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 Performance
Type of
Disciplinary
Action
Employee
has:
Prior Incidents
Warning
Required
Suspension
without pay
Demotion
Required
Required
Required
Required
Required
Required
Dismissal
Required
A current
unresolved
incident of
unsatisfactory
job performance
At least one
prior active
warning or
Other active
disciplinary
action
At least two
Pre-disciplinary
active warnings conference
or Two other
active disc.
actions or
One active
warning and
one other disc.
action
Required
Required
Unacceptable Personal Conduct or Grossly
Inefficient Job Performance
Type of
Prior Incidents
Disciplinary
Action
Employee
has:
A current
At least one
unresolved
prior active
incident of
warning or
unacceptable
Other active
personal
disciplinary
conduct or gross action
inefficiency
At least two
Pre-disciplinary
active warnings conference
or Two other
active disc.
actions or
One active
warning and
one other disc.
action
Warning
Required
Suspension
without pay
Demotion
Required
Required
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