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 Charlotte’s 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 doesn’t 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 employee’s 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 employee’s 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 supervisor’s 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 employee’s conference with the Employee Relations Manager

• Decision may be (1) approve supervisor’s 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 employee’s disciplinary file

Demotion

• May be with or without decrease in pay/salary grade

• Reflected in employee’s 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 PerformanceType of Disciplinary Action

Prior Incidents

Employee has:

A current unresolved incident of unsatisfactory job performance

At least one prior active warning or Other active disciplinary action

At least two active warnings or Two other active disc. actions or One active warning and one other disc. action

Pre-disciplinary conference

Warning Required Suspension without pay

Required Required Required

Demotion Required Required Required

Dismissal Required Required Required

Unacceptable Personal Conduct or Grossly Inefficient Job Performance

Type of Disciplinary Action

Prior Incidents

Employee has:

A current unresolved incident of unacceptable personal conduct or gross inefficiency

At least one prior active warning or Other active disciplinary action

At least two active warnings or Two other active disc. actions or One active warning and one other disc. action

Pre-disciplinary conference

Warning Required Suspension without pay

Required Required

Demotion Required Required

Dismissal Required Required

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• Don’t apologize• Don’t 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 Veteran’s 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 official’s 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 official’s 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