Disciplinary Process

Welcome to the Disciplinary Process Information Page at NC A&T!

At N.C. A&T, and other state agencies, employees are governed by the Office of State Human Resources (OSHR) Disciplinary Action Policy (DAP or “Policy”). The Policy serves as a guide to address and correct inadequate job performance and unacceptable personal conduct among state employees in a progressive manner.  The types of disciplinary actions include warnings, demotion, suspension and dismissal.  

The DAP applies to employees who are State Human Resources Act (SHRA)-covered employees with career status, defined as those in permanent positions whom the State of North Carolina has continuously employed for the past twelve (12) months (N.C.G.S. § 126-1.1), and EHRA Faculty and non-faculty (UNC Policy EHRA Policy)(NCAT University Policy 161) as a guide when managing performance and personal conduct to ensure uniformity and consistency in handling disciplinary matters across the university. 

Contact Employee Relations to consult prior to administering any disciplinary action @ employeerelations@ncat.edu

1. Any disciplinary action under this policy must be based on Just Cause (DAP, section 4), specifically one of the following three bases: 
  • gross inefficient job performance 
  • unacceptable personal conduct 
  • unsatisfactory job performance 

Note: In the case of dispute, an employee can submit an addendum to the file 

2. To promote uniformity in administering disciplinary action, suspensions, and dismissals across campus departments and offices, the OSHR Performance Management Policy must be adhered to by supervisors. In cases where an employee is not able

a. When addressing unsatisfactory job performance, managers or supervisors must provide feedback to employees on needed improvements via a Documented Counseling  and/or university performance management tool; 

b.  If performance does not improve after this feedback, a Written Warning can be issued to initiate the first step in the disciplinary process for most performance issues.  After the (2nd or 3rd) Written Warning within 18months, stronger disciplinary action requiring a PDC may be considered.    

3. Pre-disciplinary Conference (PDC) must be held prior to demotion, suspension, or dismissal of an SHRA employee.  This process does not apply to EHRA employees.  Consultation with Employee Relations is required prior to conducting a PDC (DAP, section 7

 

PDC Templates 

 

Disciplinary Actions

 

Investigatory Status with Pay: Fitness for Duty Guide 

Investigatory Placement with Pay and Fitness for Duty Evaluation 

Disciplinary Decision of Suspension Without Pay Template 

Leave with Pay Letter: Unacceptable Personal Conduct 

Dismissal Letter 

Written Warning

Demotion Letter Template  

Investigatory Leave with Pay Letter - Unacceptable Personal Conduct Template  

Separation due to unavailability  

 

 

 

An effective written warning must meet 5 requirements: 1. Inform employees that it is a written warning on the document.  2. Inform the employee of the issue being addressed.  3. Provide the employee with clear expectations of actions required to address the issue.  4.  Timeline of when to accomplish expectations.  5. Clear consequences for not meeting expectations of the written warning.   Written warnings must be prepared and reviewed with Employee Relations before being delivered to the employee. This review ensures compliance with the disciplinary policy before the supervisor's final preparation and delivery. When delivered to the employee, a copy of the finalized warning must be provided to Employee Relations. 

All written warnings remain active for 18 months from the date of issuance unless further disciplinary action occurs. The oldest active disciplinary action will adopt the duration of the most recent action, not exceeding 36 months. A written warning can be made inactive at the discretion of the supervisor and department head or if the employee receives a satisfactory performance rating in the area addressed by the disciplinary action. 

 

Performance Improvement Plan (PIP)      

A PIP (25NCAC01O.0210) is a structured approach designed to assist employees in improving their job performance. It is a disciplinary action only if it is in writing and states that it is a disciplinary action.  It can be used in conjunction with a written warning.  It outlines specific performance expectations, provides targeted feedback, and establishes measurable goals. It serves as a collaborative tool between the employee and their supervisor, aiming to identify areas for improvement and support the employee in achieving success. By fostering open communication and providing necessary resources, the PIP facilitates a pathway for employees to meet organizational standards and enhance overall performance.   

 

SHRA Grievance

 

GRIEVABLE ISSUES AND WHO MAY GRIEVE

A. The following issues may be grieved at the University level only and through the Informal Discussion process. The employee cannot proceed to the formal internal grievance process. 

WHO MAY FILE 

GRIEVABLE ISSUE 

1) Career State employee  
or former career State employee 
  1. Overall performance rating of less than “meets expectations” or equivalent as defined in the University SHRA Performance Appraisal Policy  
  2. Denial of request to remove inaccurate and misleading information from personnel or applicant file (excludes the contents of a performance appraisal and written disciplinary action) 
  3. Items covered in the University’s AA/EEO statement that promote inclusion and diversity but not within the definition of unlawful discrimination, harassment, or retaliation as contained in NCGS 126-34.02 (b) (1) and (2) 
  4. Denial of National Guard preference as provided for by law 

2) Probationary or former probationary state employee 
  1. Denial of request to remove inaccurate and misleading information from personnel or applicant file (excludes the contents of a performance appraisal and written disciplinary action) 
  2. Items covered in the University’s AA/EEO statement that promote inclusion and diversity but not within the definition of unlawful discrimination, harassment, or retaliation as contained in NCGS 126-34.02 (b) (1) and (2)
  3. Denial of National Guard preference as provided for by law. 

3) Applicant for University employment  
(initial hire, promotion, or reemployment) 
  1. Denial of request to remove inaccurate and misleading information from applicant file (excludes the contents of a performance appraisal and written disciplinary action) 
  2. Items covered in the University’s AA/EEO statement that promote inclusion and diversity but not within the definition of unlawful discrimination, harassment, or retaliation as contained in NCGS 126-34.02 (b) (1) and (2) 
  3. Denial of National Guard preference as provided for by law. 

 

B. The following issues must first be grieved through the formal internal University process. If the Grievant is unsatisfied with the Final University Decision, the Grievant may appeal to the Office of Administrative Hearings. 

WHO MAY FILE 

GRIEVABLE ISSUE 

1) Career State employee or former career State employee 
  1. Dismissal, demotion or suspension without pay for disciplinary reasons without just cause 
  2. Involuntary non-disciplinary separation due to unavailability 
  3. All issues listed below that are grievable by a probationary or former probationary employee 
  4. All issues listed below that are grievable by an applicant for University employment 
  5. Denial of reemployment or hiring due to denial of reduction-in-force priority as required by law (NCGS 126-7.1) 
  6. Denial of promotional opportunity due to failure to give priority consideration for promotion to a Career State employee as required by law (NCGS 126-7.1) 

2) Probationary State employee or former probationary State employee 
  1. Denial of hiring or promotional opportunity due to failure to post position (unless hiring opportunity is not required to be posted by law) 
  2. Denial of veteran’s preference as provided for by law 
  3. Any retaliatory personnel action for reporting improper government activities (“whistle blower”) as contained in Article 14 of NCGS 126 
  4. Unlawful discrimination or harassment based on race, religion, color, national origin, sex (including sexual orientation, gender identity and expression, and pregnancy), age, disability, genetic information, or political affiliation if the employee believes that he or she has been discriminated against in the terms and conditions of employment 
  5. Retaliation against an employee for protesting (objecting to or supporting another person’s objection to) unlawful discrimination based on race, religion, color, national origin, sex (including sexual orientation, gender identity and expression, and pregnancy), age, disability, genetic information, or political affiliation if the employee believes that he or she has been retaliated against in the terms and conditions of employment 

3) Applicant for University employment  
(initial hire, promotion, or reemployment) 
  1. Denial of hiring or promotional opportunity due to failure to post position (unless hiring opportunity is not required to be posted by law) 
  2. Denial of veteran’s preference as provided for by law 
  3. Unlawful discrimination or harassment based on race, religion, color, national origin, sex, age, disability, genetic information, or political affiliation, if the applicant believes that he or she has been discriminated against in his or her application for employment 
  4. Retaliation for protesting (objecting to or supporting another person’s objection to) unlawful discrimination based on race, religion, color, national origin, sex (including sexual orientation, gender identity and expression, and pregnancy), age, disability, genetic information, or political affiliation if the applicant believes that he or she has been retaliated against in his or her application of employment 

 

 

EHRA Grievance

 

 

Division of Human Resources 
Phone: (336) 334-7862 
Fax: (336) 285-2799 
Email: employeerelations@ncat.edu