H will be provided with basic group insurance coverage, the entire cost of which will be paid by premium sharing. No paycheck deduction will be made for this coverage. The insurances in this package cover only the employee and not the employee's dependents. The basic coverage package includes the following:

• dual option, HMO,
• dental insurance,
• a limited amount of group term life Insurance,
• a limited amount of accidental death and dismemberment Insurance.

A description of automatic coverage is furnished to all eligible employees during benefits orientation and may also be obtained from Employee Benefits.

^aFederal Family and Medical Leave Act of 1993.

Updated 5/04

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2.42 Retirement Program Eligibility

POLICY OVERVIEW

All regular employees of The University of Texas Health Science Center at Houston (UTHSC-H) who hold appointments of one-half time or more are required by lawa to participate in either the Teacher Retirement System (TRS) or the Optional Retirement Program (ORP), based on eligibility requirements of the programs. All regular and temporary employees (See 2.16 Appointment Status for definitions.) are eligible to participate in the Tax Sheltered Annuity Program and The Deferred Compensation Plan.

I. Teacher Retirement System

All regular classified employees who hold appointments of one-half time or more are requiredb to participate in the Teacher Retirement System (TRS.) All faculty and administrative and professional employees who hold appointments of one-half time or more but less than full time are required to participate in TRS.

Any full-time faculty and administrative and professional employees who are incumbent in positions that do not meet the eligibility requirements of ORP must participate in TRS.

II. Optional Retirement Program

The definitions that must be applied to determine whether or not a full-time faculty or administrative and professional position meets the eligibility requirements for the Optional Retirement Program (ORP) are determined by the Texas Higher Education Coordinating Board.c

To be eligible for participation in ORP, a full-time faculty or administrative and professional position must fall within one of the following three categories and meet all the criteria within that category. When a UTHSC-H employee occupies appointments with both administrative and professional and faculty titles, he or she is considered to be a member of the category in which the greatest percent time is held. Such employees automatically meet the ORP-eligible criteria when the sum of their ORP-eligible appointment is equal to 100 percent time. The specific job titles mentioned are actual titles; "working job titles" do not meet the intent or standards of this policy. (Note: Any job title that is not specifically referred to in this policy will be considered on a case-by-case basis.)

A. Faculty The incumbent must be a full-time faculty member whose principal employment activities are teaching, research, or patient care. Faculty titles that meet the above criteria include, but may not be limited to, professor, associate professor, assistant professor, instructor, any such title that has "clinical" or "research" appended to it, faculty associate, teaching assistant, and lecturer.

B. Academic Administrative and Professional The incumbent must be an administrator responsible for the activities of teaching, research, and/or clinical faculty whose principal employment activities are planning, organizing, and directing the activities of faculty. Administrative and professional titles that meet the above criteria include, but may not be limited to, dean, executive director, director, associate dean, assistant dean, and chair.

C. Administrative and Professional The incumbent must be an administrator who is responsible for an organizational or budget entity and whose principal employment activities are the preparation and administration of the budget, policies, and programs of that entity. The individual's authority must include the employment/termination of personnel and the expenditure of departmental or other budgeted funds. Titles whose incumbents function as chief administrator in the absence of the chief administrator will be considered to be eligible when they otherwise meet the criteria. All positions within this category must be generally and customarily recruited on a national scale; must be equivalent in salary rate with faculty salary rates; and must be appointed by the chief administrative officer of the institution or his/her delegate.

Administrative and professional titles that meet the above criteria include, but may not be limited to, president, executive vice president, vice president, assistant vice president, executive director, director, and assistant director.

^aTex. Rev. Civ. Stat. Ann., Title 110 B, Public Retirement Systems, sections 32.001 and 36.101 (Pamphlet 1988).

^bId.

^cTexas Administration Code Part I, Chapter 1, section 1.6 (Optional Retirement Program Eligibility).

Updated 6/98

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2.42A Teacher Retirement System

POLICY OVERVIEW

The participation of eligible employees of The University of Texas Health Science Center at Houston (UTHSC-H) in the Teacher Retirement System (TRS) is mandated by state law. Employees who are eligible for the Optional Retirement Program as well as TRS must opt for one of these two plans.

Participants in TRS will become vested in the system after five years of creditable service. Vested employees have earned the right to receive retirement benefits on reaching retirement age, even if they no longer work at covered employment, providing they have not withdrawn their deposits in TRS. TRS provides the retiree with various annuity payment options, including early age and disability retirement; credit for special service (military service, for example); death and survivor benefits for beneficiaries; and coverage under a group health insurance plan either without cost or at favorable rates.

Employees who participate in this retirement plan are required to make defined monthly contributions to TRS, amounting to 6.4 percent of their gross earnings. The State Legislature also makes a contribution to each employee's TRS fund (currently 6.00 percent of the employee's gross income) to help fund the payment of retirement benefits. Participants receive yearly statements of their TRS account balances for the fiscal year ending August 31.

Employees' contributions to TRS are tax sheltered: Withholding taxes are calculated on the gross salary that remains after the amount of the annual defined contribution has been deducted, resulting in a reduction of taxable gross income. This legislation affects the maximum exclusion allowance of employees who participate in any other salary reduction program, such as the State Deferred Compensation Plan or the Tax Sheltered Annuity Program.

Participants who permanently terminate their employment may withdraw or roll over to another retirement account any funds that they have contributed to TRS along with the accrued interest on those funds; however, all contributions made by the state will remain with TRS. Any funds withdrawn payable to the terminating employee will be withheld at a 20 percent rate by TRS in accordance with Internal Revenue Service regulations. The Application for Refund of Teacher Retirement Contribution (TRS-6) may be obtained from Payroll and Benefits. Withdrawal conditions should be read carefully for tax implications.

PROCEDURE

The UTHSC-H administers TRS through payroll deduction and is responsible for the eligibility status of participating employees and transfers all employee deductions to TRS at the end of each month.

Additional information about TRS may be obtained from Payroll and Benefits, the Teacher Retirement System of Texas, 1001 Red River Street, Austin, Texas, 78701 (1-800-223-8778), or the TRS Web Site.

^aInternal Revenue Code section 403(b) and 415(c) (1987).

Updated 6/98

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2.42B Optional Retirement Program

POLICY OVERVIEW

All eligible employees (2.42 Retirement Program Eligibility) of The University of Texas Health Science Center at Houston (UTHSC-H) are required by state law to participate in a retirement program. Eligible faculty and administrative and professional staff may choose either the Teacher Retirement System (TRS) or the Optional Retirement Program (ORP).

Participants in ORP become vested after one year and one day of creditable service. Vesting entitles the employee to receive the state's contribution at any age, in lump sum, annuity, or a variety of other options. Vested employees have earned the right to receive retirement benefits on reaching retirement age, providing they have not withdrawn their deposits in ORP.

The participant will choose an investment company from the list of companies that have been approved by The University of Texas System, and the employee's retirement benefits will be based on the accumulated contributions, earnings, and interest that the employee's account accumulates.

Employees who participate in this retirement plan are required to make defined monthly contributions to ORP amounting to 6.65 percent of their gross earnings. The State Legislature also makes a contribution to each employee's ORP account. For UTHSC-H employees participating in ORP before September 1, 1995, the State of Texas's contribution is 7.31 percent of the employee's gross earnings with an additional 1.19 percent contributed by the UTHSC-H; for employees who enroll in ORP on or after September 1, 1995, the contribution is 6 percent.

An employee's contributions to ORP are tax sheltered: Withholding taxes are calculated on the gross salary that remains after the amount of the defined contribution has been deducted, resulting in a reduction of taxable gross income. This affects the maximum exclusion allowance of employees who participate in any other salary reduction program, such as the State Deferred Compensation Plan or the Tax Sheltered Annuity Program.

An individual who is vested in ORP may, after termination or retirement, access all funds that reside within the investment account. Effective January 1, 1993, the Internal Revenue Service mandates that if an employee (vested or not) elects to make a lump sum withdrawal on termination, the distribution will be subject to a 20 percent tax unless the funds are directly rolled over to another plan. This new legislation does not change the taxability of distributions; it merely changes the timing of federal tax withholding. On the death of a vested ORP participant, the named beneficiaries have access to all contributions in the account. In the event that the deceased participant was not vested, only his or her contributions plus the interest is payable to the beneficiaries.

PROCEDURE

The UTHSC-H administers ORP through payroll deduction and is responsible for the eligibility status of participating employees and transfers all deductions and contributions to carriers at the end of each month.

All employees who are eligible for-and wish to participate in-ORP must elect to do so within 30 days of their eligibility date. Employees who do not make an election for ORP within the initial 30 days of eligibility must remain in TRS for the balance of their employment in higher education in the State of Texas. Any full-time faculty or administrative and professional employee who elects to participate in ORP and later reduces to a part-time status remains eligible. An employee in the Classified Personnel Pay Plan is not eligible for ORP unless the employee was previously eligible to participate in ORP and was vested.

Updated 5/04

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2.42C State Deferred Compensation Plan

POLICY OVERVIEW

The University of Texas Health Science Center at Houston (UTHSC-H) administers a Deferred Compensation Plan for its eligible employees on behalf of the State of Texas. Under the plan, the state becomes the owner of a contract between itself and plan participants that enables eligible employees to defer their receipt of a designated portion of their compensation for investment purposes. Withholding taxes will be computed on the gross salary that remains after it has been reduced by the amount of the deferred portion.

Selection of the company(ies) and type(s) of investment and the evaluation of the tax-exempt status are the responsibility of the employee; however, the employee's choice is restricted to those companies that have been approved by the state comptroller. A list of approved companies may be obtained from Employee Benefits.

Employee Benefits is responsible for verifying the annual contribution is within the exclusion allowance as specified by the Internal Revenue Code,[a] as amended. Participation in salary reduction under the Optional Retirement Program, Tax Sheltered Annuity Program, or Teacher Retirement Program will reduce the balance available for tax exclusion under the Deferred Compensation Plan.

A cash surrender can be requested only on retirement or termination, death, or financial hardship as determined by the comptroller of public accounts. The plan offers no borrowing provisions.

PROCEDURE

An employee who wishes to have monies deferred under the Deferred Compensation Plan must complete the required forms available in Employee Benefits.

Monthly contributions to the plan will be made through payroll deduction. A participating employee may change the amount of the agreement, change carriers, or cancel an agreement at any time.

^aInternal Revenue Code sections 403(b) and 415(c) (1987).

Updated 5/04

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2.42D Tax Sheltered Annuity Program

POLICY OVERVIEW

The University of Texas Health Science Center at Houston (UTHSC-H) offers eligible employees the opportunity to designate a portion of their annual gross compensation toward paying premiums on tax sheltered annuities. Since withholding taxes are calculated on the gross salary that remains after the premium has been deducted, participation in the program has the immediate effect of reducing the employee's taxable gross income.

Under the terms of the program, The University of Texas System generates and maintains a list of carriers from which an eligible employee may choose. Since annuity contracts vary widely from one carrier to another, employees are advised to assess their needs and evaluate the different options offered by the carriers. The participant will select the carrier and the type of contract, and evaluate the tax-exempt status before entering into-and becoming the owner of-a contract.

PROCEDURE

Employee Benefits will provide employees with the list of carriers, a list of suggested questions to ask prospective carriers, and the tax sheltered annuity Purchase Agreement that must be filled out by the employee once a carrier is chosen. The amount of the annuity premium is based on the employee's gross salary. Employee Benefits is responsible for verifying the annual contribution is within the exclusion allowance specified by the Internal Revenue Code, amended.a

Participation in the Optional Retirement Program will reduce the amount available for tax exclusion under a tax sheltered annuity agreement. A participating employee may change the amount of an existing agreement, change carriers, or cancel a tax sheltered annuity agreement at any time.

Updated 5/04

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2.43 Retirement

POLICY OVERVIEW

There is no mandatory retirement age in effect for employees of The University of Texas System. While an individual's employment may continue indefinitely, nothing in these provisions is intended to prevent or discourage employees from contemplating an earlier retirement if they so desire.

PROCEDURE

Policies that describe the various retirement benefits and programs provided by the University of Texas System for employees may be found in 2.42 Retirement Program Eligibility. Questions pertaining to retirement should be directed to Employee Benefits.

Updated 5/04

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2.44 Job-Related Training and Education: Internal

POLICY OVERVIEW

The University of Texas Health Science Center at Houston (UTHSC-H) provides training opportunities for its employees that it considers to be relevant to successful job performance. These opportunities are made available to all staff members in accordance with the UTHSC-H's Affirmative Action policies; however, employees must obtain the prior approval of their supervisors to participate. It is the role of the supervisor to evaluate the relevance of the training to the successful job performance or career development of the individual concerned.

Human Resources (HR) is responsible for planning, coordinating, and/or implementing all general employee training programs at the UTHSC-H. These programs are directed toward a wide range of employees' needs. Specific job skills training is the responsibility of the department involved.

PROCEDURE

HR offers a variety of courses related to leadership, team, and staff development on a regularly occurring basis and lists those offerings on the Human Resources web site. Employees may register for courses using the Class Registration Form that appears on the web site.

I. Practical Skills for Leaders Training

The UTHSC-H requires that all employees appointed to a supervisory position enroll in a 19-hour training program, Practical Skills for Leaders, subsequent to appointment. The seven modules are designed to provide basic knowledge of supervisory roles and functions as applied within the UTHSC-H environment and include the following topics: Performance Management, Employment Policies, Salary Management, The Hiring Process, Effective Communication, Career Development, and Employee Motivation.

Departments should make whatever arrangements are necessary to ensure that supervisors will attend all sessions.

II. On-line Computer Applications Training

All faculty and staff of the UTHSC-H whose appointments require access to and manipulation of such on-line computer applications as The University Financial Information Management System (TUFIMS) or the PeopleSoft (PS) System must successfully complete a training course upon employment. Employees may not be assigned a user security authorization code until they have successfully completed this training. Mainframe training is coordinated through HR and provided by Information Services.

III. Team Effectiveness Training

UTHSC-H strongly recommends team effectiveness training for all employees participating as team members especially those working on "self-directed" teams. Teams training modules are customized for the different stages of team development: the beginning team, the team in conflict, the "normal" team, and the high performing team.

Human Resources offers team training in two-hour modules that can be offered over time to help a team become productive and effective. To review a list of topics, see the Training and Development web site of Human Resources.

Updated 10/01

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