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 occurred. Discipline: How to Obtain Information • The policy is available in Human Resources. • Supervisors are trained in workshops, and individual sessions. • The campus is invited to provide input before changes to UNC Asheville policies occur. ** 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 •Timeliness •Habitual Tardiness Basis for Disciplinary Action Grossly Inefficient Job Performance Very substantial and serious in terms of expense and danger Example: •Creating obvious health and safety Hazards •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 action. 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 Guidelines: • 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 mail. • 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 issues). – 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 ratings – 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 Employees. 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 Commission. 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. 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 expected). Grievance: Procedure Overview Step Four Summary • The employee may file an appeal to the State Personnel Commission within 30 days following the Chancellor’s decision. • 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. Grievance: 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). Grievance: Discrimination Special Provisions Exception for Workplace Harassment – 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 harasser. – The University will investigate and take appropriate action within 60 days of receiving the complaint. Grievance: 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. Congratulations! 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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