Human Resource Services
Policy 12 - Employee Relations
In order to maintain a harmonious and cooperative relationship between Appalachian State University and its employees, it is the policy of the University to provide the settlement of promises and differences through an orderly employee relations program. The employee relations program is administered through close cooperation among Human Resource Services, the employee, and the supervisor in the department.
PERFORMANCE MANAGEMENT SYSTEM
All staff employees are evaluated through the Performance Management System. The system promotes communication between employees and supervisors and permits employees to participate in setting the performance expectations. The forms used are the Employee Performance Management System Work Plan Performance Appraisal Form (PM-1), and the Employee Performance Management System Summary of Job Performance (PM-2) . The steps in the process are as follows:
Performance Expectations
At the beginning of the annual work cycle, the employee and supervisor will meet to determine the primary job factors usually by looking at the job description. Primary job factors are defined as recurring/repetitive duties required of the job. The primary job factors may be defined as broader projects or assignments.
The number of primary job factors will depend on the level and complexity of each job. In determining which factors are primary, consideration should be given to:
- Percentage of time given to the function
- Consequence of effort in carrying out function
- Relative difficulty of the function compared to other parts of the job
- Impact on unit objectives when a function is carried out successfully
Development/Improvement Plan
The supervisor should determine at the beginning of the work cycle if there is a need for additional training to improve performance deficiencies. The supervisor or employee may suggest training which would enhance or improve job performance.
Performance Expectations
Performance expectations are the measures or the criteria which the supervisor uses to appraise the performance of the employee. The purpose of developing performance expectations is to ensure that the supervisor and the employee share a mutual understanding of the performance expected at the "good performance" level.
Method of Evaluation
The method of evaluation is defined as the method the supervisor will use to monitor the performance of the employee. Common monitoring methods are:
- observation
- sampling
- actual completed assignments
Interim Review
Every supervisor is required to meet with each employee at the middle of the work/appraisal cycle to discuss performance progress. This meeting is designed to allow employee and supervisor time to discuss progress toward meeting performance expectations, and to make adjustments or changes if needed.
Actual Performance
The final component of the annual work cycle is a formal appraisal of the employee's performance. At the end of the work cycle, the supervisor evaluates the actual performance of the employee based on the performance expectations that were agreed upon, and stated at the beginning of the work cycle.
During the performance appraisal conference the performance expectations should be reviewed and evaluated by the supervisor. Based on this review and any documentation gathered by the supervisor or the employee, the supervisor will then rate each expectation using the rating scale established by the University.
Performance Pay Dispute Review Process
If disputes occur between the employee and the supervisor concerning the overall rating, a review process has been established to review the complaint. Complaints include:
- no increase in pay
- insufficient increase
- the alleged inaccurate/misleading nature of performance appraisals
- actual performance rating
Note: If the employee's rating is at the good or below level, the employee must be informed, in writing, of their appeal rights allowing the employee to dispute the overall rating. The employee shall have fifteen (15) days in which to appeal and file a dispute request. Contact Human Resource Services for appeal forms.
In order to file a complaint the following steps must be taken:
Step I - The appeal must first be presented in writing to the employee's immediate supervisor for review on a form provided by Human Resource Services. The supervisor may meet with the employee before making a decision. The employee shall receive a written response from the supervisor within five (5) working days from the date of the request for supervisory review. If a response is not given, the employee must be advised as to the conditions which prevent an answer within five (5) working days and when an answer can be expected.
Step II - If the decision in Step I is not satisfactory to the employee, he or she may, within five (5) working days from date of receipt of a written response from the supervisor, request that the Review Board consider the matter. This request must be made in writing on a form provided by Human Resource Services and should be submitted to the Director of Human Resource Services, who will convene the Review Board.
The Review Board will take information from the employee and from management in order to reach a decision. The employee must be allowed to appear in person before the Review Board, but his or her appearance is not mandatory. Neither side will be permitted to be represented by an attorney.
The Review Board will submit a written recommendation to the Chancellor within five (5) working days from the date of the review. The Chancellor shall have the authority to accept, modify or reverse the recommendation of the Review Board. Once the Chancellor receives a recommendation from the Review Board he will communicate a final decision in writing to the employee within a reasonable length of time. The decision is final and cannot be appealed further.
SUPERVISORY EVALUATION
Once during each year, staff employees are asked to complete a Supervisory Evaluation Form, to rate all staff supervisors. The purpose of the evaluation is to indicate to supervisors their strengths and weaknesses, and areas in their jobs where improvement is needed.
From these indicated weaknesses, training programs can be developed which would assist these persons in becoming better supervisors.
The Supervisory Evaluation Form should be completed on the supervisor who signs the employee's time sheet or does the annual performance appraisal each year.
Employees who have a one-to-one supervisor/employee relationship are not required to complete a form, but may voluntarily review the form with their supervisor.
Once the Supervisory Evaluation Forms are received by Human Resource Services, the results are tabulated for each supervisor. The original evaluations are then destroyed. Supervisors never see the original forms completed by employees. The supervisor being evaluated receives a copy of the tabulated results for his or her evaluation. Managers are encouraged to review the results of those supervisors they manage.
STAFF EMPLOYEE GRIEVANCE POLICY
The purpose of the grievance policy is to provide a means of communication between supervisors and employees and to establish principles of administration to insure a prompt, orderly, and fair response to an employee's grievance or complaint.
This policy meets all requirements and is consistent with all policies as established by the State Personnel Commission and is administered in a totally equitable manner and is free of any unlawful discrimination.
Employees have a right to present a grievance free from interference, restraint, coercion, or reprisal.
WHO IS COVERED
This policy covers only permanent position appointment, career employees. Permanent position appointment employees who have completed a probationary period but not yet attained career status may grieve contested case issues through the University level (through the Grievance Committee to the Chancellor) but may not appeal to the State Personnel Commission level. As of July 1, 1996, career status is accorded to every state employee in state service who (a) is in a permanent position; and (b) was continuously employed by the State of North Carolina in a position subject to the State Personnel Act for the immediate 24 preceding months.
This policy does not cover probationary status employees or trainee employees. However, probationary employees or trainee employees in their first year of service can file a grievance under this policy if alleging illegal discrimination or if alleging that information in the employee's personnel file is false or misleading. See the section on this below.
WHAT TYPES OF ACTION ARE COVERED
This policy covers the following types of action:
- Demotion
- Disciplinary suspension without pay
- Dismissal
- Improper application of the university's reduction-in-force policy
- Illegal discrimination (see the section below on this point)
- Denial of promotional priority (for state employees competing with non-state employees for a job vacancy)
- Denial of priority re-employment for reduction-in-force and exempt status employee applicants
- False and misleading information in the personnel file
- Workplace Harassment
- Any other actions made grievable by the State Personnel Act
- Denial of veteran's preference in initial employment or reduction-in-force
Performance rating disputes can be appealed within Appalachian State University by a separate policy. Such disputes cannot be appealed outside the University.
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 function of the University, standards of service, the overall University budget, the utilization of technology, and the assignment and re-assignment of staff to positions, duty stations, and shifts, except where such transfers include a demotion to a lower classification.
Employee warnings are issued in accordance with the State Personnel Commission's Disciplinary Action, Suspension and Dismissal Policy as outlined in the State Personnel Manual Section 9, pp 1-26 and the Appalachian State University Resource Manual, Human Resource Services Section, Policy 19 .
Written warnings are considered to be inactive in the following instances:
- after the expiration of 18 months, unless there has been additional written disciplinary action since the date the written warning was issued
- after 18 months, unless the employee is notified in writing that the timetable for the written warning is extended
- at any time if the supervisor or other authorized management representative concludes that the problem that gave rise to the warning has been resolved, is unlikely to re-occur, and the employee is notified in writing that the written warning is being removed from the employee's personnel file
- when an employee receives a summary rating at the good or above level on the overall summary rating and a rating of good or above in the area of concern as identified as being deficient
Written warnings are not grievable under this policy. However, an employee may write a letter To The File stating his or her point of view in the matter. This document shall be forwarded to Human Resource Services to be placed in the employee's permanent file along with the warning.
A disciplinary suspension without pay for an employee who is subject to the overtime compensation provisions of the Fair Labor Standards Act (FLSA) must be for at least one full work day, but may not be for more than two work weeks. The length of a disciplinary suspension without pay for an employee who is exempt from the overtime compensation provisions of the FLSA must be for at least one full work week, but may not be for more than two full work weeks.
Generally, matters not specifically set out in this policy as those which can be grieved cannot be grieved. The Director of Human Resource Services can answer specific questions.
ILLEGAL DISCRIMINATION
Any employee (regardless of length of service) 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 (above 40), gender, race, color, national origin, religion, creed, political affiliation, handicapping condition, or retaliation except where specific age, sex, or physical requirements constitute a bonafide occupational qualification necessary to proper and efficient administration shall have the right to appeal through the University grievance procedure within the time frame established or may appeal directly to the State Personnel Commission. An employee who chooses to bypass the University's internal grievance procedure and appeal directly to the State Personnel Commission must do so within 30 calendar days of notice of the alleged discriminatory action.
An employee who alleges sexual harassment and elects to utilize the University grievance procedure shall have the right to bypass any step in the University grievance procedure involving discussions with or review by the alleged harasser.
INACCURATE OR MISLEADING INFORMATION IN A PERSONNEL FILE
Any employee, regardless of length of service, who alleges that written information in the employee's personnel file is false or misleading may file a grievance. In the grievance, the employee should specify the information which is false or misleading. Any employee may examine his or her personnel file by stopping by Human Resource Services any time during regular working hours.
FILING A GRIEVANCE
Any employee who has adverse action taken against them will be given written notice of any applicable appeal rights he or she might have.
An eligible employee who wishes to file an appeal internally, under the University grievance policy and procedures, must file the grievance within fifteen (15) calendar days of the date the employee learned (or with reasonable effort should have known) of the action being contested. However, those issues which are appealed outside the University will abide by the notice requirements of the respective agency to which the issue is being appealed.
HOW TO OBTAIN INFORMATION ABOUT THE GRIEVANCE POLICY
The Director of Human Resource Services will provide information and answer questions about the grievance policy. This policy shall be posted in a permanent and conspicuous place in work areas and will be placed in the Resource Manual and Staff Employee Handbook which is available to all employees in every work area. New employees will be informed of the policy and grievance procedure during orientation training sessions. All employees will be notified of grievance policy and procedure changes through University newsletters and/or through inserts attached to employee payroll checks or direct deposit slips. Employees shall be notified no later than 30 days prior to the effective date of the change.
TIME OFF FOR PROCESSING GRIEVANCES
Employees shall be allowed time off from regular duties as may be necessary and reasonable up to a maximum of eight 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.
Upon request, the employee's supervisor shall grant reasonable leave for participation as a party in a contested case hearing and other administrative proceedings outside the University in connection with employment without loss of pay, vacation leave, or other time credits. Prior notification and approval is required and employees must document the time needed for this purpose. The Director of Human Resource Services shall provide guidance to employees and supervisors in case of disagreement regarding a reasonable amount of time off for this purpose.
ROLE OF THE HUMAN RESOURCE SERVICES OFFICE
Upon request, the Director will provide assistance to employees or supervisors in processing or responding to grievances. The Director of Human Resource Services will draw up written guidelines for hearings and share them with the interested parties, along with providing training for members of grievance committees.
Further, the Director of Human Resource Services will provide every employee a copy of the university grievance policy and procedures annually and whenever an employee receives a grievable disciplinary action.
The Director of Human Resource Services will maintain all records on grievances filed within the department for a period of at least 18 months. Grievances filed and all related information will be analyzed on an annual basis by demographics, division/commission, and nature of issues grieved to insure that University policies and procedures are administered fairly, consistently, and follow good employee relations practices.
The Director of Human Resource Services will respond to all requests for information regarding grievances and appeals. He will report this and other relevant information as requested to the Office of State Personnel and other appropriate authorities.
The Director of Human Resource Services shall submit this policy for review by the Office of State Personnel on January 1 of each even-numbered year to insure that it is in compliance with current state law and rules.
STEPS IN THE INTERNAL GRIEVANCE PROCESS :
Step 1 -- Discussion Between Employee and the Immediate Supervisor, or the Appropriate Supervisor To initiate a grievance, the employee must file notice of the grievance setting out what act or acts are being challenged, the basis for the grievance, and the relief requested within 30 calendar days of the contested action to the immediate supervisor. The employee should send a copy to the Director of Human Resource Services.
In the event that the grievance does not fall within the administrative or decision making authority of the immediate supervisor, the immediate supervisor shall refer the grievance to the lowest level supervisor with administrative or decision making authority over the subject matter within 48 hours and shall notify the employee of the fact and of the basis for the referral. The immediate supervisor or the appropriate supervisor should meet with the employee within five (5) calendar days, or notify the employee why he or she cannot meet with the employee within the five (5) day time frame. The supervisor may call higher level supervisors into the discussion if needed, or may seek advice from higher level supervisors before answering the grievance. The employee shall receive a written response within ten (10) calendar days of the date that the supervisor receives the notice of grievance or be advised of the conditions which prevent a response within the ten day period. In any event, the final written response from the supervisor should be no later than fifteen calendar days from the date the grievance was initially filed. Notification of employee appeal rights must be included .
Step 2 -- Discussion Between Employee and Department Head If the discussions and subsequent decision of the supervisor are not satisfactory to the employee, or if the employee fails to receive a written response from the supervisor within fifteen days of the time that the employee filed the grievance, the employee can request the consideration of the immediate supervisor's manager/supervisor. This will normally be the department head.
An appeal to the department head may be presented either orally or in writing within five (5) days of the Step 1 decision, and a written response to the employee's appeal should normally be given within ten (10) days of that date. Notification of employee appeal rights must be included.
Step 3 -- Appeal to the Chancellor through the Grievance Committee If the discussions and subsequent decisions at Step 1 or Step 2 are not satisfactory to the employee, or if the decision is not received within the established time frame or if the decision is not properly implemented, the matter may be appealed to the University Grievance Committee. Any request for review by the committee shall be made to the Director of Human Resource Services within five (5) calendar days after the receipt of the decision at the earlier step or steps. The employee filing the grievance shall provide a written summary of the specific facts of the complaint, copies of which shall be provided at the same time to all other parties concerned. The employee may ask the Director of Human Resource Services or other designee for help in preparing the request and the written summary of the specific facts of the appeal. The Director of Human Resource Services shall transmit the request to the grievance committee. Each party will be notified in advance of the scheduled date of the hearing and every effort will be made to accommodate schedules.
Neither the employee nor management may be represented by an attorney during the hearing; however the employee may consult with a fellow employee of their choice in bringing and presenting such complaint, including the right of the grievant to have that employee-assistant accompany them during any hearings that may be held as part of the grievance process; such assistants would serve as advisors, not as advocates or spokespersons.
The Director of Human Resource Services will appoint the University grievance committee. The University grievance committee shall consist of five (5) members who are not from the same operational unit as the employee appealing. The committee shall not be made up entirely of supervisory or administrative personnel. The demographics of the committee should reflect the demographics of the University personnel pool and the employee to the extent possible, particularly where illegal discrimination is alleged. The employee shall be allowed the opportunity to eliminate up to two members of the grievance committee if the employee believes that those persons cannot render an unbiased decision. Once the members are eliminated, the Director of Human Resource Services shall select two members as replacements on the committee.
The Director of Human Resource Services or other members of the Human Resource Services staff shall not participate in the deliberations of the committee, although the members of the committee can ask for guidance on interpretation of personnel policies if the members of the committee so choose.
At the conclusion of the hearing, it will be the responsibility of the grievance committee chairperson to inform the Chancellor, in writing, of the details of the grievance and make a recommendation for the final University decision. The Chancellor will review all relevant information and issue a final University decision within ten (10) working days of the report of the grievance committee.
A final University decision must be delivered to the employee within a reasonable time from the date that the grievance was initiated. A reasonable time is no more than 90 days for workplace harassment, dismissals and demotions and no more than 120 days from all other issues. This time limit may only be extended, if necessary, with the written consent of the employee. Notification of employee appeal rights must be included.
APPEAL OF THE FINAL UNIVERSITY DECISION
Any employee who does not agree with the final University decision AND has attained career status as defined earlier in this policy, may appeal this decision within 30 days of receipt to the State Personnel Commission. For more information regarding appeal to the State Personnel Commission, see Human Resource Services, Procedure Statement 14 entitled "Procedure For Appeal To The State Personnel Commission."
University Responsibilities
By January 1 of each even-numbered year, the University shall:
- File its grievance procedure with the Office of State Personnel
- File for approval by the State Personnel Commission, any modification(s) to the University grievance procedure prior to the procedure becoming effective
- Submit a certified statement that no changes have been made to the grievance procedure since the last submission if such is the case
- Include in the grievance procedure the effective date of the procedure and the effective date of any changes to the procedures
- Continuously evaluate the grievance procedure's effectiveness in achieving the University's goals
- Compile information on employee grievance semi annually and as otherwise requested by the Office of State Personnel. These reports shall be submitted prior to the first business day of January and July.
ISSUES APPEALABLE TO STATE PERSONNEL COMMISSION
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:
- Dismissal, demotion, or suspension without pay based upon alleged violation of G.S. 126-35
- Unlawful state employment practice constituting discrimination proscribed by G.S. 126-36 which includes a) denial based on age, sex, race, color, national origin, religion, creed, political affiliation or handicapping condition; or b) 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
- Denial of veteran's preference in initial state employment or in connection with a reduction in force for an eligible veteran
- Denial of promotion due to failure to post or failure to give priority consideration for promotion or re-employment to a career state employee as required by G.S. 126-7.1 and G.S. 126-36.2
- Denial of an employee's request for removal of allegedly inaccurate or misleading information from the employee's personnel file
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:
- Alleged denial of employment on the basis of race, religion, color, creed, national origin, sex, age, or handicapping condition as proscribed in G.S. 126-16
- 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
- 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 as defined by Chapter 168A of the General Statutes
- Denial of the veteran's preference in initial State employment to an eligible veteran
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 dispute as to whether a State employee's position is properly exempted from the State Personnel Act under G.S. 126-5
- Denial of an employee's request for removal of allegedly inaccurate or misleading information from the employee's personnel file
- Denial of equal opportunity for employment and compensation on account of the employee's age (limited to persons who are at least 40 years of age), sex, race, color, national origin, religion, creed or handicapping condition as defined by Chapter 168A of the General Statutes
- Retaliation against an employee for protesting an alleged violation on the basis of race, religion, color, creed, national origin, sex, age, or handicapping condition
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 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 party affiliation.
SERVICE AWARDS PROGRAM
The University participates in the State of North Carolina service awards program, in recognition of the long-term service of permanent staff employees. Awards are presented for five year intervals of service to those employees who are eligible. An employee's Aggregate State Service is used to determine his or her eligibility for a Service Award See Human Resource Services, Policy 9, "Aggregate State Service" . Therefore, it is important for an employee to inform the Human Resource Services of any State service earned prior to his or her employment with the University.
University staff employees are honored for their years of service to the State of North Carolina. Service awards are given for 5, 10, 15, 20, 25, 30 and for each additional five years over thirty.
The University Service Awards presentations are made each year at a luncheon held to honor staff employees for their years of service in State government.
STAFF COUNCIL
The University Staff Council is a group of staff members from the various departments on campus. Members are elected by the staff personnel in their department or building to serve for two years.
The Staff Council meets monthly, or more often if necessary, to consider problems and information pertinent to staff employees. The Council works through the proper administrative officials to resolve the problems and answer the questions brought before them. In addition, the Staff Council serves as a planning group for all staff social functions.
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