paulette d. russell human resources, employee relations · warning violation of state or federal...
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ASPIRE Paulette D. Russell Human Resources, Employee Relations [email protected], 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