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Purpose
To describe procedures, consistent with established policy under the county code, that will assist supervisors and managers administering disciplinary action. This EPP is intended to serve as a guideline. It is not intended to be a contract nor is it intended to supersede any of the negotiated collective bargaining agreements that are in force in the County.
Scope
This EPP applies to all classified regular-status and classified probationary employees in County employment, unless there is a conflict with applicable provisions of a collective bargaining agreement. “Classified” and “unclassified” employees are as defined in the County Code.
Supervisor’s Responsibility
The role of the first-line supervisor is key to maintaining an effective disciplinary system. The responsibilities of the supervisor are as follows:
1. Know the disciplinary policy, rules of conduct, and disciplinary procedures of the County.
2. Inform employees of expected standards of conduct and performance.
3. Counsel and coach employees as problems occur.
4. Recognize the need for initiating disciplinary action and intervene in a timely manner.
5. Make specific entries in the employee’s file or other formal disciplinary records maintained by the County.
Discipline Policy
It is the policy of the County that disciplinary measures for classified regular-status employees shall be corrective, progressive, lawful and proportionate to the nature of the offense, and that disciplinary action for such employees shall be for cause as it relates to job performance. These policies are established and further explained in the County Code, section 2.05.190.2. Collective bargaining agreements also establish a “just cause” or similar standard for disciplinary action regarding regular-status employees in a bargaining unit.
Kinds Of Disciplinary Action
The possible kinds of disciplinary action include, in increasing order of severity:
Oral reprimand;
Written reprimand;
Suspension without pay;
Demotion; and
Dismissal
These types of disciplinary action are described in the County Code, section 2.05.190.4
General Procedures For Administering Discipline
1. Investigate the facts thoroughly before giving any discipline. If there is a need to remove an employee from the workplace during an investigation, administrative leave with pay is available as described in the County Code. Items to investigate include:
- Who was involved?
- What happened?
- When did the violation or deficiency occur?
- Where did it occur?
- Who were the witnesses, if any?
- What rule, policy, or practice was violated?
- What is the past record of the employee? (Length of service as well as number and severity of previous problem areas should be considered.)
2. Many investigations include an interview of the employee for whom disciplinary action is being considered. In an investigatory interview of a union-represented employee, where the employee reasonably believes that the interview may lead to discipline for him or her, the employee (at his or her request) has the right to have a union representative present.
3. When the facts have been investigated and considered, determine a proposed course of action. A checklist that may be helpful in reviewing the situation is attached to this EPP as “Appendix A.”
4. Notify the employee of the reasons for proposed discipline, the level of proposed discipline, and give the employee a chance to respond, before making a final decision.
5. After the employee has responded, complete any additional investigation that is needed. 6. If the decision is to proceed with disciplinary action, prepare a written letter to the employee (except in cases or oral reprimand) outlining the reason for the discipline and the particular action to be taken. Also prepare the appropriate Personnel Action form. The letter and Personnel Action form should be reviewed by the Personnel Division. Sample letters are attached to this EPP as “Appendix C.”
7. Investigate the facts and administer the discipline as soon after misconduct is identified as possible.
8. For union-represented employees, review the bargaining agreement and follow all of its provisions relating to discipline and discharge.
9. Contact DES with any questions or for assistance as needed.
10. Make an effort to administer discipline in a manner that will not unduly embarrass the employee--typically in a location away from other employees.
Procedures For Administering Discipline Without Economic Loss
Oral reprimand and written reprimand are types of discipline that do not involve economic loss. When a supervisor believes there is cause for discipline without economic loss, the supervisor should follow the general procedures for administering discipline. The County Code requires that notice be given to the employee, prior to a final decision being made, of:
the cause for discipline,
the investigation made or to be made, and
the disciplinary action considered.
The County Code does not require that such notice be in writing; however it is often a good idea to put such notice in writing, particularly if written reprimand is being considered. The County Code requires that the employee be given a reasonable opportunity to offer facts in explanation or mitigation.
Procedures For Administering Discipline With Economic Loss
Suspension without pay, demotion and dismissal are types of discipline that involve economic loss. When a supervisor believes there is cause for discipline with economic loss, the procedures are the same as above, however in such cases the County Code requires that written notice be given to the employee, prior to a final decision being made, of:
the cause for discipline,
the investigation made or to be made, and
the disciplinary action considered.
As above, the County Code requires that the employee be given a reasonable opportunity to offer facts in explanation or mitigation.
A summary of the “three-step process” is attached to this EPP as Appendix B. It describes the steps of the disciplinary process in more detail: (1) investigation, (2) written notice of proposed discipline, and (3) written notice of disciplinary action.
Sample written notices are attached to this EPP as “Appendix C.”
In instances of proposed dismissal, the employee should be given ten (10) days advance notice of the dismissal date as required by County Code. Payroll should be notified of a dismissal in advance so that a payroll check may be given to the employee by the next business day after the dismissal, as required by law. If the appointing authority believes that circumstances require the separation of an employee from his/her work assignment following a decision for dismissal but preceding the effective date of dismissal, the employee may be suspended with or without pay during the remainder of the 10-day notice period.
The appointing authority should notify the employee of a dismissal by certified mail or, if possible, by hand delivering the letter and Personnel Action form. A copy of those materials should be provided to the Personnel Division within 24 hours.
Internet Links
Attachments: Appendix A: Checklist Review Appendix B: Summary of Three-Step Process Appendix C: Sample Letters
