UNC Asheville Supervisory Development Discipline Grievance Discipline Purposes The State’s disciplinary procedures provide supervisors a method of disciplining empl by zou21348


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									UNC Asheville Supervisory Development:

Discipline & Grievance
            Discipline: Purposes
        The State’s disciplinary procedures provide
    supervisors a method of disciplining employees for:

Unsatisfactory Job                         Unacceptable
Performance                                Personal Conduct
                     Grossly Inefficient
                     Job Performance
      The program also ensures employees receive
      notice prior to dismissal or demotion.
     Policy Considerations

• Supervisors should contact HR prior to
  initiating formal disciplinary action.

• Disciplinary actions are inactive or void 18
  months from the date of the action if no
  further disciplinary action or suspension has
    How to Obtain Information
• The policy is available in Human
• Supervisors are trained in workshops, and
  individual sessions.
• The campus is invited to provide input
  before changes to UNC Asheville policies
** Policy interpretation for employees and supervisors
**Assistance to employees and supervisors
**Maintenance of records and reporting
         Covered Employees
• Career state employees
    Individuals employed for at least 24 months

• Employees “between” completion of
  probationary period and career status
    The probationary period is typically 9 months.
 Basis for Disciplinary Action
Unsatisfactory Job
Performance              Unacceptable
How the job gets done    Personal Conduct

Examples:                Examples:
•Poor Quality            •Stealing
•Insufficient Quantity   •Fighting
•Inaccurate              •Sexual Harassment
•Not on the job          •Intoxication
•Habitual Tardiness
Basis for Disciplinary Action
       Grossly Inefficient
       Job Performance
       Very substantial and
       serious in terms of
       expense and danger

       •Creating obvious
       health and safety
       •Carelessly providing lists of
       social security numbers
Types of Disciplinary Actions

  In addition to Written Warnings, Disciplinary
  Suspension Without Pay, Demotion and
  Dismissal are the other possible actions. Be
  sure to contact Human Resources before taking
  any of these actions.
   Types of Disciplinary Actions
Written Warnings
 Written Warnings are the most common form of
 disciplinary action. Be sure to contact Human Resources
 before issuing a Written Warning or any other disciplinary

  A Written Warning should include:
   –   Specifics about the situation
   –   Specific expectations and timeframes
   –   Consequences for not correcting the situation
   –   Dates for follow-up
    Pre-Disciplinary Conference

Before taking a Disciplinary Action (other than
Written Warnings), you should schedule a Pre-
Disciplinary Conference. This conference will
alert the employee of the situation and allow
him or her to prepare for a Disciplinary Action.
    Pre-Disciplinary Conference
• Provide the employee with written notice of the upcoming
  conference. Allow at least ½ business day between the Pre-
  Disciplinary Conference and the Disciplinary Action.
• Attorneys may not attend.
• Provide written notice of the impending Disciplinary
  Action during the conference. This notice should be
  specific enough to alert the employee about the situation.
• Provide an opportunity for the employee to respond.
• No witnesses may be present.
   Pre-Disciplinary Conference

Information exchanged during the Pre-
Disciplinary Conference will help you decide
what the ultimate Disciplinary Action will be.
           Disciplinary Actions
            After Conference
• Document the action in writing. The document
  should include:
   – Reason for the action
   – Effective date
   – Appeal Rights
• If the decision is to dismiss, provide the document
  (mentioned above) in person or send via certified
• For unsatisfactory job performance, the effective
  date for dismissal should be no later than 14
  calendar days after notice.
  Investigatory Placement
         With Pay
This is NOT a disciplinary action.
Investigatory Placement with Pay allows
supervisors time to:
– Investigate the situation
– Schedule and conduct pre-disciplinary
  conference, if necessary
– Avoid workplace disruption and preserve a
  safe work environment
            Grievance: Purpose

UNC Asheville’s grievance procedures allow for the prompt,
orderly and efficient resolution of problems and differences
arising between the supervisor and employee.
Grievance: Covered Individuals

Covered Individuals Include:
– Career SPA employees (employed 24 months)
– Former State Employees (for specific issues)
– Applicants for State Employment (for specific
– Any SPA State employee (for specific issues)
            Grievance: Policy
 The Grievance Procedures outlined here are not to
 be used for the following purposes, unless the
 employee is claiming illegal discrimination:
  – complaints regarding overall performance approval
  – the amount of any performance increase or
  – a failure to receive a performance increase

These complaints must be processed in accordance with the
Performance Pay Dispute Resolution Procedures for SPA
      Grievance: Policy
Warnings, placement on investigatory placement
with pay, and extensions of disciplinary actions are
not grievable unless the complaint of action is
allegedly the result of illegal discrimination or a
constitutional violation.

Matters relating to written warnings or
performance pay dispute and any other matters not
specifically set out in the State Personnel Act may
not be appealed to the State Personnel
  Grievance: Policy (continued)
• Matters of inherent management rights not subject to
  appeal except in cases of discrimination or constitutional
  violations. Examples include:
   –   Functions of the department
   –   Standards of service
   –   Staff assignments
   –   Use of technology

• Resolution is required within 90 days for cases involving
  discharge or demotion for disciplinary reasons or 120 days
  for all other issues.
Grievance: Procedure Overview

  The following slides briefly outline the four steps of the
  Grievance Process. For details on each of these steps,
  please see UNC Asheville Policy #43 (Grievance
  Procedure for Employees Subject to the State Personnel
  Act). A link is found within this module and is
  available from the Office of Human Resources.
 An employee is allowed time off from regular
duties as may be necessary and reasonable up to
a maximum of eight hours for the preparation of
   an internal grievance without loss of pay,
vacation leave or other time credits. Employees
  must notify their supervisor in advance and
  receive prior approval of the necessity to be
absent from work for preparation of the internal
Grievance: Procedures Overview
Step One Summary
• Employees submit an SPA
  Grievance Form to the supervisor
  within 30 calendar days.
• Supervisor should submit form to
  the lowest-level supervisor with
  decision-making authority (if not
  self) within 2 calendar days.
• Decision-making supervisor meets
  with the employee within 10
  calendar days and provides the
  complaining employee with a
  written response.
• A copy of the response is submitted
  to Human Resources.
 Grievance: Procedure Overview
Step Two Summary
• If the Step One decision is
  unsatisfactory to the employee,
  he/she may appeal to the next level
  supervisor within 10 calendar days.
• Following discussions with the
  employee, the supervisor issues a
  Step Two decision within 10
  calendar days of receiving the
  Grievance Form.
• A copy of the response is submitted
  to Human Resources.
   Grievance: Procedure Overview
Step Three Summary
• If the Step Two decision is unsatisfactory to the employee,
  he/she may submit an appeal (utilizing a Grievance Form) to the
  Director of Employee Relations within 10 calendar days.
• The Director of HR will schedule a hearing within 5 days of
  receiving the appeal. The notification of the hearing will take
  place 10 calendar days before the hearing is conducted. Only the
  employee, members of the Grievance Committee and parties
  involved may attend the hearing.
• The Grievance Committee will forward a written
  recommendation to the Chancellor within 10 calendar days.
• Within 10 calendar days of receiving the Grievance Committee’s
  recommendation, the Chancellor will provide the employee with
  the Final University Decision (or advise the employee as to why
  the decision is being delayed and when a response can be
    Grievance: Procedure Overview
Step Four Summary
•    The employee may file an appeal to the State Personnel
     Commission within 30 days following the Chancellor’s
•    The appeal is filed with the Office of Administrative
     Hearings (OAH).
** Policy interpretation for employees and supervisors
**Assistance to employees and supervisors
**Maintenance of records and reporting
 Neither the University nor the employee may be
  accompanied by any outside parties (i.e., legal
counsel, etc.) during the internal grievance process.
Discrimination Special Provisions

    Complaints based on age (above 40), sex, race, color,
    national origin, religion, creed, political affiliation,
    or disability condition may submitted directly to State
    Personnel Commission in Raleigh or the Equal
    Employment Opportunity Commission in Charlotte
    (within 30 calendar days).
Discrimination Special Provisions
  Exception for Workplace
   – Employees who wish to submit a formal complaint
     alleging unlawful harassment should file a signed
     Unlawful Workplace Harassment Form within 30
     calendar days of the last incident.
   – An employee alleging harassment may bypass any
     step that involves interacting with the alleged
   – The University will investigate and take appropriate
     action within 60 days of receiving the complaint.
      Inaccurate or Misleading
    Information in Personnel File

• Any employee regardless of length of
  service may file a grievance regarding this.
• Any employee may examine his or her
  personnel file upon request.
You have reached the end of this presentation.
For details on the policies mentioned in this
presentation, please visit the UNC Asheville
Human Resources website or call Human
Resources at 251-6605.

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