Employee Discipline Procedures

• This document establishes the TFD's disciplinary policy for all TFD employees
• Procedures included are for:
  • Intradepartmental employee problems
  • Supervisory level discipline
  • Investigations
  • Issuing an oral reprimand
  • Issuing a written reprimand
  • Putting personnel on administrative leave
  • Internal Advisory Board (IAB) issues
  • Discipline resulting in suspension, demotion, or termination
• This policy applies to all TFD personnel, uniformed and civilian, and supersedes all earlier versions
• Associated forms include:
  • Notice of Intent to Discipline
  • Garrity Warning
  • Consent for Audio Recording
• For related information refer to:
  • TFD Policy 1003: EEO/Anti-Harassment and Anti-Discrimination
  • TFD Policy 1010: Counseling
  • Local 31, Local 120, Local 160 and/or Local 483 collective bargaining agreements for clerical and Fire Electrical employees

Responsibilities

• The Fire Chief shall appoint IAB members and make decisions involving suspension, demotion, and termination
• The Deputy Chief of Administration maintains this document
• Officers/Supervisors investigate misconduct allegations and take action
• The Office Manager in the Chief's Office ensures employees in disciplinary processes can access all materials used by the Department

Employee Responsibilities

• Every TFD employee is responsible for their own behavior and actions
• Every TFD employee must understand their rights under this policy, such as representation in investigations that may lead to disciplinary action

Definitions

• Allegation: A claim that an employee violated policy, procedure, law, or performance standards
• Administrative Leave: Department action removing an individual from their workplace that places them on paid temporary leave and their continued presence is not in the best interests of the individual or the Department
• Bureau Chief: Individual overseeing one of TFD's two Bureaus, either Operations or Administration
• Charge: A conclusion that an employee violated a policy, procedure, law, or performance standard
• Chief Officer: Includes Fire Chief, Deputy Fire Chiefs, Assistant Fire Chiefs, Medical Services Officer, and Battalion Chiefs
• Discharge: Department terminating an employee due to significant, multiple, or recurring charges
• Garrity Warning: An explanation to an employee of the legal ramifications of answering or refusing to answer questions during a disciplinary hearing
  • Specific language used: "I wish to advise you that you are being questioned as part of an official investigation of the Tacoma Fire Department. You will be asked questions specifically directed and narrowly related to the performance of your official duties or fitness for duty. You are entitled to all the rights and privileges guaranteed by the laws and the Constitution of this state and the Constitution of the United States, including the Fifth Amendment right to not be compelled to incriminate yourself and to have an attorney (or union representative) of your choice present during questioning. I further wish to advise you that if you refuse to testify or answer questions relating to the performance of your official duties or fitness for duty, you will be subject to departmental charges that would result in your dismissal from the Department. If you do answer, neither your statements nor any information or evidence that is gained by reason of such statements can be used against you in any subsequent criminal proceeding. However, these statements may be used against you in relation to subsequent departmental charges. All members shall testify truthfully in all statements to the Internal Advisory Board. Failure to do so constitutes separate grounds for discipline, up to and including dismissal."
• Interoffice Memo: Written inter/intradepartmental communication
• Investigation: Fact-finding process in response to an allegation

Disciplinary Actions

• Oral Reprimand: Lowest level of discipline, a conversation with a written record between supervisor and employee addressing specific allegations, charges, or violations of policy or rules
  • This action may include instructing, directing, correcting, re-training, commanding, encouraging, motivating, and setting expectations, with the intent to change behavior
  • It serves as a warning that inappropriate behavior needs to be corrected
• Pre-disciplinary Process: The process followed for all personnel for all proposed disciplinary action that results in suspension, demotion, or termination
• Progressive Discipline: An escalating disciplinary philosophy that seeks to correct inappropriate behavior and emphasizes individual responsibility
  • The correct level of discipline is the lowest level that achieves the desired change in behavior
• Suspension Without Pay: Action by the Department subjecting an employee to loss of income as a consequence of significant, multiple or recurring charges
• Temporary or Permanent Demotion: Action by the Department to re-assign and reduce rank or pay due to significant, multiple or recurring charges
• Weingarten Rights: Represented employees have the right to be represented by the person of their choice at an investigational meeting when the employee has a reasonable belief that the meeting could lead to discipline
  • The representative helps the employee tell their story
  • The representative ensures the investigator does not engage in inappropriate behavior
  • The representative assists by bringing up additional facts and clarifying both questions and answers
  • The representative may ask additional questions and make additional statements on the employee's behalf
• Working Days: Monday through Friday, 0800 to 1700 hours, excluding holidays
• Written Reprimand: Second level of discipline, a written record of charges attributed to an employee as a result of specific actions or behaviors by that employee
  • Includes instructing, directing, correcting, re-training, commanding, encouraging, motivating, and setting expectations, with the intent to change behavior
  • It serves as an escalated warning

References

• City of Tacoma Personnel Management Policy 125 (PMP 125): Predisciplinary Procedures for Classified Employees
• Tacoma Municipal Code, Section 1.24.940 (TMC 1.24.940)
• Tacoma Municipal Code, Section 1.24.955 (TMC 1.24.955)
• City of Tacoma Joint Labor Master Agreement
• City of Tacoma Personnel Management Policy 130 (PMP 130): Anti-Discrimination and Anti-Harassment Policy

Rules

• Employee discipline is intended to be corrective, educational, lawful, and progressive when appropriate
• Employees may be disciplined or discharged for just cause and with due process, based on offense severity
• Probationary and appointive personnel are "at will" employees and may be disciplined, demoted, or terminated at the Chief's discretion
• Employee collective bargaining provisions and applicable state and federal laws will be followed
• TFD philosophy is based on regular communication to identify and resolve problems, recognizing good performance, correcting issues at the lowest level, and using progressive discipline
• Departmental disciplinary procedures were formulated using PMP 125, collective bargaining agreements, and the Labor-Management Master Agreement
• Work performance, conduct, attendance, or reliability issues may require disciplinary action
  • Should the employee fail to improve following counseling the department wil, then, employ formal disciplinary measures
• Supervisors should seek advice when uncertain, and the Department uses progressive discipline to change performance or behavior issues
• Progressive discipline is used to generate fair, equitable, and non-threatening performance correction
• Significant, multiple, or recurring performance problems often require more stringent disciplinary action, and termination follows failure of progressive discipline or a serious offense
• Disciplinary action considers severity, repetition, prior record, and the need to change behavior, and may include oral/written reprimands, suspension, demotion, or termination
• The Department supports employees' right to representation during investigations that could lead to disciplinary action
• A Chief Officer may place an employee on administrative leave if their continued work presence could be detrimental to the employee or cause public harm
• An IAB may be used to investigate for the Fire Chief and advise recommended actions.
• The Fire Chief may direct other disciplinary, remedial, or corrective measures when appropriate
• Only the Fire Chief has termination authority via suspension, demotion, or termination

Internal Advisory Board (IAB)

• The Fire Chief or any Deputy Chief may call an IAB meeting when deemed necessary by the Fire Chief or when more serious disciplinary actions have failed
• The IAB membership consists of TFD Deputy Chiefs and Assistant Chiefs plus representatives from Human Resources and the City Attorney's Office
  • The Fire Chief may include others when necessary
• The Department notifies the Union when an employee is scheduled for an IAB appearance or receives a Notice of Intent to Discipline or when charges have been made
• IAB missions include reviewing, investigating, or discerning specific or general personnel issues or problems related to allegations and possible charges
• IAB meetings are investigatory, requiring employees to answer questions that could result in disciplinary action
  • Garrity Warnings are read and acknowledged
  • Weingarten Rights observed
• IAB hearings are fact-finding in nature, with no opportunity for legal argument or cross-examination
  • The Board may examine pertinent witnesses or documents identified by the employee, at its discretion

Pre-disciplinary Process

• Except for probationary or appointive employees, the pre-disciplinary process is followed for all personnel for all proposed disciplinary actions that include loss of pay, suspension, demotion, or termination
  • Refer to collective bargaining agreements, TMC 1.24.955, and/or City PMP 125 for non-represented personnel for possible variations
• The Fire Chief can issue the Notice of Intent to Discipline, if required
• Upon receipt, the employee can appeal in writing or in person to the Fire Chief within 10 calendar days, specifying each charge and disciplinary action contested and reasons for contesting
• The employee may request a meeting where the Fir Chief will meet with the employee and selected representative chosen by the employee and any personnel deemed appropriate by the Fire Chief at the meeting.
• The Department will adhere to the employee's collective bargaining agreement and City policies
• A copy of all written materials, reports, documents, and evidence will be available to the employee or representative at least 72 hours before the pre-disciplinary hearing
• The hearing date will be no less than 10 working days from the employee's notification of alleged violations, unless waived by the employee or the Union
• The Department may place an employee on paid administrative leave pending final disciplinary decision
• Personnel may be placed on administrative leave for issues including the well-being, protection, or interests of the individual(s), unit, division, Department, City, or the public
• Employees on administrative leave will be assigned to the 8-hour day shift, Monday through Friday, 0800 to 1700 hours, to allow for timely resolution of the issues
  • The employee is to remain at their residence and make themself available to the Department during those times
  • The employee may make alternate communication arrangements with a approval from a Deputy Chief
• Only The Fire Chief or his/her designee may order the release to duty or other type of leave of an employee who has been placed on paid administrative leave

Employee File Documentation

• No document may be placed the personnel file without proper notification being delivered to the employee
• Written charges will be documented indicating the violated City or Department policy, procedure, law, or standard
• Documents placed into an employee's personnel file from the pre-disciplinary actions, and/or subsequent investigations, will remain a permanent part of the employees personnel file
  • Such documents may only removed upon authorization of the Deputy Chief, and at the Fire Chiefs Approval, and the proper documentation must be provided explaining the reason
• The employee may have his/her own rebuttal statement regarding a disciplinary decision, including reprimands, placed in both the Department and City personnel files
• An Employee Assistance Program (EAP) statement must be included in all documents for disciplinary action, with contact information
• Copies to be placed in employee's City personnel file:
  • Notification to the employee and/or his/her representative regarding Notice of Intent to Discipline
  • Notice of any final disciplinary decision issued by the Fire Chief, including decisions to not file charges
  • Rebuttal statements from the disciplined employee
• Copies to be placed in employee's Department personnel file:
  • Notification to the employee and/or his/her representative regarding Notice of Intent to Discipline
  • Notice of any final disciplinary decision issued by the Fire Chief, including decisions to not file charges
  • Written documentation of oral reprimands
  • Copies of written reprimands
  • Any written correspondence with the employee's Union
  • Rebuttal statements from the disciplined employee
• After one year, an employee may petition the Fire Chief to have written documentation of an oral reprimand removed from his/her Department personnel file

Procedure for Intradepartmental Employee Problems

• Supervisors should attempt to mitigate personnel problems between two employees whenever possible
• When practical, an employee may attempt to resolve ordinary personnel conflicts with other parties of the same or different rank
• An instance which would violate anti-discrimination requirements, refer to TFD Administration Policy 1003: EEO Anti-Harassment and Anti-Discrimination
• Guidelines for employees and supervisors to follow when attempting resolution:
  • Seek advice from a supervisor, TFD EEO officer, or Union official
  • Find an appropriate time and place to talk to the other employee
  • Focus on assisting the other person to be a better employee
  • Be prepared to communicate concerns, problems, and issues clearly, knowing the other person may react with emotion
  • Listen and learn about the other person's perspective
  • Know that parties involved may need time to process the information delivered from the other party.
  • Avoid demanding or expecting immediate adherence to advice
  • Seek assistance from a mutual supervisor if further action is needed

Procedure for Supervisory Level of Discipline

• All employees must refrain from discussing with others the events under investigations
• Guidelines for supervisors handling disciplinary matters:
  • Consider counseling for minor instances of undesirable behavior
  • Attempt to resolve at the lowest possible level, except for discrimination, harassment, workplace violence, retaliation, criminal activity, or repeat offenses
  • Take steps to curtail inappropriate behavior, including observation, investigation, guidance, progressive discipline, documentation, issuing discipline, forwarding documentation, and monitoring behavior for at least six months
• When a concern is reported supervisors shall attempt to resolve issues at the lowest level, immediately notify the Deputy/Assistant Chief of complaints from outside the Department, seek guidance from a supervisor, and investigate including interviewing the accuser an accused, and witnesses
  • If a written allegation has been brought forth, contact the appropriate Deputy/Assistant Chief, through the chain of command, for direction
• The supervisor must also inform the the supervisor on the facts of the case, and the intented resolution
• Document the information received, when the issue was first noted, and the steps taken throughout the investigation process
• Re-evaluate the level of supervision at which the situation should be resolved
• Determine and execute a appropriate course of action and the supervisors should make the employee aware of EAP availability
• The supervisors should monitor the behavior identified for at least 6 months to confirm if the behavior has ceased
• If a situation is not resolved, the supervisor must report the case to their supervisor

When Issues Need Discipline Reported to Chief Officers

• Assign a supervisor to handle the issue or take it on themselves to conduct on themselves to conduct a preliminary investigation and take appropriate action as necessary
• Initiate an Internal Advisory Board (IAB), if appropriate.

Procedure for Investigations

• Supervisors investigate potential disciplinary issues, gathering all information
• Employees have the right to a representative if disciplinary action may occur
• If an employee refuses to answer, the investigating supervisor refers the matter to the Deputy/Assistant Chief via the chain of command
• Supervisors may require written statements for serious violations
• Supervisors may consult to determine the next course of action

Procedure for Issuing an Oral Reprimand

• Consider seeking advice from a supervisor or peer beforehand
• Prior to speaking with any involved employee involved, the supervisor must identify the problematic behavior or performance issues and prepare documentation for the session
• Have discussions in private
• The issuing supervisor shall;
  • Specifically inform the employee of them receiving an oral reprimand
  • Reference any previous counseling, both formal or informal, about the problem
  • Inform the employee of the specific behavior or actions expected
  • Include information regarding the Employee Assistance Program
  • Share that the employee is able to to include a rebuttal statement in his/her City and Department personnel files, should the employee disagree with the content.
• The employee is eligible for union representative services or representative of their choice - The employee must read, sign a form acknowledging the written documentation involved - and then date it.
• All documentation must be provided to Deputy Chief via chain of command

Guidelines for Written Reprimands

• Seeking advice from either a peer, or supervisor is highly encouraged before proceeding with issuing such a reprimand
• The written reprimand, must adhere to the following guidlines;
  • Clearly illustrate problematic behavior
  • Where needed, include documentation of any prior counselling
  • Where needed, refer to progressive discipline if a lesser form of discipline had been employed
  • Include a timeframe by which the employee must undertake these changes
  • Where needed, refer to any consequences - the employee will face - due to non-compliance
  • Information regarding how this information about disciplinary action undertaken - will be filed with the employee city, and departmental personnel file
• A employee receiving such a reprimand must be reminded of Employee Assistant Programs The process should be undertaken in quiet, and private, to avoid potentially embarrising the employee.
• Supervisors must remind the employee that the employee should seek to implement the specified changes in behavioral pattern, and - at all times - should seek for confirmation that they are meeting the stated expectations from the employee

Procedure for Putting Personnel on Administrative Leave

• A Chief Officer will inform the employee that she/he is on administrative leave
  • All instructions, and directives, must be fully explained
• Where necessary, the Chief Officer must demonstrate - and provide, proof that this course of action is within the Department's best interest's (as well as the employees well being too)
• Once all of the information that is necessary has been completed, then the Chief Officer is to provide such notification (and directive) - through the chain of command
• The Deputy Chief must - immediately - forward notice of the course of action, via chain of command

Procedure for Internal Advisory Board Actions

• Under ideal conditions, The complaints must be addressed by the Deputy Chief who maintains supervision over the department reporting such actions
• The Chief has approval to have all issues addressed and to have all reports addressed to an IAB
• When appropriate, the chair (IAB) needs to remind people involved on the reasons to uphold Garrity Ruling

IAB Chair

• The IAB chair ensures meetings are scheduled, employees are notified on their schedule - as well as the employees union
• The meeting should be recorded for later reference

IAB Hearing Guidlines

• The (IAB) Chair apprise the IAB board of of any investigations relevant to the case, and provide as reference materials all relevant documentation
• The IAB is encouraged to call witnesses who are either existing or may of not of been previously notified or consulted previously
• The Garrity ruling will provide a form - that the IAB chairman should seek to review to all parties involved. As needed

Employee Discipline

• The employee is guaranteed the capacity to clarify their statements - with support from The Board
• When a decision has been reached - the IAB chairman will undertake communication with Department heads to outline the path forward, and plan for any final decision being made
• Every effort is to be made to ensure the decision is shared with all affected parites, including the employee

Final Decision

If need - and where applicable - an IAB chair will ensure the decision for next steps will be communicated appropriately with those, being affected and those in senior staff, and stakeholders as well.

• It it important to determine (what) action will be undertaken by the Deparment
  • and where needed - for clarification
  • the IAB can remind the chair for how said case has progressed - and provide all the notes needed for the case This should allow everyone involved to better understand how has been addressed by all involved
• When an involved employee needs information for notice, and it needs communication - it can and will be performed effectively.

Procedure for Discipline

• The fire Chief would need to confirm such information in writing in document - that need be provided, via all required, personnel
  • If for what ever - any documentation needs to be declined - it needs to remain in writing
  • Any information from the employee regarding requests (for information) needs to be addressed with the fire chief
  • All appeals need to be made - in writing - with the documentation in alignment with what can be obtained with the Fire Chiefs documentation
• To address this in proper form - as a best practice - the Fire Chief will, want to include all facts that may be, relevant. And all information needs to have clear references
• The fire chief needs to provide, any new, documentation to support the Department's final, action

This lesson covers the proper handling of employee reprimands and disciplinary actions. It details where reprimands are filed, the conditions for document removal, and the role of the Employee Assistance Program (EAP). It also clarifies which documents are kept in the Department versus City personnel files.