Disciplinary Process

Employee Relations has developed this approved set of standards to provide a consistent and fair approach to attendance matters across campus. Departments that currently use an internal attendance process are encouraged to use these standards as a guide.

Leadership are invited to review and update their attendance policies to align with the guidance in this document. Several sections of the template can be customized to meet your department’s specific needs.

To keep policies current, departmental Attendance Standards should be reviewed annually by management to ensure alignment with the latest University policies. Before sharing the finalized, customized version within your department, consult with the Director of Employee Relations & Engagements at hr@unca.edu for review, approval, and inclusion of the Office of Human Resources records.

New SHRA permanent employees, as well as, those returning to State, service serve a 12-month probationary period (or 24 months for eligible law-enforcement roles). This introductory period is designed to support your successful transition into your role, provide opportunities for feedback and development, and ensure you have what you need to thrive at UNC Asheville.

During the probationary period, supervisors continuously assess performance, communication, and overall job readiness. If concerns arise, supervisors must work in consultation with the Office of Human Resources Director of Employee Relations prior to addressing the employee. However, the University may decide to end an appointment at any point during the probationary period if it becomes necessary. If that occurs, the employee will receive written notification of separation, and the letter must be reviewed by the Director of Employee Relations or CHRO before it is finalized and issued.

After successfully completing the probationary period, employees are covered by the full SHRA Disciplinary Action Policy, which outlines the standard procedures and protections for SHRA employees moving forward.

Notice of Separation During Probationary Period

Although probationary employees are not covered by the full SHRA disciplinary policy, a formal notice is still required if a separation occurs.

For situations where a probationary SHRA employee’s employment may need to conclude. Management may make this recommendation, and the Director of Employee Relations & Engagement will review the decision to help ensure clarity and fairness.

The disciplinary process for SHRA permanent employees at UNC Asheville is designed to be fair, consistent, and corrective. Our goal is always to help employees succeed, and supervisors are strongly encouraged to consult with the Director of Employee Relations & Engagement as soon as any performance or conduct concerns arise. Early support often helps prevent issues from escalating and ensures that employees receive guidance when they need it most.

Types of Disciplinary Action 

At UNC Asheville, disciplinary actions are designed to be corrective and supportive, helping employees improve performance or address conduct concerns while maintaining a positive workplace. Depending on the situation, actions may be informal or formal:

Informal Warning: 

1. Coaching and Counseling
2. Verbal Warning

Formal Warnings: 

1. Written Warning
2. Suspension Without Pay (up to one work week)
3. Demotion (in rank and/or pay)
4. Dismissal

How Discipline Progresses 

• For unsatisfactory job performance, discipline is typically progressive and requires at least four steps: 

• • First incident: Informal Verbal Warning 
  • Second incident: Formal Written Warning 
  • Third incident: Formal Suspension or Demotion 
  • Fourth incident: Formal Dismissal 

• For unacceptable personal conduct or grossly inefficient job performance, more serious consequences including, dismissal may occur on a first offense, depending on the severity of the situation. 

Pre-Disciplinary Conference 

Before a permanent SHRA employee can be suspended, demoted, or dismissed, the supervisor must consult with the Director of Employee Relations & Engagement, prior to holding a Pre-Disciplinary Conference. This meeting provides the employee with an opportunity to respond to the concerns and to share any relevant context before a final decision is made. The Director of Employee Relations & Engagement must attend this conference to ensure consistency, clarity, and support for both employee and supervisor. 

Additionally, the Director of Employee Relations & Engagement must review and approve all disciplinary letters and related documentation before they are issued.

Employees Not Covered by This Policy 

Temporary and probationary employees are not covered by the SHRA Disciplinary Action Policy and may be released from employment as management determines appropriate. 

For full details, refer to the SHRA Disciplinary Action Policy

Management is expected to consult with the Director of Employee Relations & Engagement in the Office of Human Resources at the onset of any employee performance or conduct deficiencies to discuss both informal and formal methods for revolving such workplace issues. Employees also are encouraged to contact Employee Relations to discuss ways of resolving workplace issues.

Director of Employee Relations & Engagement Contact: hr@unca.edu 

The following documents are intended for use only with permanent SHRA staff employees. To ensure accuracy, consistency, and clarity, the Director of Employee Relations & Engagement must review and approve all disciplinary letters and related notices before they are issued.

Coaching and Counseling (Initial, Informal Step) 

Coaching and counseling is the first, informal step in addressing workplace performance or conduct concerns. It gives employees guidance, feedback, and support to improve before any formal action is considered. Supervisors and OHR work with employees to clarify expectations and identify solutions, helping ensure a fair and positive approach to resolving issues.

Step 1: Verbal Warning (Initial, Informal Corrective Step) 

A Verbal Warning is often the first step a supervisor takes when a performance or conduct issue arises. It is meant to be a supportive, coaching-focused conversation that clarifies expectations and helps employees get back on track before formal action becomes necessary. 

When to Use a Verbal Warning 

• Minor performance concerns or missed expectations. 
• First-time issues that do not require documentation. 
• Situations where coaching may resolve the problem. 

How Managers Should Give a Verbal Warning 

Supervisors should approach this conversation with clarity, care, and respect. A best-practice verbal warning includes: 

1. Private Meeting: Hold the conversation in a confidential space. 
2. State the Concern Clearly: Describe the specific behavior, action, or performance issue using neutral language. 
3. Explain the Impact: Help the employee understand how the issue affects the team, department, or campus operations. 
4. Clarify Expectations: Explain what needs to change and any relevant policies or standards. 
5. Offer Support: Ask how you can help. Does the employee need training, clearer direction, resources, or feedback? 
6. Set a Follow-Up Timeline: Determine when you will reconnect to assess progress. 
7. Document for Yourself: While this step does not use a formal OHR template, supervisors should keep private notes summarizing the conversation, date, and expectations set. 

Important: A verbal warning is not disciplinary action under SHRA policy, but it often prevents issues from escalating. The Director of Director of Employee Relations & Engagement is available to coach supervisors on how to conduct these conversations.

Step 2: Written Warning (First Formal Disciplinary Step) 

Used When: 

• The issue continues after a Verbal Warning. 
• The concern is significant enough to document formally. 
• Progressive discipline is required for unsatisfactory job performance. 
• Corrective action for behavior or conduct that does not yet require suspension, demotion, or dismissal. 

Step 3: Leave Without Pay (If Applicable) 

In some situations, a Notice of Investigatory Leave With Pay (NILWP) will be used when additional time is needed to gather information or review an incident that may result in disciplinary action: suspencsion, demotion, or dismissal.

Step 4: Pre-Disciplinary Hearing (Required Before Determination of Final Actions) 

As part of our commitment to fairness, employees may participate in a Pre-Disciplinary Hearing to share their perspective before suspension, demotion, or dismissal is considered. The Director of Employee Relations & Engagement must attend this meeting.

Step 5: Disciplinary Decisions (After Pre-Disciplinary Hearing) 

These forms are used after the Pre-Disciplinary Hearing and only when a supervisor along with the Director of Employee Relations & Engagement or CHRO, has determined that disciplinary action is appropriate. 

These templates support a fair and consistent process and help ensure that employees and supervisors have the information they need at each step.

Need Help? 

If you need guidance or have questions about which template to use, contact the the Director of Employee Relations & Engagement at hr@unca.edu. We are here to help you navigate the process and provide support as needed.  

The disciplinary process for EHRA employees at UNC Asheville is designed to be fair, consistent, and supportive. Our goal is to help employees succeed, and supervisors are strongly encouraged to reach out to the Office of Human Resources Employee Relations area as soon as any performance or conduct concerns arise. Early guidance, coaching, and mediation can often prevent issues from escalating and ensure that employees receive the support and feedback they need to thrive in their roles.

Policy Link: Policy on Employee Exempt from the North Carolina Human Resources Act

Management is expected to consult with the Director of Employee Relations & Engagement in the Office of Human Resources at the onset of any employee performance or conduct deficiencies to discuss both informal and formal methods for revolving such workplace issues. Employees also are encouraged to contact Employee Relations to discuss ways of resolving workplace issues. 

Director of Employee Relations & Engagement Contact: hr@unca.edu 

At UNC Asheville, we value a supportive, respectful, and productive workplace. Our EHRA disciplinary policies are designed to address performance or conduct concerns in a fair, consistent, and constructive way. We encourage managers and employees to use coaching, guidance, and mediation to address concerns whenever possible before any formal action is necessary. The following steps provide a framework to ensure fairness, transparency, and opportunities for improvement while maintaining a positive workplace and ensuring compliance with University policies. 

Step 1: Early Intervention and Coaching 

For Managers: 

• Address performance or conduct concerns as soon as they arise. 
• Schedule a private discussion with the employee to clarify expectations and provide guidance. 
• Document the conversation for reference; this is informal and supportive, not disciplinary. 
• Engage the Director of Employee Relations & Engagement in the Office of Human Resources early for advice or guidance. 

For Employees: 

• Listen to feedback and ask clarifying questions. 
• Identify ways to improve performance or behavior. 
• Take advantage of coaching and mentoring opportunities offered. 

Step 2: Informal Mediation and Guidance 

Purpose: Provide a structured opportunity for employees and managers to resolve concerns with the Office of Human Resources support before formal steps. 

Process: 

• Employee Relations facilitates a conversation to clarify expectations, resources, and possible adjustments. 
• Agreement may include goals, timelines, or additional training. 
• Documentation is kept confidential within the Office of Human Resources support. 

Step 3: Formal Review and Investigation 

When Used: 

• If performance or conduct issues persist after coaching or mediation. 
• If the issue is significant (e.g., safety, compliance, ethics). 

Process: 

• Employee receives a Notice of Review, explaining the concerns. 
• Employee has the opportunity to provide their perspective (written or in a meeting). 
• Employee Relations may facilitate a review or investigate to assess the situation. 
• All meetings are confidential and supportive, with the option for the employee to have a support person present. 

Step 4: Decision and Possible Actions 

EHRA employees are at-will; formal actions may be taken after consultation with the Director of Employee Relations & Engagement or CHRO. The focus of the Office of Human Resources remains on corrective guidance whenever possible. 

Possible Actions (but not required) Include: 

• No Formal Action: issue resolved through coaching, guidance, or mediation. 
• Written Feedback or Corrective Guidance: clarifies expectations and timelines for improvement. 
• Formal Disciplinary Action (Rare / Significant Issues) may include: 
  • Written Notice of Concern 
  • Suspension Without Pay (Rare; Consult Director of Employee Relations & Engagement ) 
  • Demotion or Reassignment (Rare; Consult Director of Employee Relations & Engagement ) 
  • Termination (Consult Director of Employee Relations & Engagement ) 

Notes for Managers: 

• All formal steps must be consulted with the Director of Employee Relations & Engagement before action is taken. 
• Employees should receive timely communication and the opportunity to respond. 
• Documentation should be factual, objective, and focused on behavior or performance. 

Key Principles 

• Coaching and guidance first: Most issues can be resolved before formal action. 
• Fair and consistent treatment: OHR support ensures consistent application of guidance and policies. 
• Opportunity to respond: Employees have a voice at every formal step. 
• At-will context: EHRA status allows flexibility, but the goal is always to support improvement and fairness. 

These templates support a fair and consistent process and help ensure that employees and supervisors have the information they need at each step. 

Need Help? 

If you need guidance or have questions about which template to use, contact the Director of Employee Relations & Engagement at hr@unca.edu. We are here to help you navigate the process and provide support as needed.