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.