Term
| It is the policy of the Department of Public Safety (DPS) to implement and administer a disciplinary process to ensure all employees receive fair and consistent treatment relative to addressing job performance and personal conduct issues in the workplace.This policy applies to State employees who have career status as defined by N.C.G.S. § 126-1.1.,as follows: |
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Definition
Is employed in a permanent position; and
Has been continuously employed by the State of North Carolina or a local entity as provided in N.C.G.S. §126-5(a)(2) in a position subject to the State Human Resources Act for the immediate 24 preceding months. |
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Term
| It is the policy of the Department of Public Safety (DPS) to implement and administer a disciplinary process to ensure all employees receive fair and consistent treatment relative to addressing job performance and personal conduct issues in the workplace. This policy does not apply to the following employees: |
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Definition
Non-career state employees.
Employees occupying positions that have been designated as exempt policy-making, exempt managerial, confidential assistant/secretary or as a chief deputy.
Employees who are subject to N.C. General Statute 115C-325, System of employment for public school teachers. |
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Term
| The DPS’s Disciplinary Policy and Procedures and the OSHR Disciplinary Action, Suspension and Dismissal Policy shall be prominently displayed in their entirety in: |
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Definition
| locations easily accessible by all employees and shall also be made available to employees upon request. Both policies are available electronically. |
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Term
| DPS sections are encouraged to develop internal operational procedures.A copy of the operational procedures are to be submitted and maintained by? |
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Definition
| Human Resources (HR) Employee Relations (ER) |
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Term
| Disciplinary actions require approval from and are at the sole discretion of an appropriate_________ and may delegate approval authority to any level of management by operational procedure. The operational procedure must specify: |
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Definition
Commissioner or designee
who has the authority to approve what type of disciplinary action |
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Term
| A meeting between a supervisor and employee for the purpose of discussing job performance or personal conduct issues that have not risen to the level of requiring formal disciplinary action, with the intent of improving the employee’s performance or personal conduct. |
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Definition
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Term
| An act of unacceptable personal conduct, unsatisfactory job performance or grossly inefficient job performance for which no disciplinary action has previously been issued by DPS. |
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Definition
| Current Unresolved Incident |
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Term
A personnel action that reduces the salary of an employee within their current pay grade, or
A personnel action that places the employee in a position at a lower pay grade with or without reducing the employee’s salary, and
The personnel action is involuntary, and
The action is issued to discipline the employee. |
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Definition
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Term
| The removal of an employee from work for disciplinary reasons without pay for the length of time suspended. |
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Definition
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Term
| The involuntary termination of the employment of an employee for disciplinary reasons, or for failure to obtain or maintain necessary job-related credentials. |
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Definition
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Term
Failure to satisfactorily perform job requirements as defined in the job description, work plan, or as directed by the management of the work unit or DPS; and, the act or failure to act causes or results in:
Death or serious bodily injury or creates conditions that increase the chance for death or serious bodily injury to an employee(s) or to members of the public or to a person(s) for whom the employee has responsibility; or,
The loss of or damage to State property or funds that results in a serious adverse impact on the State and/or work unit. |
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Definition
| Gross Inefficiency (Grossly Inefficient Job Performance) |
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Term
| A disciplinary action becomes inactive, i.e., cannot be counted towards the number of prior disciplinary actions that must be issued before further disciplinary action can be issued for unsatisfactory job performance when |
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Definition
manager or supervisor notes in the employee’s personnel file that the reason(s) for the disciplinary action has/have been resolved or corrected
For performance-related disciplinary actions, the performance evaluation process documents a summary rating that reflects an acceptable level of performance overall and satisfactory performance in the area cited in the warning or other disciplinary action
Eighteen (18) months have passed since issuance of the warning or disciplinary action and the employee does not have another active warning or disciplinary action occurring within the last eighteen (18) months. If a warning, demotion or disciplinary suspension occurs within the eighteen (18) months of prior disciplinary warnings, demotions or suspensions, the disciplinary action will remain active until the end date of the most recent disciplinary action |
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Term
| The willful failure or refusal to carry out a reasonable order from an authorized supervisor. Insubordination is unacceptable personal conduct for which any level of discipline, including dismissal, may be imposed without prior warning. |
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Definition
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Term
The standard of reasonableness used to evaluate an employee’s action(s) in
a given set of circumstances to determine what level of disciplinary action, if any, will be
administered. |
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Definition
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Term
| All employees of the DPS shall maintain personal conduct of an acceptable standard as an employee and member of the community. |
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Definition
| Unacceptable Personal Conduct |
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Term
| Work-related performance that fails to satisfactorily meet job requirements as set out in the relevant job description, work plan, or as directed by the management of the work unit or DPS. |
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Definition
| Unsatisfactory Job Performance |
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Term
| _________ is the lowest level of formal disciplinary action and, in cases of unsatisfactory job performance, is the first type of formal disciplinary action that management may issue. A written warning may also be issued for unacceptable personal conduct. |
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Definition
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Term
| Just cause for disciplinary action falls into two categories: |
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Definition
Discipline issued based on unsatisfactory or grossly inefficient job performance, and
Discipline issued based on unacceptable personal conduct. |
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Term
| When just cause exists, the disciplinary actions that can be issued are: |
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Definition
Written Warning
Disciplinary Suspension without Pay
Demotion or
Dismissal |
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Term
| The determination of unsatisfactory job performance is generally made by the immediate supervisor. The supervisor’s determination must be reasonable, proper and factually supported. In determining whether an employee’s performance is unsatisfactory job performance, a manager may consider any one or a combination of the factors |
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Definition
The quality of work;
The quantity of work;
The accuracy of work;
Work habits;
Promptness;
The timely performance of work;
Related analysis, decisions, or judgment;
The performance or work plan and the appraisal;
Absenteeism;
Ability to follow instructions, directions, or procedures;
The appropriateness of work performed;
Any other factors that, in the opinion of the supervisor, are appropriate to determine whether an employee’s performance constitutes unsatisfactory job performance. |
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Term
| Before disciplinary action for unsatisfactory job performance may be issued, the following must occur for each respective type of disciplinary action.Written Warning:The employee must have: |
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Definition
| a current unresolved incident of unsatisfactory job performance |
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Term
| Disciplinary Suspension without Pay:The employee must have: |
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Definition
a current unresolved incident of unsatisfactory job performance, and
at least one (1) active disciplinary action, and
a Pre-Disciplinary Conference. |
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Term
| Demotion:The employee must have: |
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Definition
a current unresolved incident of unsatisfactory job performance, and
at least one (1) active disciplinary action, and
a Pre-Disciplinary Conference. |
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Term
| Dismissal:The employee must have: |
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Definition
a current unresolved incident of unsatisfactory job performance and
at least two (2) active disciplinary actions, and
a Pre-Disciplinary Conference. |
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Term
| Just cause to issue disciplinary action for grossly inefficient job performance exists when failure to satisfactorily perform job requirements, as set out in the job description, work plan, or as directed by the management of the work unit or agency; and the act or failure to act causes or results in: |
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Definition
Death or serious bodily injury, or creates conditions that increase the chance for death or serious bodily injury to an employee(s) or to members of the public or to a person(s) for whom the employee has responsibility; or,
Loss of or damage to State property or funds that results in a serious adverse impact on the State and/or work unit. |
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Term
| No prior discipline is required to suspend, demote or dismiss an employee for grossly inefficient job performance. Before an employee may be suspended, demoted or dismissed for grossly inefficient job performance, the following must occur: |
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Definition
a current unresolved incident of grossly inefficient job performance and
a Pre-Disciplinary Conference. |
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Term
| Before disciplinary action for unacceptable personal conduct may be issued, the following must occur for each respective type of disciplinary action:Written Warning: |
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Definition
| Current unresolved incident of unacceptable personal conduct. |
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Term
| Before disciplinary action for unacceptable personal conduct may be issued, the following must occur for each respective type of disciplinary action:Disciplinary Suspension without Pay: |
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Definition
Current unresolved incident of unacceptable personal conduct, and
Pre-Disciplinary Conference. |
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Term
| Before disciplinary action for unacceptable personal conduct may be issued, the following must occur for each respective type of disciplinary action:Demotion: |
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Definition
Current unresolved incident of unacceptable personal conduct and
Pre-Disciplinary Conference. |
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Term
| Before disciplinary action for unacceptable personal conduct may be issued, the following must occur for each respective type of disciplinary action:Dismissal: |
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Definition
Current unresolved incident of unacceptable personal conduct, and
Pre-Disciplinary Conference. |
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Term
| A written warning shall include the following information in the text of the document |
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Definition
A statement that it is specifically a written warning
Specific job performance or personal conduct deficiencies that are the basis for the written warning;
What specific job performance or personal conduct corrections must be made;
The timeframe in which the employee must show improved performance or conduct. If the written warning does not include a correction time frame, the time frame is sixty (60) calendar days for unsatisfactory job performance and immediately for unacceptable personal conduct and shall continue on an ongoing basis;
Consequences of failing to make the required corrections. Specifically, failure to correct the job performance, or failure to correct the unacceptable personal conduct may result in additional disciplinary action up to and including dismissal;
A written warning cannot be appealed.
Signature line for employee |
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Term
Any employee may be suspended without pay for disciplinary reasons for a current incident of unsatisfactory job performance after the receipt of at least one prior active disciplinary action, or without prior warning or disciplinary action for unacceptable personal conduct or for grossly inefficient job performance.
Length of Time for Disciplinary Suspension without Pay |
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Definition
Subject to the Overtime Compensation Provisions of the Fair Labor Standards Act
One (1) work day
Two (2) work weeks
Exempt from the Overtime Compensation Provisions Fair Labor Standards Act
One (1) work week
Two (2) work weeks |
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Term
| After review by the Human Resource Director or his/her designee, a Pre-Disciplinary Conference may be scheduled.The manager/supervisor must: |
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Definition
Provide advance written notice to the employee of the Pre-Disciplinary Conference
Conduct the Pre-Disciplinary Conference |
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Term
| Any employee who fails to attend the Pre-Disciplinary Conference without prior notification to the manager, shall |
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Definition
| forfeit his/her right to a Pre-Disciplinary Conference. Management will proceed with the decision for disciplinary action. |
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Term
| Following the Pre-Disciplinary Conference and final approval of the Disciplinary Suspension without Pay by the Commissioner or designee, the manager will then meet with the employee and provide a written statement to include |
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Definition
Notice of the disciplinary suspension without pay specifically stating that it is a suspension without pay;
Specific job performance or personal conduct deficiencies that are the basis for the suspension without pay;
What specific job performance or conduct corrections must be made;
The timeframe in which the employee must show improved performance or conduct. If the disciplinary suspension without pay written notice does not include a correction time frame, the time frame is sixty (60) calendar days for unacceptable job performance and immediately for unacceptable personal conduct;
The consequences of failing to make the required corrections. Specifically, failure to correct the job performance, or failure to correct the unacceptable personal conduct may result in additional disciplinary action up to and including dismissal;
Written notice of appeal rights. |
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Term
| To pursue a demotion, the following requirements apply for the respective categories: |
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Definition
Unsatisfactory Job Performance: a current incident of unsatisfactory job performance after the employee has received at least one (1) prior active disciplinary action.
Unacceptable Personal Conduct: without any prior active disciplinary action.
Grossly Inefficient Job Performance without any prior warning or disciplinary action. |
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Term
| Disciplinary demotions may be accomplished by any of the three (3) methods |
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Definition
Reducing the grade/band
Retaining the salary
Salary shall not exceed the maximum of the salary schedule for the new lower grade/band.
Reducing the grade/band
Reducing the salary
Same as above
Retaining the grade/band
Reducing the salary
The salary shall not be less than the minimum of the salary schedule for that grade/band |
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Term
| Following the Pre-Disciplinary Conference and final approval of the demotion by the Commissioner or designee, the manager will then meet with the employee and provide a written statement to include: |
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Definition
Notice of the demotion specifically stating that it is a demotion;
Specific job performance or personal conduct deficiencies that are the basis for the demotion;
What specific job performance or conduct corrections must be made;
The timeframe in which the employee must show improved performance or conduct. If the letter of demotion does not include a correction time frame, the time frame is sixty (60) calendar days for unacceptable job performance and immediately for grossly inefficient job performance or unacceptable personal conduct;
The consequences of failing to make the required corrections. Specifically, failure to correct the job performance, or failure to correct the unacceptable personal conduct may result in additional disciplinary action up to and including dismissal.
Written notice of appeal rights;
If applicable, any change to the employee’s classification, salary rate and/or pay grade/band, and indicate what change will occur in the salary rate and/or pay grade/band. |
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Term
KNOW THIS ONE*******
To pursue a dismissal, the following requirements apply for the respective categories: |
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Definition
Unsatisfactory Job Performance: An employee must have at least two (2) active disciplinary actions and a current incident of unsatisfactory job performance before the employee may be dismissed for unsatisfactory job performance. Disciplinary actions include: Written Warnings, Disciplinary Suspension without Pay and Demotion.
Grossly Inefficient Job Performance: An employee may be dismissed for a current incident of grossly inefficient job performance without any prior disciplinary actions.
Unacceptable Personal Conduct: An employee may be dismissed for a current incident of unacceptable personal conduct without any prior disciplinary actions. |
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Term
| If an employee is dismissed and does not appeal the dismissal, the dismissal letter is a |
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Definition
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Term
| The employee shall be given advance written notice of the conference at least ____ hours prior to the conference. The notice must inform the employee of the: |
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Definition
Type of disciplinary action being considered;
Conference date, time and location; and
Facts that led to the recommendation. |
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Term
| The Pre-Disciplinary Conference participants are: |
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Definition
The supervisor or other person chosen by DPS management to conduct the conference;
A second management representative may be present at management's discretion;
The employee; and
If the person conducting the conference chooses, security may be present |
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Term
| Can an employee have witness present at the Pre-Disciplinary Conference? |
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Definition
| An employee does not have the right to have witnesses at the conference. |
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Term
| Failure to give written reasons for the suspension without pay, demotion or dismissal, written notice of appeal rights, or to conduct a Pre-Disciplinary Conference is a procedural violation.If DPS fails to follow procedure what? |
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Definition
| DPS management shall be subject to the rules of the State Human Resources Commission dealing with procedural violations. |
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Term
| An employee may be placed on Investigatory Leave with Pay only: |
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Definition
To investigate allegations of performance or conduct deficiencies that would constitute just cause for disciplinary action;
To provide time within which to schedule and conduct a pre-disciplinary conference; or
To avoid disruption of the work place and/or to protect the safety of persons or property. |
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Term
| ILWP may last no more than _____ ithout written approval of extension by the Secretary or designee and the State Human Resources Director or designee. When an extension beyond the is required, the agency must advise the employee in writing of the extension, the length of the extension, and the specific reasons for the extension. |
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Definition
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Term
All employees who have attained career status as that term is defined in law may have appeal rights as allowed by the State of North Carolina Employee Grievance Policy.
An employee as identified above may appeal the following disciplinary actions: |
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Definition
Demotion;
Disciplinary Suspension without Pay;
Dismissal. |
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