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ASPIRE Paulette D. Russell Human Resources, Employee Relations P.Douglas@uncc.edu, Ext. 7-0660

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

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

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Correct/improve performance and/or work behavior

Provide specifics to

employee Maintain consistency in

the work unit Document

Insubordination

Unacceptable Personal Conduct

Unsatisfactory Job Performance

Gross Inefficiency

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

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

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.

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

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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

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

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

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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

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

Oral Counseling Session (not considered as a formal disciplinary action)

Written Warning

Suspension without pay

Demotion

Dismissal

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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

A written statement of an unresolved incident of unsatisfactory performance

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)

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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)

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

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

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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

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

Involuntary termination of employment

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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

Advance notice Occurs between

Employee Relations Manager and Employee

No side may be

represented by attorney Security may be present

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

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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

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

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

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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

Type 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

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

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Performance record of employee

How have others been

treated Practices in work unit Recurring problem or

one time shot

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

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Provide for the orderly settlement of problems and differences

Formal review process

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

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

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

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

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

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

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

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.)

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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

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)

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

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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

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

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

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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

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

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

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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)

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

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

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University Must be filed within 15 calendar days

State Personnel Commission Must be filed

within 30 calendar days

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

http://hr.uncc.edu/http://www.osp.state.nc.us/manuals/dropmenu.htmlhttp://legal.uncc.edu/policies