Dispute Resolution and Staff Grievance Policy

Fair Treatment

The University is committed to fair and equitable treatment for all employees. Therefore, the University has established this Policy for fair, orderly, and prompt resolution of work-related problems.

Mediation and Compromise

Where there are concerns or problems arising out of employment, Staff employees and their supervisors are encouraged to find informal means of resolving them.  Mediation and compromise should characterize the resolution of work-related problems, and employees are strongly encouraged to talk over any workplace concerns, problems, or grievances with their supervisor. The University has adopted a Mediation Policy to assist supervisors and employees in resolving their differences.  A copy of this policy is available through the Employee & Management Relations Department, and also can be found on the Office of Human Resources website.

Any resolution resulting from a mediation pursued as part of a grievance process must be approved in advance by the Office of Human Resources and must be in compliance with State policy.  Should a mediation not result in an acceptable resolution, the grievance process will continue as defined in this policy.

Institutional Responsibilities

Within this context of equity and fair treatment, the University administration is charged by law with the responsibility of managing and directing its human resources, including determining workforce size, recruitment, training, work assignments, hours of employment, promotion, demotion, transfer, or dismissal, all according to State and University policy.

Non-Retaliation

Employees have the right to use this procedure free from threats or acts of retaliation, interference, coercion, restraint, discrimination, or reprisal. Employees may not be retaliated against for participating in a grievance as a grievant, a witness, a support person, or as a Grievance Committee member.

An employee who believes he or she has been retaliated against due to his/her participation in the grievance process, may either:

• File a grievance according to the formal grievance procedure as described in this policy; or
• File an administrative complaint alleging retaliation, which would be handled as described below

Administrative Complaint: If the employee chooses to file an administrative complaint alleging retaliation, such a complaint must be in writing and must be filed with the Employee & Management Relations Department within 10 calendar days of the alleged retaliatory action. The Employee & Management Relations Department will assist the employee in preparing the complaint and will forward it to the appropriate Dean, Director, or Department Head.  The appropriate Dean, Director, or Department Head must review the allegation promptly and must provide a written response to the employee as promptly as possible, but no later than 10 calendar days after his/her receipt of the complaint, unless exceptional circumstances require a brief delay.  The employee must be notified in writing of any delay and the reasons for it.

The employee may appeal any adverse determination by the Dean, Director, or Department Head to the Chancellor within 10 calendar days of his/her receipt of the adverse determination.  The Chancellor (or his/her delegate) has 10 calendar days from receipt of the appeal to provide a written response.  The employee must be notified of any delay and the reasons for it.

At a minimum, any finding of retaliation will result in a letter in the offending party's or parties' personnel file(s).  Disciplinary action may be taken against the offending party or parties, up to and including dismissal.  The Chancellor's determination (or that of a delegate) is final within the University on retaliation complaints.

Covered Employees / Issues for Internal Grievances

Temporary Employees

Temporary staff (SPA) employees are covered by this Policy only if alleging denial of reasonable accommodation of a disability.  Temporary employees are not covered by the Policy for any other issues.

Probationary Employees

Probationary permanent staff employees are covered by this Policy only if alleging:

• discrimination in employment on the basis of age, sex, sexual orientation, race, color, creed, religion, national origin, handicapping condition, or political affiliation; or
• unlawful workplace harassment based upon age, sex, race, color, creed, religion, national origin, or handicapping condition; or
• denial of reasonable accommodation of a disability; or
• alleged inaccurate or misleading information in the personnel records.

Permanent Part time or Full time Employees

All full-time or part-time permanent staff employees are eligible to use this Policy if and when they feel that they have not received fair treatment.  The following issues are expressly covered by this Policy:

• discrimination in employment on the basis of age, sex, sexual orientation, race, color, creed, religion, national origin, handicapping condition, or political affiliation; or
• unlawful workplace harassment based upon age, sex, race, color, creed, religion, national origin, or handicapping condition; or
• denial of reasonable accommodation of a disability; or
• an alleged violation or misapplication of University policies; or
• an alleged violation or misapplication of rules pertaining to employment in the respective department; or
• an alleged violation or misapplication of applicable laws or regulations, including anti-discrimination laws, the Family Medical Leave Act, the Americans With Disabilities Act, the Age Discrimination in Employment Act, or the Fair Labor Standards Act; or
• disciplinary written warnings, suspension without pay, demotion, layoff, or discharge; or
• denial of promotion; or
• alleged inaccurate or misleading information in the personnel file; or
• any other work-related problem of concern to the employee that can be addressed by the University.

Appeals to the Office of Administrative Hearings

In certain cases, employees may file a complaint directly with the State's Office of Administrative Hearings or may file a complaint with the State's Office of Administrative Hearings after the completion of the University's internal grievance procedure. See "Covered Employees/Issues For Grievances At The Office Of Administrative Hearings" later in this policy for more information on eligibility and procedures.

Worktime Available for Grievance Preparation

Internal Grievances

An employee or support person will be granted up to a maximum of 12 hours off from regular duties for processing the employee's internal grievance under this Procedure, without any loss of pay or leave time.

Other Administrative Hearings

For other administrative hearings under the State Personnel Act, an employee may request necessary time away from work without any loss of pay or leave time. Advice concerning what "necessary" means is available from the Employee & Management Relations Department and will depend on particular circumstances.

Supervisory Approval

Any employee or support person who needs to be absent from assigned duties for grievance preparation must secure advance permission from his or her supervisor.

Legal Representation

An employee may secure legal advice at any step of a grievance; however, according to State regulations, attorneys may not represent an employee at, participate in or be present at any internal grievance meeting, process or hearing.  The University believes that legal assistance is not needed by either party in this process because confidential assistance is available without charge.  The University will oppose any request for attorney's fees incurred during this internal process.

Confidentiality

Any employee or supervisor who has a work-related problem is encouraged to discuss the problem informally and confidentially with the Office of Human Resources. Employees within the Office of Human Resources will serve as a source of information and advice for the employee or supervisor, and as a sounding board for ideas, rather than as an advocate for an employee or supervisor in a particular problem.

Employees and supervisors are encouraged to discuss matters as fully and freely as they wish.  Any such discussion with the Office of Human Resources will be confidential.  To the extent permitted by law, no contact with the employee's supervisor or others about the issue or concern will occur without the approval of the individual employee or supervisor.  Discussions between a grievant or respondent and his/her support person also are considered confidential.  A support person may not discuss the issue or concern with others without the approval of the grievant or respondent.

Timely Processing of Grievances

Calendar Days

In every case, maximum time limits for filing of statements and decisions are stated in terms of calendar days.  If a deadline falls on a weekend or scheduled holiday, the deadline will be the next scheduled workday of the University.

Minimizing Delay

The University strives to issue a final decision in every grievance within 90 calendar days of the filing of a grievance.  The University prioritizes its handling of grievances according to deadlines established by State policy.  All employees, supervisors, panel members, and the Office of Human Resources are responsible for minimizing delay and proceeding through the grievance process as quickly as possible, including using less than the maximum stated time limits whenever possible.

Exceptions to the 90-day decision period:

• the employee and University may mutually agree in writing to extend the 90-day period (including use of mediation), and
• an employee who alleges unlawful workplace harassment based on age, sex, race, color, national origin, religion, creed, or handicapping condition will have a final decision rendered within 60 calendar days of the filing of a written complaint.

Filing

All grievances, appeals, or responses may be filed electronically, by mail or in person with the Employee & Management Relations Department. All grievance-related forms may be found on the Office of Human Resources website.  Contact the Employee & Management Relations Department for assistance.

Filing Deadline

An employee must file his or her grievance under this procedure with the Employee & Management Relations Department within 30 calendar days from the date the employee becomes aware of the matter giving rise to the grievance.  An employee must first attempt to resolve the matter with his/her supervisor or the employee most directly involved before he/she is eligible to file a grievance.

Filing Deadline Interaction with Mediation Policy

An employee who, with his or her supervisor's cooperation, has utilized the mediation policy during the time he or she would have been able to file a grievance will still be able to file a grievance within the appropriate time period following the determination of no resolution.

Exception: An employee who alleges unlawful workplace harassment and who wants to preserve his or her rights to proceed to the Office of Administrative Hearings must file a written complaint with the Employee & Management Relations Department within 30 days of the last alleged action or conduct.

Grievance Statement

The written statement must include a description of what led to the grievance and must include information concerning attempts made by the employee or supervisor or other involved parties, if any, to negotiate, compromise, and resolve the grievance with the supervisor or involved parties.  Additionally, the statement should describe the desired outcome or resolution being sought by the employee.  At the employee's request, the Employee & Management Relations Department or any other person of the grievant's choosing may provide assistance in writing or otherwise preparing the grievance statement (see below).

Review of Grievance Statement

The Employee & Management Relations Department has the responsibility for reviewing grievances initially to determine whether or not the grievance states a concern that can be remedied through the grievance process and that meets the timeframes and requirements set out above.  If the Employee & Management Relations Department believes the grievance is not properly filed, a representative will communicate the basis for this determination to the employee.

Person Responding to Grievance ("Respondent")

The Employee & Management Relations Department will forward a properly filed grievance to the next level supervisor of the employee for response, and also will provide a copy of the grievance to the immediate supervisor and to the appropriate Dean, Director, or Department Head.

However, where the grievance concerns working conditions not controlled within the employee's department or unit, the Employee & Management Relations Department will transfer the grievance at the request of the employee to the person directly in charge of the conditions rather than remaining with the employee's department or unit.  The Employee & Management Relations Department will provide assistance in determining the appropriate person in the University with whom to file the grievance, and will notify the grievant of the person to whom the grievance has been transferred.

Negotiation

A principal function of this step in the grievance procedure is to resolve the grievance within the unit. In considering a grievance, the next level supervisor will attempt first to ascertain the positions of the employee (the "grievant") and the supervisor and/or other persons involved, to analyze their differences, and to seek a common ground for voluntary adjustment of the issue.

Meetings with Parties

In fulfilling his or her obligations, the next level supervisor will ordinarily hold separate meetings with the employee (the "grievant") and with the supervisor and/or other persons involved.  Support persons may also be present at these meetings (see below for the role of the support person at this step).

Decision

The next level supervisor will consider the matter and communicate a decision to the Employee & Management Relations Department within no more than 10 calendar days (counting the time spent in investigation and any negotiations) from the date that the next level supervisor received the grievance from the Employee & Management Relations Department.

The decision of the next level supervisor must be in writing and must specify supporting reasons for the decision.  The decision must be mailed, electronically transmitted, or delivered in person to the Employee & Management Relations Department.  The Employee & Management Relations Department will forward the decision to the grievant and to the appropriate Dean, Director, or Department Head.  The Employee & Management Relations Department will notify the grievant of his or her right of further appeal if the grievant is not satisfied with the decision.

Delays

The decision may not be delayed without written agreement of the grievant or approval of the Employee & Management Relations Department for good cause (e.g., illness, family emergency, etc.). The next level supervisor's failure to provide a timely decision will result in the grievance being advanced to the next step, and the Employee & Management Relations Department will communicate the lack of response to the appropriate Dean, Director, or Department Head.

Support Person Role

The role of the support person is to provide assistance to the grievant (or the respondent, if the grievant also has a support person).  At this step in the grievance procedure, a support person may assist the grievant or respondent in preparing for meetings, keeping track of documents, etc.  The support person in no way will represent the employee or respondent. In assisting the grievant or respondent during this step, a support person may not ask or answer any questions, make any presentation, or otherwise participate in the meeting or discussion.

Support Person Availability

Only a University employee may serve as a support person. No employee of the Office of Human Resources or the Ombudsperson Office may serve as a support person.  The respondent may use a support person only if the grievant elects to be assisted by a support person.  A support person may be selected from the Employee & Management Relations Department's list of trained support persons or may be any permanent University employee who is not an attorney.  However, any proposed support person must complete training through the Employee & Management Relations Department before he/she can serve in this role.  The Employee & Management Relations Department will provide training for employees interested in serving as support persons.

Appeal to Staff Panel Hearing

The employee may appeal the grievance to a staff panel hearing if the Employee & Management Relations Department does not receive the next level supervisor's decision within 10 calendar days after the receipt of the grievance (or after an agreement that the decision will be delayed for a reasonable period of time has expired), or if the decision of the next level supervisor is unsatisfactory to the employee.

Filing an Appeal

An appeal to a staff panel hearing must be submitted to the Employee & Management Relations Department within 10 calendar days after the date of receipt of the next level supervisor's decision or within 10 calendar days of the failure to receive a decision without an agreement to extend for a reasonable period of time.

Appeal Statement

The grievant must provide a written summary of the specific facts of the grievance to the panel, including an indication of the desired outcome or resolution being sought by the grievant.  The initial grievance statement may be used if the grievant chooses, and no new issues may be raised for review.

The Employee & Management Relations Department, the grievant's support person, or any other person of the grievant's choosing may assist the grievant in preparing the request for review and the written summary of facts of the appeal.

Review of Appeal Statement

The Employee & Management Relations Department will review an appeal to a staff panel hearing to ensure it meets the requirements of this grievance procedure and process the grievance accordingly.  If the Employee & Management Relations Department believes the grievance is not properly filed, a representative will communicate the basis for this determination to the employee.

Staff Panel Members

Members of the panel and the Panel Chairs are appointed by the Chancellor.  All members of the Committee, including Panel Chairs, must be permanent Staff (SPA) employees who are representative of the diversity of the staff employees of this campus.  All activity related to hearing and resolving a grievance is considered work time for panel members and Panel Chairs.

No employee of the Office of Human Resources or the Ombudsperson Office may serve as a panel member or Chair.

The Employee & Management Relations Department will provide training for all panel members and Chairs.  The Employee & Management Relations Department will provide any administrative support necessary to each grievance panel and chair. The Employee & Management Relations Department will also provide advice on procedural matters to panel members, grievants, and respondents upon request.

Appointment of Panel to hear Appeal

The Employee & Management Relations Department will appoint a Panel Chair and two panelists to hear each appeal. The Employee & Management Relations Department Director will notify the grievant and respondent in writing of the Panel Chair and panel members as soon as practicable after they are appointed.

Objections to Proposed Grievance Panel Member(s)

Either a grievant or a respondent who objects to the appointment of a member of the panel may request that panel member to be removed.  The objecting party must make this request within five (5) calendar days of written notification of the proposed panel members by the Employee & Management Relations Department.  Failure to do so will be a waiver of this opportunity.  This opportunity will be exercised only once.  In the event of removal of a panel member, the Employee & Management Relations Department will appoint a new member.

Pre-Hearing Conferences

The Panel Chair and/or Grievance Coordinator may hold pre-hearing conferences and, if so, may hold a pre-hearing conference separately with the grievant and the respondent or jointly with both parties to determine what information is needed and to offer advice to the employee and to the supervisor or person in charge, on documents and witnesses that may be needed.  If approved in advance by the Panel Chair and/or Grievance Coordinator, a support person for the grievant or respondent also may be present at the pre-hearing conference.

Any University employee must provide all information related to the grievance as requested by the Panel Chair and/or the Grievance Coordinator, consistent with confidentiality protections.  Members of the Office of Human Resources or employees who serve as support persons may not be required to reveal confidential information shared with them by the grievant or the respondent.  After the pre-hearing conference, the Panel Chair and/or Grievance Coordinator will prepare a brief statement of the issues which he or she will transmit along with any grievance documentation to the other panel members and the grievant and respondent.

Dismissal without Panel Hearing

If, after reviewing the prior decision from the next level supervisor (if available) and after hearing a forecast of the information to be provided to the Panel at the pre-hearing conference, the Panel Chair and/or Grievance Coordinator determines that it is virtually certain that the Panel hearing will result in a recommendation that the grievance be denied because:

• even if the matters alleged by the grievant are found to be true, no grievance that can be remedied by the Chancellor has been stated, and/or
• the grievance appears to have been filed for purposes of unlawful workplace harassment, is frivolous, is an abuse of the grievance process, or if the grievant is ineligible to file a grievance as outlined in this policy,

then the Panel Chair and/or Grievance Coordinator should recommend to the Chancellor that the grievance be dismissed without a Panel hearing.  In making a recommendation to dismiss without a hearing, the Panel Chair and/or Grievance Coordinator should summarize the reasons for making the recommendations.  The Chancellor may accept the recommendation or request that a hearing be held.

Scheduling a Panel Hearing

The Employee & Management Relations Department will schedule the hearing and will inform the grievant and the respondent of the hearing schedule and location.

The Hearing will be scheduled and held within 30 calendar days of the Employee & Management Relations Department receiving the Step 2 appeal from the grievant, unless medical conditions or other personal emergencies prevent a party, panelist or key witness from attending.  The Panel Chair and/or Grievance Coordinator will rule on any requests for delay.  The Panel Chair and/or Grievance Coordinator retains the authority to either dismiss the grievance or proceed with the hearing in the absence of enough information to support a request for a delay.  If either the grievant or the respondent fails to attend a scheduled hearing and fails to present adequate medical documentation or other valid reasons for the absence, the panel will proceed to review the matter and issue its recommendation(s) on the grievance.

In the case of a grievance alleging discrimination or unlawful workplace harassment, the panel hearing should be scheduled and held within 30 calendar days of the filing of the grievance whenever possible.

Support Person Role

The role of the support person at this step is to provide assistance to the grievant (or the respondent, if the grievant also has a support person) in preparing for the hearing and in making a presentation to the grievance panel.  At the Panel Hearing, a support person may assist the grievant or respondent in preparing for hearings, keeping track of documents, etc., but may not speak for or represent the grievant or respondent.

Support Person Availability

Only a University employee may serve as a support person.  No employee of the Office of Human Resources or the Ombudsperson Office may serve as a support person.  The respondent may use a support person only if the grievant elects to be assisted by a support person. A support person may be selected from the Employee & Management Relations Department's list of trained support persons or may be any permanent University employee who is not an attorney.  However, any proposed support person must complete training through the Employee & Management Relations Department before he/she can serve in this role.  The Employee & Management Relations Department will provide training for employees interested in serving as support persons.

Panel Hearing Procedure

The conduct of the hearing is under the control of the Panel Chair and/or Grievance Coordinator. In the event a panel member is unable to continue a hearing, the Panel Chair will notify the Employee & Management Relations Department, and the Employee & Management Relations Department will select another replacement panel member.

Panel Deadlines

Following the panel hearing, the Panel Chair will transmit the Panel's report to the Chancellor within 10 calendar days after the hearing.  If meeting this deadline is not possible, the Panel Chair will advise the employee and the respondent of the revised date.

Panel Report and Recommendations

The Panel report will consist of a summary of the testimony, findings of fact, and recommendations. The Panel's recommendations for resolving the grievance will be separated from those that provide suggestions or comments on the operations or management of the unit (if any), so as to specify clearly those sections of its decision that relate to the resolution of the specific grievance and those that relate to operations.

Final University Decision

The Chancellor will issue the University's final decision within 10 calendar days after receiving the Panel's recommendation and will communicate the decision to all parties concerned.  If meeting this deadline is not possible, the Chancellor will advise the Associate Vice Chancellor for Human Resources of a revised date. The Associate Vice Chancellor for Human Resources will in turn advise the grievant and respondent of the revised date. Grievants who are eligible for an appeal to the state Office of Administrative Hearings will be so notified in writing as part of the Step 2 decision.

Appeal to the Office of Administrative Hearings

Process for Appealing

If the final University decision is unsatisfactory to the employee, or if the employee does not receive a final University decision within the required time period without an agreement to extend the time for response, the employee, if eligible, may appeal to the State Personnel Commission, according to State Personnel Commission rules.

Any requests for this type of hearing must be filed in writing with the Office of Administrative Hearings at Post Office Drawer 27447, Raleigh, North Carolina 27611-7447, or in person at 424 North Blount Street, Raleigh. A copy of the request should be sent to the University's Associate Vice Chancellor for Human Resources.

Timing of Appeal

The appeal must be received by the Office of Administrative Hearings within 30 calendar days of the date the final University decision is received by the grievant. Assistance in preparing the statement of appeal and in preparing a written summary of facts of the appeal is not provided by the University.

General Information

By State law, a state employee or applicant must meet certain conditions in order to be eligible to file grievances with the Office of Administrative Hearings:

Direct Appeals

Discrimination
Within 30 calendar days from the date of alleged discriminatory action, any permanent employee may either file a grievance directly with the Office of Administrative Hearings or choose to use the University's internal grievance procedure if the grievance alleges discrimination on the basis of age, sex, race, color, creed, political affiliation, religion, national origin, handicapping condition in either (1) the denial of a promotion, a transfer, or training, or (2) the demotion, reduction in force, or termination of an employee in retaliation for the employee's opposition to alleged discrimination on the above-listed bases.  An applicant who alleges a denial of employment based on illegal discrimination also may file a grievance directly with the Office of Administrative Hearings.

Reasonable Accommodation of Disabilities
Within 30 calendar days from the date of alleged denial of reasonable accommodation of a disability, any permanent employee (including probationary) or temporary employee may file a grievance directly with the Office of Administrative Hearings or choose to use the University's internal grievance procedure. Applicants for employment who allege denial of reasonable accommodation for a disability during the hiring process may file a grievance directly with the Office of Administrative Hearings within 30 calendar days of the alleged denial of accommodation.

Veteran's Preference in Initial Employment
An applicant who grieves denial of veteran's preference in initial University employment may appeal directly to the Office of Administrative Hearings.

Alleged Violation of Certain Federal Laws
An employee or former employee who alleges a violation of the Family Medical Leave Act, the Americans With Disabilities Act, the Age Discrimination in Employment Act, or the Fair Labor Standards Act may appeal directly to the Office of Administrative Hearings.

Appeals After A Certain Time Period

Unlawful Workplace Harassment
An employee who alleges unlawful workplace harassment and who wants to preserve his or her rights to proceed to the Office of Administrative Hearings must file a written complaint with the University within 30 days of the last alleged action or conduct.  The University has 60 calendar days in which to respond to an employee's written complaint of unlawful workplace harassment on the basis of age, sex, race, color, creed, religion, national origin or handicapping condition.  After 60 calendar days has been reached, if the employee is not satisfied with the University's response, he/she may appeal to the Office of Administrative Hearings within 30 calendar days.  If the University issues a written decision in fewer than 60 calendar days and waives additional time in writing, and the employee acknowledges in writing his/her receipt of the decision and the waiver, then the employee may appeal to the Office of Administrative Hearings within 30 calendar days.

Appeals After Completion of the Internal Grievance Process

Adverse Employment Action for Career State Employees (24 months of continuous State service as an SPA employee)
If the employee has 24 months of continuous State Service in an SPA position and has completed the University's internal grievance procedure, he or she may appeal the following adverse employment actions to the Office of Administrative Hearings:

• dismissal,
• demotion,
• suspension without pay,
• a failure to post a vacancy or to accord promotional priority consideration over outside applicants,
• a denial of veteran's preference in connection with RIF,
• failure to give policy-making/confidential exempt status priority or RIF re-employment consideration, and/or
• failure to follow RIF procedures.

Inaccurate or Misleading Information in Personnel File
Any permanent employee or applicant who seeks removal of material from his/her personnel file because the employee or applicant considers it inaccurate or misleading must first complete the University grievance procedure before going to the Office of Administrative Hearings.

Availability of the Policy and Procedure

This policy and procedure will be shared with all new SPA employees during in-person or online employee orientation. Current SPA employees will be informed of changes to this policy and procedure within 30 calendar days of its approval by the State Personnel Commission. At other times, copies of this policy and procedure are available in the Employee & Management Relations Department.  The policy also is available online on the Office of Human Resources's website.

Implementation of Policy and Procedure

Upon approval of this policy and procedure by the State Personnel Commission, this policy will be implemented by the Office of Human Resources, Employee & Management Relations Department, as follows:

• Notify each current employee of this policy;
• Train existing and new Grievance Panel Chairs and Members in the procedures of this policy;
• Offer training to those persons interested in serving as Support Persons, and maintain a list of such persons;
• Update the current grievance tracking procedure to provide information on the time involved in each step of the grievance process to ensure that the system is operating efficiently and within the time schedules of this policy;
• Regularly review data collected from the operation of the policy, including anecdotal information from grievants and respondents, and information from Grievance Panel Chairs and Members on the operation of the policy. This information will be used to report to the Associate Vice Chancellor for Human Resources, on at least an annual basis; and
• Provide whatever information is requested by the Office of State Personnel on the operation of this policy.  The most recent report will be available upon request to the Employee & Management Relations Department.

Access to Personnel File

An employee who wishes to access his/her personnel file may contact the HR Records & Information Department at 104 Airport Drive, or by telephone at 843-2300.  The HR Records & Information Department is responsible for ensuring that all University personnel file material for an employee is available for review at the Airport Drive location.  Personnel files are available for viewing and copying during normal business hours.

If you have questions about this policy, contact the Grievance & Sexual Harassment Officer in the Office of Human Resources.