Discipline and Grievance

Procedures
Aspire
Cindy Edwards

Goals and Objectives

Learn reasons for taking disciplinary action
Understand the importance of proper
documentation
Understand the key points in the
discipline/grievance process
Become familiar with UNC Charlottes policy and
procedure
Learn the steps in the disciplinary process

Purpose of Disciplinary Action

To provide a fair, clear and useful tool for
correcting and improving performance problems
as well as to provide a process to assist
management in handling instances of
unacceptable personal conduct

Why?
Correct/improve
performance and/or
work behavior
Provide specifics to
employee
Maintain consistency
in the work unit
Document

Just Cause
Insubordination
Unacceptable Personal Conduct
Unsatisfactory Job Performance
Gross Inefficiency

Unresolved Incident
Act of unacceptable personal conduct,
unsatisfactory job performance or grossly
inefficient job performance for which no
disciplinary action has previously been taken by
the agency

Insubordination
Willful failure or
refusal to carry out a
reasonable order from
an authorized
supervisor.

Examples of Insubordination
Receptionist is asked to assist a visitor and
refuses because she does not like to be
interrupted.
Mechanic is asked to take a state car for a test
drive to see what is wrong with it and refuses
because he doesnt think it is necessary.

Unacceptable Personal Conduct

Conduct for which no
reasonable person should
expect to receive prior
warning
Violation of state or
federal law
Willful violation of known
or written work rules
Falsification of
employment
documentation

Conduct unbecoming a
State employee that is
detrimental to State
service (including criminal
convictions)
Abuse of person over
whom the employee has
charge
Absence from work after
leave and benefits is
exhausted

Examples of Unacceptable
Personal Conduct
Swearing at a supervisor or subordinate
Falsification of employment or other
documentation (expense reports, work orders,
etc.)
Conviction of drug possession with intent to
distribute
Missing work without leave to cover the time
period

Unsatisfactory Job Performance

Work related performance that fails to
satisfactorily meet job requirements as set out in
the relevant job description, work plan, or as
directed by the management of the work unit or
agency

Examples of Unsatisfactory Job

Performance
Excessive absenteeism
Failure to complete assignments when they are
due
Excessive errors in completed work
Excessive call backs on repairs
Tardiness
Lost files/equipment due to disorganization

Grossly Inefficient Job

Performance
Unsatisfactory job performance that causes or
results in: (1) death or serious bodily injury (or
creates conditions that increase the chance for
such) to an employee(s) or other person(s) or
(2) the loss of or damage to state property or
funds that results in a serious adverse impact on
the State and/or work unit

Examples of Grossly Inefficient

Job Performance
Employee on a trip with a state vehicle drinks
and has an accident
Employee leaves a bank deposit containing
$10,000 cash on the sink in the restroom and it
is stolen
Employee leaves live wires exposed with no
warning signs posted and another employee
gets severe burns from touching

Types of Discipline
Oral Counseling Session (not considered as a
formal disciplinary action)
Written Warning
Suspension without pay
Demotion
Dismissal

Disciplinary Process Oral

Counseling
Recommended first response to unsatisfactory
performance
Supervisor conducts counseling session
Problem areas are identified and discussed
Improvement plan and time frame are discussed and
noted by supervisor
Supervisor maintains record of session
Not considered part of formal disciplinary process

Written Warning

A written statement of an unresolved incident of

unsatisfactory performance

Written Warning - Required

State it is a warning
Specific conduct or performance
Specific performance or conduct improvements
Indicate timeframe (if not included defaults to 60
days for unacceptable job performance and
immediately for grossly inefficient job
performance or personal conduct)

Written Warning - Continued

State consequences of failing to make required
improvements/corrections
Give appeal rights provided by agency policy or
state law
If second written warning, should encourage use
of Employee Assistance Program (EAP)

Written Warning Process

Supervisor prepares draft and forwards to
Employee Relations Manager
ER Manager reviews draft and makes any
recommendations and/or corrections
Approved draft is returned to Supervisor
Supervisor schedules time to meet with
employee

Written Warning Process

Employee and supervisor discuss warning
Supervisor gives employee copy of warning
Supervisor forwards final written warning to ER
Manager for inclusion in the employees
disciplinary file (kept separate from personnel
file)
Written warning remains active for 18 months
from date on warning

Suspension without pay

Employee is not permitted to work for a defined

period of time without receiving pay. Employees
are not permitted to apply leave toward a
suspension without pay
5 or 10 days

Demotion

Employee is subject to an action that lowers the

salary within their current pay grade or is placed
in a position at a lower pay grade, with or without
lowering the employees salary, involuntarily

Dismissal

Involuntary termination of employment

Suspension Without Pay,

Demotion, Dismissal
Supervisor submits memorandum to Employee
Relations Manager documenting just cause for
action
ER Manager determines if requested action may
be used as disciplinary action
ER Manager schedules a predisciplinary
conference with employee (giving advance
notice and the reason for the conference) to
discuss supervisors recommendation

Pre-Disciplinary Conference
Advance notice
Occurs between
Employee Relations
Manager and
Employee
No side may be
represented by
attorney
Security may be
present

Predisciplinary Conference
Employee is given oral or
written notice of
recommendation and a
summary of the
supporting facts
Employee is given an
opportunity to respond to
recommendation and
offer facts supporting
another course of action

Suspension Without Pay,

Demotion, or Dismissal
Decision is made after the beginning of the next
business day following the day of the
employees conference with the Employee
Relations Manager
Decision may be (1) approve supervisors
recommendation, (2) recommend lessor action,
(3) recommend more severe action
Employee and supervisor are notified in writing
of decision

Suspension Without Pay

Normally, either one or two weeks
Supervisor decides when employee will be on
suspension
Payroll is notified to reduce pay
Employee is expected to return to work on the
next business day following the last day of
suspension
Documented in employees disciplinary file

Demotion
May be with or without decrease in pay/salary
grade
Reflected in employees disciplinary file
May affect salary decisions in promotions or
reallocations if done within 12 months of
demotion

Dismissal
Two week notice is given if dismissal is for
unsatisfactory performance issues
Two week in lieu of notice may be paid
No notice is required if for personnel conduct or
grossly inefficient performance issues
Last day worked is considered separation date

Unsatisfactory Job Performance

Unacceptable Personal Conduct or Grossly

Inefficient Job Performance

Considerations in Applying
Discipline
Performance record
of employee
How have others
been treated
Practices in work unit
Recurring problem or
one time shot

Correcting Employee
Performance
Individually/Private
Ask for explanation
Focus on performance,
not employee
Opportunity to learn the
correct way
Review past work record
prior to talking with
employee

Check
policies/procedures
relating to issue
Look at long term, not
short term
Consistency
Dont apologize
Dont get emotional

Questions/Comments

Grievance and Appeal

Procedures
Provide for the orderly settlement of problems
and differences
Formal review process

Career Status Employee

Permanent position appointment
Continuously employed by the State of North
Carolina in a position subject to the State
Personnel Act for the immediate 24 preceding
months

Grieveable Issues

Demotion
Suspension
Dismissal
Reduction In Force
Illegal Discrimination
Denial of Promotional
Priority
Denial of Priority
Reemployment

Denial of Veterans
Preference
Denial of the removal
of false and
misleading
information from the
personnel file
Performance Pay

Grievance Procedures

Supervisor
Employee Relations Manager
Administrative Official
Hearing Panel
Vice Chancellor
Office of State Personnel/Administrative Law
Judge
Office of State Personnel/Personnel Commission

Grievance Process
Step 1 - Informal Discussion(s): Presented to
immediate supervisor within 15 calendar days
Referred to proper supervisory level within 2
working days
Verbal response given within 5 working days

Grievance Process
Mutual agreement by both parties that continued
efforts to resolve the grievance through informal
discussion(s) are worthwhile will automatically
suspend the time limited required for notification
of the Employee Relations Manager until an
impasse is acknowledged by either party or 10
additional working days have passed

Grievance Procedures
If employee cannot discuss the matter with
immediate supervisor, Employee Relations
Manager in HR department may be contacted
first

Grievance Procedures
Step 2 - Formal Grievance
Must be in writing, signed by employee
Must identify the policy or rule alleged to have
been violated
Must contain a concise statement of the facts
surrounding grievance
Must contain any remedy sought

Grievance Procedures
Upon receipt of a written grievance, the
Employee Relations Manager shall provide
grievant a copy of the current policy governing
the Grievance and Appeal procedures for SPA
employees
Grievance referred to appropriate administrative
official (Director, Department Chair, Dean, etc.)

Grievance Procedures
Meeting is scheduled with grievant within five
working days to be held within 15 working days
Written decision from administrative official
within 5 working days following meeting

Grievance Procedures
Step 3 - Review by Staff Grievance Committee
Requests for review must be submitted within 5
working days from administrative officials written
decision (or expiration of time permitted for such
a decision)

Grievance Procedures
After going through Step 1, career employees
who have been dismissed may proceed directly
to Step 3, review by Hearing Panel
Requests for review must be made within five
working days after immediate
supervisor/administrative officials response in
Step 1

Grievance Procedures
Career employees with permanent position
appointments may file a grievance requesting
that a performance evaluation/pay dispute be
reviewed by a Hearing Panel of the Staff
Grievance Committee
Submitted within 15 working days

Grievance Panel
Chancellor appoints
12 members, 4 of
which are designated
Hearing Chairs

Grievance Panel
Employee Relations Manager selects Chair and
two committee members to form panel
Panel selected within 2 working days
Includes at least two non-supervisory members
Grievant and person against whom grievance is
directed may each disqualify up to two of the
members selected

Grievance Procedures
Hearing held 8 to 13 working days following
notification to Hearing Panel
Meetings of Hearing panel are closed to public
Tape recorded transcript is kept
If decision is appealed grievant may request a
copy of tape
Hearing under control of Hearing Panel Chair

Grievance Procedures - Hearing

Hearing Panel, respondent, and grievant may
question all witnesses
Only evidence presented at convened meetings
will be considered in decision
Chair of Hearing Panel submits
recommendations within 3 working days to
appropriate Vice Chancellor
VC submits final written decision within 5 working
days

Grievance Procedures
Decisions regarding performance evaluation/pay
disputes are final and cannot be appealed to the
State Personnel Commission
Written warnings cannot be appealed to the
State Personnel Commission

Appeal to State Personnel

Commission

Career Status Employees

Must submit appeal within 30 calendar days
Heard before an Administrative Law Judge
Decision forwarded to State Personnel
Commission
Commission is authorized to remedy situation
(remedy is binding)

Unlawful Workplace Harassment

Grievant must submit a written complaint
to the Employee Relations Manager
(Human Resources) within 30 calendar
days of the alleged harassing action

Discrimination
Employment, promotion, or transfer was
denied or a demotion, layoff or termination
was because of age, race, sex, color,
national origin, religion, creed, political
affiliation or disability
Right to file a grievance directly with the
State Personnel Commission

Discrimination
University Must be filed within 15
calendar days
State Personnel Commission Must be
filed within 30 calendar days

Sources for Additional

Information
Human Resources Website - http://hr.uncc.edu
Office of State Personnel http://www.osp.state.nc.us/manuals/dropmenu.html
University Policy Statements http://legal.uncc.edu/policies

The End