Revised: 03/03/03
Updated: 08/01/08
EMPLOYEE RELATIONS GRIEVANCE AND APPEAL POLICY FOR EMPLOYEES SUBJECT TO THE PERSONNEL ACT
TABLE OF CONTENTS:|
I.
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II.
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III.
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IV.
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V.
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STEP 1 - DISCUSSION BETWEEN EMPLOYEE AND IMMEDIATE SUPERVISOR |
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STEP 2 - DISCUSSION BETWEEN EMPLOYEE AND DIVISION HEAD |
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STEP 3 - APPEAL TO THE GRIEVANCE AND APPEAL COMMITTEE |
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STEP 4 - APPEAL TO THE STATE PERSONNEL COMMISSION |
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VI.
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VII.
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VIII.
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PROCEDURES FOR APPEALS TO THE STATE PERSONNEL COMMISSION A.
ISSUES
APPEALABLE TO THE STATE PERSONNEL COMMISSION |
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IX.
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X.
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FORMS: |
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I.
PURPOSE
It is the intent of East Carolina University to provide a means of communication between supervisors and employees and establish principles of administration to insure a prompt, orderly and fair response to an employee's grievance or complaint.
Employees, former employees and applicants for State employment have various grievable issues that they can file an appeal with East Carolina University. The grievable issues allowed by each classification are set out in the table below. The employee shall have 15 calendar days from the date of his/her receipt of written notice of such action to file an appeal with East Carolina University. Each employee filing an appeal in accordance with the procedures that are described herein shall have the opportunity to present the problem free from interference, coercion, restraint, discrimination or reprisal.
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Covered Persons |
Grievable Issues |
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Career State employees or former career State employees |
· Dismissal, demotion, or suspension without pay without just cause · Denial of promotion due to failure to post · Failure to give promotional priority over outside applicants · Failure to give RIF reemployment considerations · Failure to give policy-making/confidential exempt status priority reemployment consideration · Failure to follow systematic procedures in reduction in force (not alleging discrimination) · Denial of veteran’s preference in connection with RIF |
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Any State employee or former State employee |
· Denial of request to remove inaccurate or misleading information from personnel file · Policy-making designation · Discrimination in denial of promotion, transfer, or training; or retaliation in selection for demotion, RIF or termination · Performance pay dispute for (1) failure to receive an increase in pay; (2) the amount of the performance pay increase; and/or (3) the overall performance appraisal rating |
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Any Applicant for State employment |
· Denial of veteran’s preference in initial State employment · Denial of employment on the basis of illegal discrimination |
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Any State employee |
· A false accusation about political threats or promises · Violation of the FLSA, Age Discrimination Act, FMLA or ADA (except for employees in exempt policy-making positions) |
Any employee in a permanent position appointment having a grievance arising out of or due to employment who does NOT allege discrimination because of age, race, sex, color, national origin, religion, creed, handicapping condition or political affiliation shall first discuss the problem or grievance with his supervisor or the appropriate supervisor and follow the grievance procedures established by East Carolina University in this policy.
Where there are concerns or problems that arise out of employment, SPA employees and their supervisors are strongly encouraged to find informal means of resolving their concerns. Mediation and conflict resolution should be employed to resolve work-related problems whenever possible. Employees are strongly encouraged to discuss workplace concerns with their supervisor as they arise. Only through effective communication between all parties may the policy of fair treatment be fulfilled. This can best occur when the employee and supervisor have developed a sound working relationship and are willing to openly discuss any problems that may arise. The Grievance and Appeal Procedure is provided as a formal means of communication between the employee and the supervisor for the purpose of solving problems in a prompt, orderly, and fair manner.
All University employees who are subject to the State Personnel Act are urged to use the Grievance and Appeal Procedure if it is felt that fair treatment has not been received.
Written warnings are not appealable through the East Carolina University's grievance procedure. Matters relating to written warnings and any other matters not specifically set out in the State Personnel Act may not be appealed to the State Personnel Commission.
The following grievances may be initiated without regard to type of appointment or length of service:
a) alleged discrimination (G. S. 126-16 and G.S. 126-36). This type of grievance may be initiated through East Carolina University’s grievance procedure or directly to the State Personnel Commission as outlined in Section VIII of this policy. If an employee chooses to use East Carolina University’s grievance procedures, the employee must use the procedures outlined in Section VII of this policy. An employee who chooses to bypass East Carolina University's internal grievance procedure and appeal directly to the Commission must do so within 30 calendar days of notice of the alleged discriminatory action as outlined in Section VIII of this policy.
b) alleged inaccurate or misleading information in a personnel file (G. S. 126-25). This type of grievance must be initiated through East Carolina University's grievance procedure.
Matters of inherent management rights are not subject to appeal under this policy. These matters include, but are not limited to, such areas as the programs and functions of the department, standards of service, the overall agency budget, the utilization of technology, and the assignment and reassignment of staff to positions, duty stations and shifts, except where such transfers include a demotion to a lower classification.
This policy shall be posted in a permanent and conspicuous manner within each Division office and will be placed in the East Carolina University Business Manual. New employees will be informed of the policy and grievance procedure during employee orientation training sessions. All employees will be notified of grievance policy and procedure changes through staff newsletters and/or through insets attached to employee paychecks or direct deposit slips. All employees shall be notified no later than thirty (30) calendar days prior to the effective date of the change. Employees will be provided with a copy of East Carolina University's Grievance and Appeal Policy as an attachment to any grievable disciplinary action. This policy will be evaluated annually by the ECU Department of Human Resources.
III. GENERAL GUIDELINES
A. For the purpose of this policy, "permanent position appointment" refers to any employee who:
1.) is in a permanent position appointment; and
2.) has successfully completed their probationary period.
B. Career status is accorded to every State employee in state service 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.
C. Employees shall be allowed time off from regular duties as may be necessary and reasonable to a maximum of eight (8) hours for the preparation of the 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.
D. For participation in contested case hearings, or other administrative hearings, the employee may request necessary time away from work without use of vacation or other time credits. This request is subject to the supervisor or personnel officer's approval. The supervisor or personnel officer determines if the leave is necessary and reasonable. Documentation of the time required by the presiding official may be requested by the supervisor before leave approval is granted.
E. Employees may request assistance from the Department of Human Resources in preparing a written summary of facts regarding the grievance. Requests for assistance should be made in writing to the:
Department of Human Resources
Attn: Director of Employee Relations and Staff Development
East Carolina University
210 East 1st Street
Greenville, NC 27858(252) 328-9848
F. Employees may be assisted by another ECU employee throughout certain steps of the grievance process in accordance with this policy (see Section IV. Employee Advocacy). Neither East Carolina University nor the employee shall be represented by any outside parties (i.e. legal counsel, etc.) during East Carolina University's internal grievance process.
G. If a deadline falls on a non-workday or any established state holiday, the deadline shall be extended until the next business day.
H. Copies of all correspondence and written documentation related to a grievance/appeal should be sent to the:
The Associate Vice Chancellor for Human Resources
Department of Human Resources
East Carolina University
210 East 1st Street
Greenville, NC 27858
(252) 328-9884I. The postponement of a Step 1, Step 2, or Step 3 grievance hearing will be considered only in the instance of a documented medical emergency or the death of an immediate family member of the grievant, management representative, or grievance panel committee member if it is a Step 3 hearing. The individual seeking the postponement will need to contact the Associate Vice Chancellor of Human Resources at the earliest convenience when a medical emergency or death of an immediate family member occurs.
J. In the event the grievant fails to show up for a Step 1, Step 2 or Step 3 hearing which they requested and which they were notified of in accordance with this policy, and they have made no contact with the Associate Vice Chancellor of Human Resources as set out in Item I. above, and the grievant fails to provide sufficient reasons for non-attendance, the appeal will be permanently closed and noted as "withdrawn by grievant."
Employees can use an employee in the role of a volunteer advocate throughout the grievance process. The following guidelines will apply to the utilization of an Employee Advocate:
a) The Executive Committee of the ECU Chancellor's Staff Senate will appoint an Employee Advocate from the elected representatives on the ECU Chancellor's Staff Senate.
b) The employee grievant must request an Employee Advocate be assigned to him or her by submitting a written request to the Associate Vice Chancellor for Human Resources on or before five (5) work days prior to the Step 3 hearing date.
c) The Employee Advocate will be allowed to assist the employee once the employee has exhausted Steps #1 and #2 of the Grievance Process.
d) The Employee Advocate can assist an employee in preparing for a Step #3 Grievance Hearing.
e) The Employee Advocate will be allowed to accompany an employee to a Step #3 Grievance Hearing. However, the Employee Advocate will not be allowed to speak on behalf of the grieving employee.
f) The Employee Advocate will be allowed a reasonable amount of time away from his or her regular job duties with pay to assist a grieving employee prepare for the Step #3 Grievance Hearing.
g) Employee Advocates are protected from retaliation by management for volunteering to serve in this supportive role.
h) The relationship between the grieving employee and the Employee Advocate is a confidential relationship. Management cannot request the Employee Advocate to divulge information that would violate this confidential relationship.
i) The membership of the ECU Chancellor's Staff Senate will be trained on the SPA Discipline and Grievance Policies and Procedures on an annual basis.
V. PROCEDURES FOR NON-DISCRIMINATION GRIEVANCES
A. STEP 1 - Discussion Between Employee and the Immediate Supervisor or the Appropriate Supervisor
If an employee has a problem or grievance, it should first be discussed with the employee's immediate supervisor. If this has occurred informally, and the employee feels that they have not received proper consideration for their problem or grievance, the employee can and should complete an "ECU SPA/CSS Employee Grievance and Appeal Request Form" in its entirety and submit it to be received by the Associate Vice Chancellor of Human Resources at the address provided in Item III, H. above within 15 calendar days of his/her receipt of written notice of adverse action. The "ECU SPA/CSS Employee Grievance and Appeal Request Form"may be obtained from the Department of Human Resources or by visiting their website at http://www.ecu.edu/cs-admin/hr/Employee_Relations.cfm. The Department of Human Resources will notify the grievant and the appropriate supervisor of a scheduled date and time to meet and discuss the grievance.
Note: If the grievance does not fall within the administrative or decision-making authority of the supervisor, the supervisor shall, within 48 hours of the receipt/notice of the request for a Step 1 Grievance Hearing, schedule the meeting with the next higher level supervisor with administrative or decision-making authority over the subject matter of the grievance and notify the employee, in writing, of the fact and the basis of the referral.
When the employee meets with the immediate/appropriate supervisor, he/she should be prepared to orally discuss AND present in written form what act or acts are being challenged, the basis for the grievance, and the relief requested.
The supervisor may call higher-level supervisors into the discussion. The supervisor may consult or seek advice from higher-level supervisors before answering a grievance.
The employee shall receive a written response within ten (10) workdays from the date that the employee's request for a Step 1 Grievance Hearing was received by the Associate Vice Chancellor of Human Resources. No condition shall prevent a written response from being delivered to the employee within ten (10) workdays from the date the employee's request for a Step 1 Grievance Hearing was received by the Associate Vice Chancellor of Human Resources. Along with the written response, the employee shall also receive a copy of East Carolina University's Grievance and Appeal Policy for Employees Subject To The Personnel Act (SPA).B. STEP 2 - Discussion Between Employee and Division Head
If the discussion and subsequent decision of the supervisor are not satisfactory, or if an employee fails to receive a response within the designated ten (10) workdays as outlined in Item A, Step 1 above, the employee may request the consideration of his/her Division Head. The request shall be made in writing to the Associate Vice Chancellor of Human Resources by completing an “ECU SPA/CSS Employee Grievance and Appeal Request Form” in its entirety. The "ECU SPA/CSS Employee Grievance and Appeal Request Form" may be obtained from the Department of Human Resources or by visiting their website at http://www.ecu.edu/cs-admin/hr/Employee_Relations.cfm. The request for a Step 2 Grievance Hearing must be presented to the Associate Vice Chancellor of Human Resources within five (5) workdays of receipt of the Step 1 decision or the date the Step 1 decision should have been received.
The Department of Human Resources will schedule a meeting for the grievant with the Division Head. When the employee meets with the Division Head, he/she should be prepared to orally discuss AND present in written form what act or acts are being challenged, the basis for the grievance, and the relief requested. The Division Head will consult with all sides of the dispute for the purpose of gathering all facts and events. The Division Head will consider all facts of the grievance, including all pertinent information provided in written form and orally presented by the employee and the supervisor(s).
The normal amount of time required for a decision in Step 2 should not exceed ten (10) workdays from the date the request for a Step 2 Grievance Hearing is received by the Associate Vice Chancellor of Human Resources unless the grievant agrees to an extension.
The Division Head will provide in writing to the employee, supervisor, and department head, his/her decision; and if applicable, any recommendations considered a solution to the grievance or appeal. The Division Head will also provide the employee with a copy of East Carolina University's Grievance and Appeal Policy for Employees Subject to the Personnel Act. In the absence of objection or appeal, any recommendations provided in the decision should be carried out within a reasonable period of time.
If the employee is not satisfied with the Step 2 decision, he or she may move to Step 3 provided it is done within five (5) workdays after receipt of the Step 2 decision.C. STEP 3 - Appeal to the Grievance and Appeal Committee
If the discussion and subsequent decision of the Division Head are not satisfactory to the employee or if the decision is not promptly implemented, the grievant may appeal the matter to the Grievance and Appeal Committee. Any request for review by the committee, commonly known as a Step 3 Grievance Hearing, shall be submitted in writing to be received by the Associate Vice Chancellor for Human Resources within five (5) workdays after the receipt of the Step 2 decision. The request shall be made in writing to the Associate Vice Chancellor of Human Resources by completing an "ECU SPA/CSS Employee Grievance and Appeal Request Form"in its entirety. The "ECU SPA/CSS Employee Grievance and Appeal Request Form"may be obtained from the Department of Human Resources or by visiting their website at http://www.ecu.edu/cs-admin/hr/Employee_Relations.cfm.The Associate Vice Chancellor for Human Resources will then transmit the request to the Grievance and Appeal Committee. Each party, which includes the grievant, the management representative, and the members of the grievance and appeal committee, shall be notified at least ten (10) workdays in advance of the date and location of the hearing.
The Associate Vice Chancellor for Human Resources, or his designated representative, will appoint the Grievance and Appeal Committee. The Grievance and Appeal Committee shall consist of five (5)-voting members and two (2) alternates. None of the seven (7) members of the Grievance and Appeal Committee shall be from the same operational unit as the employee appealing. The Grievance and Appeal Committee shall not be made up entirely of supervisory or administrative personnel. The demographics of the Grievance and Appeal Committee should reflect the demographics of East Carolina University's personnel pool and the employee. The employee shall be allowed the opportunity to eliminate up to two members of the Grievance and Appeal Committee where there is an issue of whether the members can render an unbiased decision. Once the members are eliminated, the Associate Vice Chancellor for Human Resources, or his designated representative, shall select two members as replacements on the Grievance and Appeal Committee. Neither the Associate Vice Chancellor for Human Resources nor the Employee Relations Officer shall serve in any capacity on the Grievance and Appeal Committee or participate in any deliberations of that committee. They may only serve as advisors on personnel policy. The selected members of the Grievance and Appeal Committee shall elect a Chairperson who will facilitate the process.
The Chairperson may hold pre-hearing conferences and if so, may hold a pre-hearing conference separately with each party 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. Any University employee shall provide all information related to the grievance as requested by the Chairperson. However, members of the Employee Services Department or employees who serve as Employee Advocate may not be required to reveal confidential information. After the pre-hearing conference, the Chairperson shall prepare a brief statement of the issues which he or she shall transmit along with any documentation of Steps 1 and 2 to the other panel members and the grievant and respondent.
If after reviewing the decisions at Steps 1 and 2 and hearing a forecast of the evidence at the pre-hearing conference, the Chairperson determines that it is virtually certain that the Step 3 hearing will result in a recommendation that the grievance be denied because:
1.) 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
2.) the grievance appears to have been filed for purposes of unlawful workplace harassment, is frivolous, is an abuse of the grievance process, or the if the grievant is ineligible to file a grievance because they do not meet the classification requirements as set out in Section II of this policy,
Then the Chairperson should recommend to the Chancellor that the grievance be dismissed without a Step 3 hearing. In making a recommendation to dismiss without a hearing, the Chairperson should summarize the reasons for making the recommendations. The Chancellor may accept the recommendation or request that the hearing be held.
At least five (5) workdays prior to the scheduled date of the hearing, the grievant and the management representative should forward to the Associate Vice Chancellor for Human Resources a list of all witnesses, which they wish to have present at the hearing. The Associate Vice Chancellor of Human Resources will provide the list of witnesses to the Chairperson of the Grievance and Appeal Committee. The grievant and management representative will be responsible for notifying their own witnesses as to the date, time and location of the hearing. Witness attendance at a Step 3 Grievance Hearing is voluntary. Witnesses do not have to attend if they so elect.
Any tape recordings (audio, visual, etc.) are prohibited during the Step 3 Panel Hearing.
At the conclusion of the hearing, it will be the responsibility of the Grievance and Appeal Committee Chairperson to inform the Chancellor, in writing, of the details of the grievance, share the dissenting opinions of the employee, and provide a recommendation for the final agency decision (FAD). This written summary shall include reasons why the problem was not resolved at the preceding steps and shall be forwarded to the Chancellor within ten (10) workdays after the conclusion of the hearing.
The employee shall be provided with a final agency decision within ten (10) workdays from the date the Chancellor receives the written summary from the Grievance and Appeal Committee, or be advised as to the conditions which prevent a response within the ten (l0) workdays and when a response may be expected. A written final agency decision and the employee's appeal rights must be delivered to the employee within a reasonable time from the date the grievance was initiated. A reasonable time is no more than 90 calendar days for dismissals and demotions. A reasonable time is no more than 120 calendar days for all other issues. The time limit may only be extended, if necessary, with the written consent of the employee.
D. STEP 4 - Appeal to the State Personnel Commission
Any career state employee who is not satisfied with East Carolina University's final agency decision has 30 calendar days from the receipt of East Carolina University's final agency decision to file an appeal to the State Personnel Commission. For information regarding appeal to the State Personnel Commission (employee status criteria, appealable issues, and appeal procedures) see the section on "Procedures for Appeal to the State Personnel Commission" at the end of this policy.
VI. GRIEVANCES ALLEGING WORKPLACE HARASSMENT
It is the policy of East Carolina University that no State employee may engage in conduct that falls under the definition of workplace harassment indicated below. All employees are guaranteed the right to work in an environment free from workplace harassment. Any employee who reports an alleged workplace harassment concern is protected against retaliation under this policy for exercising his or her right to have the matter investigated.
A. Definitions:
B. Procedures for Reporting Workplace Harassment
1.) An SPA employee who believes he or she has been the victim of unlawful workplace harassment is encouraged to attempt to resolve the matter initially with the administrative official most directly concerned, excluding the person accused of unlawful workplace harassment.
2.) An employee alleging workplace harassment should report the alleged harassment directly to East Carolina University's Equal Employment Opportunity/ADA Officer. An employee should file a report of workplace harassment within 30 calendar days of the alleged harassing action. Written complaints outlining the nature of the workplace harassment should be submitted to:
Ms. Taffye Benson Clayton
Assistant to the Provost and University Equity Officer
East Carolina University
Old Cafeteria Building, Suite G406
Greenville, NC 27858
(252)
328-6804
Once a written complaint is received, the Equal Employment Opportunity/ADA Officer will investigate the complaint. A determination based on the findings from the investigation of the allegations will be communicated to the employee who filed the complaint and the Chancellor of East Carolina University within sixty (60) calendar days from receipt of the written complaint.
The university shall provide a written response to the grievant when it has been determined what action, if any, will result from the grievant’s written complaint. If the university completed its investigation prior to the 60-day period allowed by the state, a waiver would be issued to acknowledge that the university waives its right to make another or different determination. Further, a waiver will be given to the grievant and the grievant will sign an Acknowledgement Waiver form to be returned to the university.
3.) If an employee is not satisfied with the determination based on the findings from the Equal Employment Opportunity/ADA Officer, the employee can file a formal grievance in accordance with this policy. The employee has fifteen (15) calendar days from the date he or she receives written notification of the determination made by the Equal Employment Opportunity/ADA Officer to submit an “ECU SPA/CSS Employee Grievance and Appeal Request Form” completed in its entirety to:
The Associate Vice Chancellor for Human Resources
Department of Human Resources
East Carolina University
210 East First Street
Greenville, NC 27858
(252) 328-9884
If the immediate supervisor or the Division Head is the alleged harasser, the grievance meeting will proceed directly to the next step of the SPA Grievance and Appeal Policy.
Former employees, like current employees, must go through the university's internal grievance procedure before initiating a process with the Office of Administrative Hearings. After the 60-calendar day response period has expired, the grievant may appeal directly to the Office of Administrative Hearings and the State Personnel Commission within 30 calendar days if not satisfied with the university’s response to the complaint. Contractors and outside vendors can also bring a complaint against a state employee.
VII. GRIEVANCES ALLEGING DISCRIMINATION
The University is committed to the principle of equal opportunity for all employed. Any applicant, State employee, or former State employee who has reason to believe that employment, promotion, training, or transfer was denied the employee; or that demotion, reduction in force or termination of employment was forced upon the employee because of age, sex, race, color, national origin, religion, creed, political affiliation or handicapping condition (disability) except where specific age or sex requirements constitute a bona fide occupational qualification necessary to perform the essential functions of the job, shall have the right to a grievance through the University's internal grievance process outlined below or directly to the State Personnel Commission (see Section VIII., Procedures for Appeal to the State Personnel Commission).
1.)
An employee alleging workplace discrimination should report the alleged
discrimination directly to East Carolina University's Equal Employment Opportunity/ADA
Officer. An employee should file a report of workplace discrimination within
30 calendar days of the alleged discriminatory action. Written complaints outlining
the nature of the workplace discrimination should be submitted to:
Ms. Taffye Benson Clayton
Assistant to the Provost and University Equity Officer
East Carolina University
Old Cafeteria Building, Suite G406
Greenville, NC 27858
(252)
328-6804
2.) Once a written complaint is received, the Equal Employment Opportunity/ADA Officer will investigate the complaint. The Equal Employment Opportunity/ADA Officer will make a determination based on the findings from the investigation of the alleged discrimination. The Equal Employment Opportunity/ADA Officer will communicate these findings to the employee who filed the complaint and to the Chancellor of East Carolina University within sixty (60) calendar days from receipt of the written complaint.
3.) If an employee is not satisfied with the determination
based on the findings from the Equal Employment Opportunity/ADA Officer, the
employee can file a formal grievance in accordance with this policy. The employee
has thirty (30) calendar days from the date he or she receives written notification
of the determination made by the Equal Employment Opportunity/ADA Officer to
submit an "ECU SPA/CSS Employee Grievance and Appeal Request Form"completed
in its entirety to:
The Associate Vice Chancellor for Human Resources
Department of Human Resources
East Carolina University
210 East First Street
Greenville, NC 27858
(252) 328-9884
VIII. APPEALS TO THE STATE PERSONNEL COMMISSION
A. Issues Appealable to the State Personnel Commission
1.) A career state employee may appeal to the State Personnel Commission by filing a petition for a contested case hearing in the Office of Administrative Hearings based upon:
a) Dismissal, demotion, or suspension without pay based upon alleged violations of G.S.126-35.
b) Unlawful state employment practice constituting discrimination proscribed by G.S. 126-36;
i) Denial based on age, sex, race, color, national origin, creed, political affiliation or handicapping condition (disability).
ii) Retaliation due to an employee’s opposition to alleged discrimination on any basis proscribed in G.S. 126-36. Retaliation against an employee for protesting an alleged violation on the basis of race, religion, color, creed, national origin, sex, age, or handicapping condition (disability).
c) Denial of veteran's preference in initial state employment or in connection with a reduction in force for an eligible veteran.
d) Denial of a promotion due to failure to post or failure to give priority consideration or re-employment to a career state employee as required by G.S. 126-7.1 and G.S. 126-36.2.
e) Denial of employee's request for removal of allegedly inaccurate or misleading information from the employee's personnel file.
2.) An applicant for State employment may appeal to the State Personnel Commission by filing a petition for a contested case hearing in the Office of Administrative Hearings, based upon:
a) Alleged denial of employment on the basis of race, religion, color creed, national origin, sex, age, or handicapping condition (disability) as proscribed in G.S. 126-16.
b) Denial of the non-career state employee applicant’s request for removal of allegedly inaccurate or misleading information from the employee’s personnel file as provided by G.S. 126-25.
c) Denial of equal opportunity for employment and compensation on account of the applicant’s age (limited to persons who are at least 40 years of age), sex, race, color national origin, religion, creed, or handicapping condition (disability) as defined by Chapter 168A of the General Statutes.
d) Denial of the veteran's preference in initial State employment to an eligible veteran.
3.) An employee in a position designated as policy making exempt under G.S. 126-5 may appeal to the State Personnel Commission by filing a petition for a contested case hearing in the Office of Administrative Hearings based upon:
a) A dispute as to whether a State employee’s position is properly exempted from the State Personnel Act under G.S. 126-5.
b) Denial of employee’s request for removal of allegedly inaccurate or misleading information from the employee’s personnel file.
c) Denial of equal opportunity for employment and compensation on account of the applicant’s age (limited to persons who are at least 40 years of age), sex, race, color, national origin, religion, creed, or handicapping condition (disability) as defined by Chapter 168A of the General Statutes.
d) Retaliation against an employee for protesting an alleged violation on the basis of race, religion, color, creed, national origin, sex, age, or handicapping condition (disability).
4.) Any state employee may appeal to the State Personnel Commission by filing a petition for a contested case hearing in the Office of Administrative Hearings based upon:
a) A false accusation regarding or disciplinary action relating to the employee's alleged unlawful coercion of a state employee to support a political candidate, political committee, or political party or to change their political affiliation.
B. Procedures for Appeal to the State Personnel Commission
1.) A Petition for a Contested Case Hearing (form H-06A) must be filed (received by) within 30 days of the final agency decision or within 30 days of the action or omission giving rise to the right of appeal at:
Office of Administrative Hearings
424 N. Blount Street
Capehart-Crocker House
6714 Mail Service Center
Raleigh, NC 27699-6714
(919) 733-2698
2.) Forms can be secured from the Office of Administrative Hearings (OAH) or State Personnel Commission (SPC):
State Personnel Commission
116 West Jones Street
Administration Building
Raleigh, NC 27603
(919) 733-7934
3.) The Office of Administrative Hearings conducts the hearings. Hearing procedures may be obtained by contacting:
Chief Hearing Clerk
Office of Administrative Hearings
6714 Mail Service Center
Raleigh, NC 27611-7447
(919) 733-2698
After the hearing, the Administrative Law Judge has 45 days from the close of the record to file a recommended decision to the State Personnel Commission. Cases are then heard and the State Personnel Commission renders a final administrative decision. These decisions are appealable to the Superior Court.
IX. AN EMPLOYEE' S RIGHT TO ACCESS HIS/HER PERSONNEL FILES POLICY AND PROCEDURE
Each employee has the right to review information within his or her personnel file. Any employee who wishes to review his or her personnel file should be directed to the appropriate Vice Chancellor's Office (for EPA personnel) or the Department of Human Resources (for SPA personnel). Employees are allowed to review their personnel records with the exception of reference material acquired at the time of employment. SPA employees should submit a written request to:
The Associate Vice Chancellor for Human Resources
Department of Human Resources
East Carolina University
210 East 1st Street
Greenville, NC 27858
(252) 328-9884
Employees have the right to appeal for the removal of any information they feel should not be a part of the record. If the request is made for the removal of any information, the employee will be advised to follow East Carolina University's Grievance Policy and Procedure.
The Department of Human Resources is responsible for maintaining "personnel flies" for all employees. Any public or State employee who shall knowingly and willfully permit any person to have access to confidential information of any portion of a personnel file shall be guilty of a misdemeanor.
X. ALTERNATIVE DISPUTE RESOLUTION (ADR) PROCEDURE FOR EMPLOYEES SUBJECT TO THE PERSONNEL ACT
It is the policy of East Carolina University that an individual who has the right to file a grievance through East Carolina University's grievance procedure may at the conclusion of any step after Step One (meeting between employee and immediate or appropriate supervisor), request in writing that their dispute be addressed through East Carolina University's Alternative Dispute Resolution (ADR) Process. The request shall be in writing by completing the ADR Consent Form and submitting it to:
The Associate Vice Chancellor for Human Resources
Department of Human Resources
East Carolina University
210 East 1st Street
Greenville, NC 27853
(252) 328-9884
The Associate Vice Chancellor for Human Resources shall notify all parties to the dispute, in writing, within 48 hours of receipt of the request. Alternative Dispute Resolution is not successful when it is forced, so ADR has to be consented to by both the grievant and the management representative.
The ADR Process is officially considered to have begun once the completed and fully executed form is received by the Associate Vice Chancellor for Human Resources. The Associate Vice Chancellor for Human Resources shall choose a neutral party to conduct the ADR Process, subject to the approval of the parties involved. The mediator (the neutral party to conduct the mediation process) must meet the following eligibility requirements:
a) Have no personal, financial, or business interest or relationship with any participant in the dispute or with regards to the dispute. Status as an employee of the agency, alone, does not preclude an agency employee from being a neutral party.
b) Have no prior knowledge of, or have conducted no actual review of, the evidence and facts regarding any participant or the merits of the dispute that would impact the decision.
c) Have completed 40 hours of training in basic mediation or other alternative dispute resolution medium.
d) Have a minimum of 2 years experience with the State Personnel Act or Administrative Procedures Act or with the administration of policies and procedures adopted under the North Carolina State Personnel System.
e) Have completed the Office of State Personnel training course on the State Personnel Commission discipline, dismissal, and grievance rules.
If the parties fail to agree upon a neutral party to conduct the ADR process after ten (10) calendar days from the signing of the ADR consent form, the process shall be abandoned and the dispute returns to the level at which the internal grievance process stopped prior to beginning the ADR process.
By signing the ADR consent form, the parties acknowledge that they have read, and understand, the rules of mediation outlined in this section of the East Carolina University's Grievance and Appeal Procedure for Employees Subject to the State Personnel Act. The parties agree to make a good faith effort to abide by the conditions imposed by this section. The request for mediation will suspend the time framework of the East Carolina University's Grievance and Appeal Procedure for no more than fifteen (15) calendar days. Beyond this time, both parties must agree, in writing, to any further delay. Mediation can involve a conference between the parties and the mediator. The mediator shall at all times be in control of the conference and the procedures to be followed. The mediator has a duty to be impartial and to advise all parties of any circumstances bearing on possible bias, prejudice or partiality. At the beginning of meditation, the mediator will describe to all the parties:
a) The process of mediation;
b) The differences between mediation and other forms of conflict resolution;
c) The fact that mediation is not a trial, that the mediator is not a judge;
d) The circumstances under which the mediator may meet alone with either of the parties or with any other person;
e) The conditions under which communications with the mediator will be held in confidence during the conference;
f) That neither party may be represented by any outside party (e.g. legal counsel);
g) The duties and responsibilities of the mediator and parties;
h) The fact that any agreement reached will be reached by mutual consent of the parties.
The mediator has discretion in deciding how the mediation will be conducted. The function of the mediator is to assist the parties in coming to a mutually satisfactory resolution of the grievance; the mediator is not under a duty to determine the merits of the grievance. The mediator may meet and consult privately with any party during the conference. The mediator may recess the mediation at any time and may set times for reconvening. The mediator has a duty to timely determine when mediation is not viable or when mediation should end. The agency will also bear any costs for the mediation process. The mediator is responsible for giving timely notice to the parties of the time and location of the mediation. If a person fails to attend a duly ordered mediation meeting without good cause, the mediator may cancel the mediation.
If the mediation process resolves the grievance, the mediator will draft a document setting out the terms and conditions of the resolution. The grievant, manager, and/or management representative will sign this document. The resolution agreement shall be kept in a confidential agency file in the Department of Human Resources for three (3) years and shall not be transferred to any other agency. All other documents pertaining to the resolution of a dispute through the East Carolina University's ADR process that are not official personnel action forms or other required parts of the official personnel file shall be destroyed at the conclusion of the ADR process. Each party shall receive a copy of the signed resolution agreement no later than five (5) workdays after the conclusion of the ADR process.
Any resolution or agreement reached during the ADR process, to the extent that it involves a grievance or contested case issue, shall be treated as a settlement/consent agreement for the purposes of 25 NCAC lB.0436 (subject to approval by the State Personnel Director and the State Personnel Commission).
When the ADR process is utilized in connection with non-contested case issues or when the employee does not otherwise have a statutory basis for appeal to the State Personnel Commission, any resolution of the dispute through the agency ADR process shall be binding.
If resolution is not achieved, the mediator shall write a summary of the contentions of each of the participants, and shall submit the summaries to the Chancellor of East Carolina University along with notification of failure of ADR process. Within five (5) workdays of receipt of notification of failure of ADR, the Chancellor shall issue a final agency decision. The final agency decision shall notify the grievant of any rights. When the dispute involves a contested case issue under G.S.126-34.1, the final agency decision shall be appealable to the State Personnel Commission. The employee has thirty (30) calendar days from receipt of the Final Agency Decision to file an appeal to the State Personnel Commission. (For information regarding appeals - See Step 4, of the agency's grievance procedure - Appeal to the State Personnel Commission)
The request to utilize the ADR process; the failure of the ADR process; the elements or components of any of the discussions, sessions, hearings, investigations, or other activities in connection with the ADR process; and any communications shared in connection with the ADR process, shall not be admissible as evidence in any proceeding subsequent to the conclusion of the ADR effort
Any issues of noncompliance with resolution agreements or noncompliance with a decision reached through a binding resolution procedure shall be enforceable only as available in the general courts of justice of North Carolina.
A. Discrimination
An employee who alleges unlawful workplace harassment and elects to utilize
East Carolina University's Alternative Dispute Resolution (ADR) Procedure shall
have the right to bypass any step in the Alternative Dispute Resolution (ADR)
Procedure involving discussions with or review by the alleged harasser. The
employee should enter into mediation with the next higher level supervisor who
is not the alleged harasser.
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ALTERNATIVE DISPUTE RESOLUTION (ADR) CONSENT FORM EAST CAROLINA UNIVERSITY
We, the undersigned agree to enter into this
ADR Process on
___(date) to resolve
the grievance
complaint regarding
(grievance issue).
We have read and understand the ADR Process as outlined in East Carolina University's Grievance and Appeal Policy for Employees Subject to the Personnel Act and agree to the following provisions:
1) The ADR Process must be resolved in a reasonable amount of time (90 days from filing for dismissal and demotion and 120 days for all others).
2) The neutral party chosen to conduct the ADR Process will meet the training and experience requirements outlined in the State Grievance Policy. If both parties cannot agree on the neutral party to conduct the ADR Process within 10 days from the date both parties signed this consent form, the dispute will revert back to East Carolina University's Grievance and Appeal Policy for Employees Subject to the Personnel Act.
3) Neither Party shall have legal representation during the process.
4) Resolutions involving non-contested case issues are binding. Contested case issues are appealable to the State Personnel Commission.
5) If resolution fails, the agency head will make a final agency decision within five days of the ADR failure. The decision will include any appeal rights the grievant may have.
6) Both parties must be willing to sign a written agreement if resolution is achieved. The agreement can only stay in the employee's file for three years and cannot be transferred to another agency. All non-personnel or non-official related documents will be destroyed at the end of the process.
7) East Carolina University bears the costs associated with this ADR process.
8) The request to utilize the ADR Process; the failure of the ADR Process; the elements or components of any discussions, sessions, hearings, investigations, or other activities in connection with the ADR Process; shall not be admissible as evidence in any proceeding subsequent to the conclusion of the ADR effort.
9) We acknowledge that the ADR Process officially begins when both parties sign this form. We agree to make a good faith effort to resolve this grievance in a fair and timely manner.
Employee: Date: __________
Management Rep: Date: ___________
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SPA/CSS EMPLOYEE GRIEVANCE AND APPEAL REQUEST FORM
EAST CAROLINA UNIVERSITY
Instructions:
To file a formal grievance, an employee is required to complete and submit this form to the Department of Human Resources in accordance with the guidelines of the University's regulations regarding Grievance and Appeal Policy for Employees Subject to the Personnel Act. All sections MUST be completed. (Attach additional sheets if necessary.)
A. EMPLOYEE INFORMATION
Full Name: _______________________________________________________________
Position Title: ______________________ Department: __________________________
Campus Address: ___________________ Work Telephone: ______________________
Home Address: ______________________ Home Telephone: ______________________
Date of Incident: _____________________ Supervisor's Name: ____________________
B. GRIEVANCE INFORMATION
I am requesting a Step 1 / 2 / 3 Grievance Hearing
(Circle 1, 2 or 3 to indicate which Step is requested)
C. State the specific reason(s) for the Grievance:
D. State the specific resolution being requested:
Employee Signature: _______________________________________Date: ______________
SUBMIT THIS FORM TO: Associate Vice Chancellor of Human Resources, Department of Human Resources, East Carolina University, 210 East First Street, Greenville, NC 27858