last updated: Thursday, November 18, 2004
There are several different categories under which employees separate from employment. They include death, disability (normal), disability (workers' compensation), layoff (classified service), non-renewal of term appointment, resignation, retirement, retrenchment (SUNY faculty and professional employees), termination during probation (classified service), termination for cause including job abandonment (disciplinary) and termination of "serve at the pleasure" appointments. There are some rules that apply to all separation categories as well as some that are unique to a specific category.
Most employees or their survivors are concerned primarily in the financial aspects of their separation from service while supervisors, human resources officers and payroll officers are concerned that they properly advise separating employees or their beneficiaries and that proper procedures are followed to ensure the protection of the rights of both the employees and the employer when separation from employment events occur. One of the most frequent critical questions separating employees or, in the case of death, their survivors, always ask relates to the period of health insurance coverage available following the separation from service if the employee was eligible for and participated in that benefit. So, since this question relates to all categories of separations, we will provide a general answer to this question first.
Health Insurance Coverage Following Separation From Service
Health Insurance coverage for eligible participants remains in effect for 28 days past the last day on the payroll and may be continued for a period of time under COBRA if the employee pays the full cost of the premium. Information about COBRA will be sent automatically by the Health Insurance Unit of the Department of Civil Service to eligible covered employees or their named beneficiaries following the reporting of the separation or death by the campus. If participating employees meet the eligibility requirements for vesting their health insurance (ten years of service) but are separating for reasons other than retirement, they should discuss the pros and cons of vesting with the Human Resources Office.
This manual is designed for a broad reading of information on a given topic from the Table of Contents but recognizes that some individuals might visit this page for information about a specific type of separation from service. Therefore, a table of links to the specific separation categories is provided here. It should be noted however, that visitors may be served best by reading this whole Separations section which contains information about each of the separation categories listed above in the same alphabetical order.
| Death | Resignation |
| Disability | Retirement |
| Job Abandonment | Retrenchment |
| Layoff | Termination for cause |
| Non-Renewal of Term | Termination of "At Pleasure" |
| Probationary |
Death
When employees
die while in service, the Human Resources Office will notify the survivor of
record regarding the handling of the final paycheck, any death benefits, and
eligibility for the continuation of benefits, if any.
The deceased employee will be removed from the payroll effective the date of death. When the death occurs during a pay period, paychecks have to be returned for correction unless the deceased employee had sufficient and appropriate leave credits that would cover the balance of the pay period. However, this is usually not necessary because the State's lag payroll system alleviates this problem in most cases. Upon receiving word of the death of an employee, the payroll office will immediately determine what payments are appropriate (balance of contract, payment of vacation and overtime accruals, etc.), process such payments, and remove the employee from the payroll.
If an employee dies while on the State payroll, the unremarried enrolled spouse and enrolled dependent children will continue to receive health insurance coverage without charge for five biweekly payroll periods beyond the payroll period in which the last health insurance premium was taken. The unremarried spouse and eligible dependent children may be allowed to continue their health insurance coverage after the extended benefits period ends. The survivor will receive information about extended benefits from the Health Insurance Unit of the Department of Civil Service. When survivors are eligible for dependent survivor coverage but choose not to participate, or fail to make the required payments, coverage will end permanently. They may not re-enroll.
In cases of the death of an employee while in service, the Human Resources Office will:
In addition to the normal survivor's benefit, an employee who dies as a result on an accidental on-the-job injury may be eligible for a $50,000 death benefit as well as a Workers' Compensation death benefit providing that their are no outstanding claims against the state from the employee or his/her estate. Another on-the-job accidental death benefit is that dependent children of the deceased admitted to the State University of New York (SUNY) may be eligible for full tuition reimbursement. In the case of employees designated managerial or confidential, such children may be eligible for full tuition reimbursement at SUNY or full tuition, up to the amount charged by SUNY, while attending another accredited institution.
[See "Death
of an Employee…" under references at the end of this section for additional
guidance.]
Disability
(Normal) and (Workers' Compensation)
Before an employee voluntarily separates from service for reasons
of disability the Human Resources Office will review with them their eligibility
for filing for disability retirement, and, in the case of members of the professional
staff only, their eligibility for long term disability benefits. Usually when
there is no question about the existence of a disability claimed by an employee
and documented by his/her physician(s), employees will be given the option to
exhaust all leave accruals and salary continuation options before they are removed
from the payroll although this is not absolutely required if it is determined
that the disability is permanent with no hope for the employee to ever return
to duty. Depending on their category of employment, length of service, and other
factors, employees may have the option of continuing some benefits if they have
to separate from service because of disability. If a disability occurs, employees
or their caregivers should contact the Human Resources Office for specific information.
On occasion, the appointing authority may have evidence that leads her/him to conclude that an employee is no longer able to perform the essential duties and responsibilities of his/her position because of a disability but where the employee seeks to continue employment.
For classified service employees, sections 71, 72, and 73 of Title A, Article 5 of the Civil Service Law provide authority and guidelines for the certification of disabilities, the placement of employees on disability leave, and/or the termination of employees by reason of disability, along with the employee's appeal rights and reinstatement rights. Section 71 gives directions for the handling of leaves and terminations relating to work related disabilities including those resulting from an assault sustained in the course employment
For unclassified service employees (SUNY professional staff), the Policies of the Board of Trustees and the collective negotiating agreement for the SUNY Professional Services negotiating unit contain provisions for the handling of disability leaves.
Links to these resources are available under "Disability Separations" under references at the end of this page.
Generally, if a College seeks to terminate an employee because of disability, the following steps must be followed:
Employees placed on leave for disability leave must be clearly informed of the process for seeking reinstatement should their disability cease during such leave. Likewise, when the maximum period of leave associated with a disability ends (usually one year for classified service except in the case of a job related disability resulting from an assault which requires a two year leave and up to five years for a member of the professional staff on long term disability) the employee must be given notice prior to the expiration of the leave period that they will be terminated when the maximum period ends. Such notice should include the process and time limitations for requesting reinstatement in the event that the disability ceases to exist.
In those cases where the employer seeks to separate an employee from service based upon disability where the employee himself/herself does not concur with this determination and has not provided his/her own documentation of disability, it is imperative that SUNY HR Officers contact the SUNY Office of Employee Relations, and, in addition, maybe the Department of Civil Service if the disabled employee is in the classified service, before taking any action. The process and its documentation are essential to ensuring that employee rights are clearly stated and offered, that the appropriate process has been followed, and that the campus can prove its concern for these rights and processes if required to do so.
Separating an employee for a true disability is one of the most difficult processes faced by a Human Resources Officer. Often it is the case that a long-term employee who has an exceptional performance record becomes disabled. It is often heart wrenching for other employees, including appointing authorities, supervisory staff, and HR professionals to take action to remove such employees from the workplace. Yet, the workplace does require that employees be ready, willing, and able to perform the essential duties and responsibilities of their positions, not just at initial appointment, but throughout their careers. Fortunately, most employees recognize when they can no longer do their jobs, but, sadly, others either do not recognize that their disabilities have made them incompetent, or for financial or other reasons, they are unable to act and disability separation procedures must be invoked.
| Note: The tests used to determination eligibility for disability benefits from social security, the employee's retirement system/program, and the long term disability program for professional staff all have different standards. It is therefore possible, for example, for a professional staff member to be eligible for benefits from the long term disability carrier while being denied benefits from social security. |
Job
Abandonment
When employees are absent without authorization for an extended period of time
and the employer is unable to communicate with them through reasonable efforts,
it may be asserted that such employees have abandoned their jobs. The subject
of "job abandonment" is addressed in some, if not all, of the collective
negotiating agreements covering represented employees. A link to the agreement
language contained in the CSEA agreement is provided as an example in the references
at the end of this section. The appropriate collective negotiating agreement
should be referenced by the employer's representative before separating an employee
from service because of job abandonment. It is important to note that an employer
should not use job abandonment procedures if the whereabouts of the employee
is known and communications with the employee is possible. For example, if it
is known that an employee has been imprisoned, the employee's absence can be
accounted for and, although not for "good cause", is beyond the employee's
control. If the employer seeks to terminate the employee for cause in such case,
a notice of discipline should be issued to the employee instead of using job
abandonment procedures. To qualify for job abanonment, an employee's absence
must be totally unauthorized and the whereabouts of the employee totally unknown
by management or its representatives including supervisors and even fellow employees
with information to share.
Layoff
(classified service employees)
Most importantly, layoffs or retrenchments cannot be implemented without
first submitting a reduction-in-force plan to the SUNY Office of Employee Relations
which will consult with the campus, and with the Department of Civil Service
as necessary if classified service employees are affected, before approving
the plan.
If it were ever to become necessary, employees affected by layoff will be provided
appropriate advance notice, will be apprised of their retreat or bumping rights,
and will be given an appropriate period of time for exercising their rights
in advance of their removal from the payroll. Where the end result for an employee
serving on a permanent appointment is a separation from service, such employee
may be: (1) eligible for unemployment, (2) eligible for the continuation of
health insurance for one year, and (3) eligible for placement on a preferred
list or reemployment roster. The Human Resources Office will provide appropriate
information to affected employees if layoffs should ever become necessary.
The order for layoff in
the classified service is determined by title and seniority date within the
unit(s) targeted for staff reduction(s). Seniority is the length of
uninterrupted permanent service in the State classified service.
Non-renewal
of term appointment (Academic Employees and Professional Employees)
A term appointment is an appointment for a specified period of generally not
more than three years. Some exceptions exist allowing term appointments of up
to five years duration to certain titles identified in either Appendix A or
Appendix B (Article XI) of the Policies of the Board of Trustees of the State
University of New York. While no term appointment, of itself, shall be deemed
to create any manner of legal right, interest or expectancy in any other appointment
or renewal, employees serving on term appointments must receive appropriate
advance notice before their term ends if they are not going to be reapppointed.
Employees separated from service when their terms expire will be paid any amounts
due to them (balance of contract and/or accruals). If they participate in health
insurance, they will continue to be covered for 28 days (2 pay periods) beyond
their last date on the payroll.
Generally, employees separated
from service as a result of the end of term appointments have been eligible
to apply for and receive unemployment benefits as long as they are otherwise
unemployed.
Probationary Termination (classified service)
All permanent appointments to positions in the classified service require the
satisfactory completion of a probation period. Since the selection of candidates
for a particular job is not a perfect process, managers sometimes select applicants
who are not able to perform the specific job duties satisfactorily. Likewise,
applicants sometimes choose jobs for which they are not really suited. During
the probationary period the supervisor should share his/her view of the new
employee's "fit" to the job and, if there are performance weaknesses,
should apprise the new employee of what needs to be done to correct deficiencies.
After a reasonable period (minimum probationary period is usually 8 weeks),
and, after the new employee has been advised of weaknesses, a probationary employee
may be terminated if the supervisor/manager has determined that s/he is not
suitable to the particular job.
A probationer whose services are to be terminated is entitled to receive written notice at least one week prior to such termination and, upon request, is entitled to an interview with the appointing authority. This does not mean, however, that the appointing authority must state specific reasons for the termination of a probationer.
Eligible employees separated from service during probation will be paid all that is owed to them including any authorized payment of leave accruals and lagged payroll payments. If otherwise eligible, they may also apply for unemployment benefits. Like many other separating employees, if they are participating in the health insurance program, there coverage will continue for 28 days (two pay periods) beyond their last date on the payroll and they will receive COBRA information directly from the Health Insurance Unit in the Department of Civil Service about their eligibility for continuing coverage.
Probationers who are terminated or resign before the end of the probationary term, may request to have their names restored to the eligible list from which they were appointed, if it still exists. Names may be restored to the list, if the Department of Civil Service determines that a second opportunity for appointment is warranted.
Resignation
Resignations should be submitted in writing addressed to the employee's immediate
supervisor or unit head, or other officer in accordance with procedures established
on the campus. Concurrently, a copy should be sent to the Human Resources Office.
The close of business on the last day/shift worked is the date that employees
should use as the resignation effective date.
Classified employees should submit their resignations at least two weeks before the resignation effective date. A 30-day notice of resignation is requested of members of the professional staff. The requested notice periods provide the campus time to ensure the timely processing of the resignation, including the collection of attendance reports, verification of the return of State property, and processing of final paychecks, among other requirements.
Retirement
Except for participants in the Optional Retirement System (ORP--ING, MetLife,
TIAA-CREF, Valic), employees eligible to retire must submit their letters of
intent to retire and file their retirement application with the appropriate
retirement system (ERS/TRS) 30 to 60 days before their retirement effective
date. Since optional retirement participants may delay the commencement of the
payment of their retirement benefits, they do not need to notify the retirement
system until from 30 to 60 days before they wish to start drawing benefits.
However, they should submit their letters of intent to retire to their campus
as soon as possible. Letters of intent to retire should be addressed to the
immediate supervisor or unit head or other officer in accordance with campus
procedures with a copy sent to the Human Resources Office.
Employees in the SUNY Professional Service who retire in good standing shall be entitled to append the term "Emeritus" to the title of their academic or administrative post and may be eligible for other privileges in accordance with campus practices and availability of privileges. Campus should determine what emeritus-status means and notify retirees accordingly.
Retrenchment
(SUNY Professional Staff Represented by a Collective Bargaining Agent)
Most importantly, layoffs or retrenchments cannot be implemented without
first submitting a reduction-in-force plan to the SUNY Office of Employee Relations
which will consult with the campus, and with the Department of Civil Service
as necessary if classified service employees are affected, before approving
the plan.
If it were ever to become necessary, professional staff affected by retrenchment
will be provided appropriate advance notice, will be apprised of any bumping
rights, and will be given an appropriate period of time for exercising their
rights in advance of their removal from the payroll. Where the end result for
an employee serving on a continuing, permanent, or term appointment is a separation
from service, such employee may be: (1) eligible for unemployment, (2) eligible
for the continuation of health insurance for one year, and (3) eligible for
special consideration for reappointment at their campus or at other SUNY campuses
in accordance the Agreement between the State of New York and United University
Professions. A link to this section of the agreement that includes procedural
requirements, the definition of seniority and the order of retrenchment in included
under "Retrenchment..." under references at the end of this section.
The termination of "at
pleasure" appointees and the non-renewal of term appointees does not meet
the definition of retrenchment even if the reason for the terminations and non-renewals
is results from organizational changes or financial exigencies. However, retrenchment,
and special considerations do apply in cases where a term appointment is interrupted
-- e.g. a person serving on a three-year term must be terminated before the
date of expiration of the term.
Following confirmation
of the need for the reduction-in-force and the approval of the plan by the SUNY
Office of Employee Relations the campus must implement the plan in accordance
with appropriate SUNY and/or Department of Civil Service procedures. The Human
Resources Office will provide appropriate information and assistance to affected
employees following implementation of the retrenchment/layoff plan.
Termination
"For Cause" including job abandonment (Disciplinary)
Except for extreme misconduct or incompetence, "termination for cause"
will follow attempts by management to correct an employee's unacceptable behavior
or performance shortcomings through formal evaluation, counseling, training,
and the application of progressive discipline. When these efforts have failed
and management seeks to terminate an employee whose title is covered by a collective
bargaining agreement for cause, the employee will be issued a Notice of Discipline
(NOD) in accordance with the negotiated disciplinary procedure contained in
the appropriate agreement. For employees serving in classified positions not
represented, discipline will be imposed in accordance with the disciplinary
process provided by the State. SUNY professional staff designated managerial/confidential
"serve at the pleasure" - thus they may be terminated at will and
there is no defined disciplinary procedure for them.
For covered employees, disciplinary processes ensure that "due process" is achieved. An NOD will state the specific charges of misconduct or incompetency including time, places and dates where appropriate; the proposed penalty; the appeal process; and a statement that if the right to appeal is timely executed the penalty cannot be implemented until the matter has either been settled or the penalty has been upheld by an independent arbitrator.
Under State rules, it is possible that some employee benefits, including payment for the balance of vacation credits, could be forfeited when employees are terminated for cause. However, this would be spelled out in the NOD and could be modified either through a settlement or the decision of an arbitrator. Regardless of the penalty proposed, employees will receive payment for all time actually worked, including lagged pay, even if terminated for cause, unless specifically limited in the proposed and final penalty.
Generally employees who are terminated for cause are not immediately eligible for unemployment insurance. Questions relating to eligibility for unemployment insurance following a termination for cause should be directed to State's local unemployment office.
Termination
of "serve at the pleasure" appointment
"Serve at the pleasure" appointments refer to "temporary"
appointments, appointments of Graduate and Teaching Assistants, and appointments
to SUNY professional staff/administrative positions not represented for the
purpose of collective bargaining. By definition, these appointments may be terminated
"at the pleasure" of the appointing authority.
As a general statement, if "serve at the pleasure" appointees have served at least six months at the time of separation, they will be eligible for authorized payment for accruals and lag pay, and, if participating, their health insurance coverage remains effective for 28 days beyond their last date on the payroll. Depending on their retirement system membership and length of service, they may be eligible to vest health insurance and their retirement program. For additional information, contact the Human Resources Office.
If it is clear that "serve at the pleasure" appointees are truly being separated from service (i.e., part-time faculty are not being reappointed the following semester), they may be eligible for unemployment benefits.
Questions
and Answers
Here are some answers to the most frequently asked questions received from separating
employees or their beneficiaries.
How will I be paid for the 5-day lag (salary withholding and lump sum payment program)?
Employees, except those represented by UUP, Council 82 and NYSCOPBA have an amount equal to pay for one day (10% of the regular gross biweekly amount due) withheld from each of the first five paychecks. Upon separation from service employees receive pay for the five days in their last check at their current rate, or the rate at which the deductions were withheld, whichever is highest.
How will I be paid for the two-week lag?
All employees, are lagged one two-week payroll period when they are first employed, or upon return from leaves without pay. This lag is just a delayed placement on the payroll. For example, employees hired on March 1, 2001, a date that begins a pay period, would actually be placed on the payroll on March 15, 2001 and receive their first paychecks 14 days later on March 28, 2001. However, the check paid on that date would be for the 14-day period from March 1, 2001 through March 14, 2001. This process is reversed when employees separate from service and they stay on the payroll an additional 14 days beyond their last day of work in order to receive their lag. Treatment of employees paid on an annual salary basis over 12 months (CAL or CYF) with less than 12-month obligations create some confusion. If this applies, check out the Frequently Asked Questions section under Payroll in this in this handbook.
Will I be paid for my balance of personal leave?
(classified service employees only.)
Personal leave credited on the anniversary date of eligible classified service employees is a "use it or lose it" benefit. The credits do not carry over from year to year and there is no payment for them upon separation from service.
Will I be paid for my balance of vacation leave?
Employees who are eligible to earn vacation credits and have balances remaining when they separate from service, or their estates, may be paid for up to 30 days of their balances of vacation credits. If the separation from service is related to death or retirement, the vacation balance up to 30 days will be included in the final "lagged" check. For other separation categories, the payment will be made at the end of the 3rd pay period following separation from service. However, it should be noted that employees who separate from a SUNY campus to accept positions with other State or SUNY units, will not be paid for their vacation accruals, but, instead, all appropriate leave credits will be transferred to the new State payroll agency.
[Note. Under certain circumstances, and with the approval of the Human Resources Office, employees may be allowed to stay on the payroll to use up to 30 days of vacation accruals after their last day of work with the understanding that they will not be entitled to accrue, or be paid for, any additional credits, including holidays, following their actual last date of work. However, employees leaving to accept other State employment must be removed from their current payroll before they may be added to their new employer's payroll.]
Will I be paid for my credited compensatory overtime?
Eligible separating employees are paid for all compensatory overtime credits in accordance with the same payment schedule that applies to vacation credits.
Will I be paid for holiday compensatory time?
Depending on their category of employment, when employees eligible to observe holidays are required to work on designated holidays, they either receive holiday pay (classified service employees who do not have a holiday pay waiver on file), or accrue holiday compensatory time. Holiday compensatory credits are not paid when employees separate from service, although if time permits, SUNY campuses may allow employees to exhaust such credits prior to their separation from service.
Will I be paid for my sick leave balances?
Sick leave is provided as a protection against loss of income that could result from illness or disability. As such, sick leave credits are not compensable when an employee separates from service. However, for employees who retire and are otherwise eligible, their sick leave credits may be applied towards the payment of their share of the health insurance premium in retirement. Also, eligible employees who are members of the New York State Employees' Retirement System (ERS), may be eligible to receive some additional days of retirement service credit from their sick leave balances that can improve their retirement benefit. Retiring employees should contact the Human Resources Office for additional information regarding how sick leave credits benefit eligible retirees.
How long will my health insurance remain effective?
Health Insurance for enrollees will generally remain effective for 28 days (two pay periods) beyond the separating employees last day on the payroll. During that period, the Health Insurance Unit in the Department of Civil Service will provide the enrollee an opportunity to continue coverage by paying the full premium cost under the Consolidate Omnibus Reconciliation Act of 1985 (COBRA).
Under certain circumstances employees may continue coverage for a specified period by paying only the employee share. These circumstances include employees laid off (classified service employees), retrenched (professional staff), or certain employees when placed on disciplinary suspension without pay.
Employees with 10 or more years of consecutive State service may be eligible to vest their Health Insurance Benefit. Employees under age 55 may continue to participate by paying the full premium until age 55. Thereafter, as vested employees, they may continue by paying only the employee share of the premium. If employees think they qualify they should contact their Human Resources Office.
What happens to my Retirement Program and the amount, if any, that I have paid?
Separation Checklist (See forms below for MSWord or pdf or html versions)If you are vested (5 years of service credited in either the NYS Employees' Retirement or NYS Teachers Retirement systems, OR 13 months in the Optional Retirement Program [Aenta, MetLife, TIAA-CREF, Valic]), your retirement benefit will remain in effect and you may claim it when you retire. If you are not vested, you may request that your 3% contribution (Tiers 3-4) be refunded to you. If necessary, contact the Human Resources Office.
Employees separating from service and their supervisors can ensure the timely release of final paychecks and appropriate forwarding of mail, including the W-2 form at the end of the year, by reviewing the following separation checklist and making sure all obligations are satisfied.
Reference(s):
Death
of an Employee - Separations and Leaves, NYS State Personnel Management
Manual
http://www.cs.state.ny.us/SSD-online/Manuals/SPMM/2200SeparationsLeaves/2236%20Death%20of%20Employee%20TM-9.htm
Disability Leave/Termination
Classified ServiceSUNY Professional StaffArticle 5, Title A. Sections 71, 72, and 73 NYS Civil Service Law
http://assembly.state.ny.us/leg/?cl=18&a=13SUNY Policies of the Board of Trustees - Article XIII, Title G
du/Board_of_Trustees/PDF/Policies.pdf
Article 23, paragraph 23.8 of the UUP Agreement
http://www.goer.state.ny.us/cna/1999to2003/uuppsnu/08art23.html#23.8
Job
Abandonment (CSEA Agreement)
http://www.goer.state.ny.us/cna/1999to2003/cseaasu/02art36.html
Reductions
in Force - NYS Department of Civil Service (Classified RIFs/layoffs)
http://www.cs.state.ny.us/SSD-online/Manuals/RIFGuidelines/Main%20Pages/Table%20of%20Contents.htm
Retiree
Resources
http://www.cs.state.ny.us/successionplanning/workgroups/RetireeResources/retireeresources.html
Retrenchment
- SUNY Academic and Professional Employees
http://www.goer.state.ny.us/CNA/1999to2003/uup/article_35.html (old)
http://www.goer.state.ny.us/cna/1999to2003/uuppsnu/08art35.html
Separation from Employment Checklist for employees (MSWord fill-in ) or (HTML) or (PDF non fill-in) or (PDF fill-in)
SUNY
Policies of the Board of Trustees, (Article XIV)
http://www.suny.edu/Board_of_Trustees/PDF/Policies.pdf
Survivor's
Guide - for the Survivors of Deceased Employees (NYS Department of Civil
Service)
http://www.cs.state.ny.us/pio/Survivor%20Benefit/survivorbenefit1.htm#anchor54462