Human Resource Services
Policy Manual for Staff Employees
SECTION 7 - Employee Relations, Disciplinary Process, Grievance/Appeals
SPA
GRIEVANCE POLICY & PROCEDURES
UNCG HRS
Effective: April 21, 2004
Revised: February 27, 2009
STATEMENT OF POLICY
The University of North Carolina at Greensboro encourages employees to bring forward concerns about work-related issues in a constructive and orderly way. Employees should actively seek resolution of grievances within their work units by initiating discussions of their concerns with their immediate supervisors within reasonable time frames. Should direct communication between an employee and the supervisor not produce a resolution of an employee's concerns, the employee has available a formal grievance procedure designed to provide a fair review of the matter and to stimulate recommendations for the resolution of the grievance. An employee who has access to the grievance procedure shall initiate the grievance procedure no later than thirty calendar days after the last act which constitutes the basis of the grievance. The completion of the internal process for a final University decision should be made within 90 days of demotion or dismissal for just cause and 120 days for all other grievable issues.
This policy covers all "career State employee." A "career State employee" means (effective July 1, 1996) a State employee who: (1) is in a permanent position appointment; and (2) has been continuously employed by the State of North Carolina in a position Subject to the State Personnel Act for the immediate 24 preceding months. This policy also covers former employees in this category who bring forward a grievance based on an event which occurred during employment if it is brought within a reasonable time after that event, normally no longer than thirty days after the incident(s) leading to the grievance.
**Note: Employees who have been employed less than 24 months and in a permanent position appointment may appeal actions through Step Three of this policy.
The University Employee Relations Committee, is established to hear appeals of grievances brought under this policy. Fifteen members are appointed by the Chancellor with representation to reflect the various job groups of the University as defined under the University's Affirmative Action Plan. The Associate Vice Chancellor for Human Resource Services or his/her designee serves as ex officio (non-voting) member of the committee. Final authority for resolving disputes involving employees covered under this policy has been delegated by the Chancellor to the appropriate Vice Chancellor/Provost.
In order that employees may express their opinions and views freely and responsibly, this policy prohibits any act of reprisal, including internal interference, coercion, and restraint, of a University employee or of one acting on behalf of the University. Such acts of reprisal constitute in themselves violations of this policy and will result in prompt disciplinary action.
A copy of this statement of policy and procedures is kept in an accessible form in all University unit offices and is available in the online HRS Staff Policy Manual. For items deemed grievable, a copy of the grievance procedure will be provided to the employee.
In addition, supervisors should regularly review the terms of this policy with employees. The Department of Human Resource Services is available to consult with employees and supervisors about any aspect of this policy and its procedures. The grievance policy will be reviewed annually for compliance with state policy.
COORDINATION WITH OTHER UNIVERSITY POLICIES
A separate process exists for the appeal of performance management ratings and performance pay matters. Information on this process is available in the Department of Human Resource Services or in online HRS Staff Policy Manual. However, in the case of a complaint of discrimination on the basis of race, color, religion, sex, national origin, physical or mental disability or age in the determination of a performance rating or performance pay decision, this "Grievance Policy and Procedures for Staff Employees Subject to the State Personnel Act (SPA)" does apply. If a person chooses to appeal to the State Personnel Commission, he/she must do so within 30 calendar days, however, if a person chooses the internal process the appeal should be made within 30 calendar days.
This policy coordinates with the "Workplace Harassment Policy (.pdf)," "Policy on Reasonable Accommodation on Disability (.pdf)," and the "Policy on Undue Favoritism." Those policies include some additional features unique to claims based on workplace harassment, undue favoritism, and disability condition(s); and should be consulted by the grievant and persons reviewing the case. The staff of the Department of Human Resource Services can provide copies of these policies and procedures and information on how they may apply in particular situations.
ACCESSING THE EMPLOYEES PERSONNEL FILE
An employee may access his/her personnel file by calling the Department of Human Resource Services and making an appointment to view file.
PROCEDURES
Basis for a Grievance
- A grievance under this policy may be based on one or more of the following:
- suspension
- dismissal
- reduction in force**
- reduction in pay
- disciplinary demotion
- allegations of inaccurate or misleading material in personnel file
- unauthorized examination or copying of confidential material in personnel file
- failure to post a notice of vacancy when required by State law
- failure to accord priority consideration in promotion when required by State law
- allegations of discrimination because of age, sex, race, color, national origin, religion, creed, political affiliation, or disabling condition as defined by State law
- denial of priority reemployment
- and all others that are covered by general statute as noted in section 126-34.1 to include ADA, ADEA, FMLA and FLSA as contested case issues.
- denial on a request for reasonable accommodation (employee and applicant)
**Note: A career state employee who is separated due to reduction in force can appeal to the State Personnel Commission only upon the following two grounds: (1) that the reduction in force was in retaliation for the employee's opposition to alleged discrimination on account of the employee's age, sex, race, color, national origin, religion, creed, political affiliation, or handicapping condition as defined by Chapter 168A of the General Statutes or (2) denial of the veteran's preference granted in accordance with Article 13 of Chapter 126 of the North Carolina General Statutes for an eligible veteran as defined by G.S. 126-81.
- A grievance under this policy may not be based on any matter not included in the list above. For example, a grievance may not be based on any of the following:
- performance ratings and salary adjustments based on performance ratings except when discrimination is alleged (Grievances relating to these matters proceed under "Guidelines for Appeals Process for Performance Management and Performance Pay Programs," a copy of which is available in the Department of Human Resource Services.)
- job and shift assignments and reassignments that do not affect salary or classification
- required overtime assignment
- disapproval of leave request
- disciplinary warning
- departmental functions, programs, and budgets
- requests for reclassification to equal and higher level
CONFIDENTIALITY
Information generated in the course of either informal or formal reviews of grievances brought under this policy will be given the full extent of confidentiality accorded by law.
Any person who, without authorization, reveals such information will be subject to disciplinary action.
LEGAL COUNSEL
Legal counsel for the grievant may not be present at any stage of the internal grievance process, though the grievant may have ongoing consultation with counsel as desired. The grievant may have full assistance of legal counsel in pursuing an appeal to the State Personnel Commission.
ASSISTANCE OF A "FELLOW EMPLOYEE"
The University of North Carolina at Greensboro encourages a more confident and effective use of the grievance system by allowing the assistance of a "Fellow Employee" to the grievant if they so desire. A "Fellow Employee" is an employee on campus that the grievant has requested to be with them during a grievance hearing to provide some margin of comfort during this process.
The "Fellow Employee" would merely assist the grievant during campus-based hearings and not act as the representative of the grievant. This volunteer would be permitted to serve only in an advisory capacity, not as an advocate or spokes person at anytime during the process. This advisory capacity would include assisting the employee in preparation for the hearing and meeting with the Employee Relations Specialist prior to the hearing, if needed. Reasonable time away from work to attend the hearing would be allowed.
This policy would not permit persons other than a "fellow employee" to be present at the hearing with the exception of witnesses for the grievant. This policy does not constitute University recognition, endorsement or support of any attorney-client relationship, remunerated or otherwise, that the aggrieved employee might choose to establish, in those instances where the fellow employee chosen by the grievant happened to be an attorney.
An employee who agrees to support another employee in a hearing will be protected from retaliation from their supervisor, co-workers, etc. for performing this role. Also, the University will recognize the confidential relationship between the volunteer and the grievant. Thus, it should be understood that the University recognizes that confidential relationship and cannot request the volunteer to divulge information that would violate that confidential relationship with the following exception. If during the course of offering assistance as a "fellow employee," the "fellow employee" is required to disclose this information.
USE OF WORK TIME FOR A GRIEVANCE PROCEDURE
The grievant will be allowed such time off from regular duties as may be necessary and reasonable for the processing of a grievance without loss of pay, vacation, or other time credits, provided that normal leave procedures are followed. This amount of time will not exceed eight hours for the total grievance process through the final step. 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.
INFORMAL PROCEDURE
Before bringing a formal grievance, an employee must initiate discussions with the immediate supervisor. A written complaint is not necessary in the informal stage. During the informal procedure, the employee discusses the grievance with the immediate supervisor, however, the grievance must be filed within 30 calendar days of the incident that initiated a formal grievance.
FORMAL PROCEDURE
Step One - Written Notification by Grievant to Immediate Supervisor
(When the grievance is based on a dismissal, the grievant should proceed directly to Step Two.)
If the matter concerns workplace harassment, undue favoritism, or reasonable accommodation and the immediate supervisor is the one being accused, the employee may go first to that person's supervisor. If there is a resolution at the informal stage, the supervisor of the accused person must issue a confidential report of the outcome to senior administrators. The statement, "Workplace Harassment Policy," "Policy on Undue Favoritism," and "Policy on Reasonable Accommodation" is available in the Department of Human Resource Services and should be consulted for details on handling the informal steps of a grievance based on workplace harassment, undue favoritism, or reasonable accommodation. Where the grievance does not fall within the administrative or decision-making authority of the immediate supervisor, the immediate supervisor shall, within 48 hours of receipt of the grievance, refer the grievance to the lower level supervisor with administrative or decision-making authority over the subject matter of the grievance and notify the employee of the fact of and the basis for the referral. In this step the grievant must prepare a written statement about the nature of the grievance. At minimum, it must contain the following: (1) an identification of the basis or bases of the grievance; (2) a description of events or circumstances that support the basis of the complaint, along with copies of related materials and correspondence; (3) a statement that informal discussions have taken place between the grievant and the immediate supervisor without a resolution to the grievance; (4) a suggestion for the action which the grievant would like as a measure to resolve the matter; and (5) a clearly stated request that the grievance be handled as a "formal grievance."
The written notification must be filed as described herein within thirty calendar days of the incident(s) leading to the grievance.
The grievant should present one copy of the grievance to the immediate supervisor and should send one copy, for information only, to the Employee Relations Manager. The immediate supervisor will review the written grievance and use normal administrative methods to learn facts and make a decision regarding the grievance. The immediate supervisor will respond in writing to the grievant within fifteen calendar days (bearing any unforeseen reason) of the date the written grievance was received, unless the immediate supervisor and the grievant agree that a longer response time will be beneficial to resolving the grievance. Any extension of the fifteen calendar day period should be recorded in writing. Copies of communications, including the immediate supervisor's response, shall be sent to the Employee Relations Manager.
**Note: When the grievance arises under the "Policy on Sexual Harassment" or the "Policy on Undue Favoritism" and the immediate supervisor is the accused person, the grievant should proceed directly to Step Two, described below.
Step Two - Written Notification by Grievant to Unit Head
If the grievant is not satisfied with the outcome of Step One or if he/she does not receive an answer within the designated period, the grievant may proceed to Step Two. The final date to initiate Step Two is fifteen calendar days after the grievant receives a response under Step One. FAILURE TO OBSERVE THIS TIME FRAME WILL RESULT IN A WAIVER OF THE RIGHT TO PROCEED TO STEP TWO. Under Step Two the grievant sends a copy of the formal written grievance and the response of the immediate supervisor to the unit head (normally a director or dean), along with a request that the unit head consider it. The grievant shall send a copy of the written grievance to the Employee Relations Manager.
If the grievant tries to raise a new basis for a grievance after the original grievance at Step One, he/she must present a new grievance under Step One.
The unit head reviews the written grievance and uses normal administrative methods to learn the facts and make a decision regarding it. Within a reasonable time, normally no longer than fifteen calendar days, the unit head sends a written response to the grievant. If the head's decision has resulted in actions favorable to the grievant, then those facts will be communicated, unless to do so would be unlawful under State law regarding the privacy of employee personnel records. The unit head shall send a copy of the response to the Employee Relations Manager.
Step Three - Appeal to the Chancellor through the University Employee Relations Committee
If the grievant is not satisfied with the decision in Step Two, or if he/she does not receive an answer within the designated period, the grievant may move to Step Three. In order to proceed under Step Three, the grievant must complete a form, "Request for Hearing by University Employee Relations Committee," which can be obtained from the Department of Human Resource Services. The completed form, along with copies of the original grievance and supporting documents filed under Step One and/or Step Two and copies of responses from earlier steps, must be sent to the Employee Relations Manager.
If the grievant tries to raise a new basis for a grievance that was not considered in Step One or Step Two, he/she must present a new grievance at Step One.
The final date to initiate Step Three is fifteen calendar days after the grievant receives a response under Step Two. FAILURE TO OBSERVE THIS TIME FRAME WILL RESULT IN A WAIVER OF THE RIGHT TO PROCEED TO STEP THREE.
The Employee Relations Manager will transmit the Request for Hearing by University Employee Relations Committee form (.pdf) to the Chair of the Committee and will send a copy of it to the appropriate Vice Chancellor/Provost as notification of a pending grievance. After conferring with the Chair of the University Employee Relations Committee, the Employee Relations Manager will notify the grievant, immediate supervisor, and any witnesses who will be needed, of the time and place of the hearing. Each party shall be notified at least fifteen calendar days in advance of the scheduled date of the hearing.
The Chair of the Employee Relations Committee will select from the full membership of the Committee a panel of four persons, with no more than one person from any category of employee. There shall be no representation from the unit from which the grievance arose. The employee shall be allowed the opportunity to eliminate up to two members of the grievance committee where there is an issue of whether the members can render an unbiased decision. Once the members are eliminated, the Chair shall select two members as replacements on the committee.
**Note: Employees who have not attained Career Status as defined by state policy (A State employee who: [1] is in a permanent position appointment; and [2] has been continuously employed by the State of North Carolina in a position Subject to the State Personnel Act for the immediate 24 preceding months) will not be able to file an appeal beyond Step Three of the Policy.
CONDUCT OF THE HEARING
The Chair of the University Employee Relations Committee has responsibility for ensuring that the proceedings are conducted in an orderly and fair manner. The Associate Vice Chancellor for Human Resource Services or his/her designee will be present during the hearing in order to provide advice as needed about applicable personnel policies and procedures but will not take part in the questioning of witnesses or deliberations. All evidence, including personal testimony, will be heard by the Committee in the presence of both the grievant and the immediate supervisor. Both the grievant and the immediate supervisor will have reasonable time, as determined by the Committee Chair, to question witnesses and respond to evidence.
At the conclusion of the hearing, the Chair of the University Employee Relations Committee will prepare a report having two parts: (1) a description of the facts of the grievance as determined by the Committee after hearing the evidence and (2) the Committee's recommendations for the action which should be taken. The Chair of the Committee will send the report within fifteen calendar days, to the appropriate Vice Chancellor/Provost with a copy to the Employee Relations Manager.
The Employee Relations Manager will review the report of the Committee and will provide interpretation of policy and/or procedures to the appropriate Vice Chancellor/Provost.
Final University Decision
The appropriate Vice Chancellor/Provost has responsibility under this policy to make the final University decision. The Vice Chancellor's/Provost's decision will be communicated in writing to the grievant by certified mail, return receipt requested, within a reasonable time, normally no more than fifteen calendar days, after receipt of the report of the University Employee Relations Committee. The Vice Chancellor/Provost will send a copy of the communication bearing the final decision to the Associate Vice Chancellor for Human Resource Services, the Chair of the University Employee Relations Committee, the immediate supervisor, and the unit head. If the grievance directly concerns a Vice Chancellor/Provost or some other officer who reports directly to the Chancellor, the University Employee Relations Committee will send its report to the Chancellor. The Chancellor will then be responsible for the final University decision and communicate it as provided in the above paragraph.
The Vice Chancellor's/Provost's (or Chancellor's) communication will contain notice to the grievant that it is the final University decision. The Vice Chancellor/Provost will further notify the grievant in writing that an appeal may be made to the State Personnel Commission by filing a written request for hearing with the Office of Administrative Hearings, 6714 Mail Services Center, Raleigh, North Carolina 27611-6714.
Right of Direct Appeal to State Personnel Commission in Certain Cases
Appeal to the State Personnel Commission is possible in most cases only after the grievant has obtained a final University decision. However, a grievance in one of the categories described below may be appealed directly to the State Personnel Commission without going through the steps of the University's procedures.
- The grievance alleges a violation of the State statute which prohibits discrimination in employment and compensation on the basis of race, color, national origin, religion, gender, age, disability, or political affiliation
- Retaliation against an employee for protesting an alleged violation on the basis of race, religion, color, creed, national origin, sex, age, or handicapping condition.
- The grievance alleges a failure to post notice of a job vacancy when required by State law
- The grievance alleges a failure to accord priority consideration in promotion when required by State law
- The grievance alleges a failure to accord a hiring preference to an eligible veteran when required by State law
**Note: Appeals to the State Personnel Commission must be made within thirty days of receipt of the final University decision in Step Four. The Department of Human Resource Services has information on the procedure for appealing a grievance to the State Personnel Commission.
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