Miami-Dade Corrections And Rehabilitation Department Employee Counseling And Discipline Procedures 2012 PDF

MIAMI-DADE CORRECTIONS AND REHABILITATION DEPARTMENT VOLUME: 6 DSOP: 6-013 YEAR: 2012 VERSION: 2 SUBJECT: EMPLOYEE COUNSELING AND DISCIPLINE PROCEDURES EFFECTIVE DATE: November 30, 2012...

MIAMI-DADE CORRECTIONS AND REHABILITATION DEPARTMENT VOLUME: 6 DSOP: 6-013 YEAR: 2012 VERSION: 2 SUBJECT: EMPLOYEE COUNSELING AND DISCIPLINE PROCEDURES EFFECTIVE DATE: November 30, 2012 SUPERSEDES: September 1, 1998 MODIFICATIONS: Pages 7-8, 11 ANNUAL REVIEW: N/A TABLE OF CONTENTS I. POLICY II. DEFINITIONS III. STAFF RESPONSIBILITIES A. SUPERVISOR RESPONSIBILITIES B. LABOR MANAGEMENT UNIT IV. COUNSELING C. Informal Counseling D. Formal Counseling V. DISCIPLINARY ACTION A. Level of Discipline B. Determining Factors C. Level of Authority D. Incidents Requiring Investigation E. Fact Finding and Review F. Processing Disciplinary Action Reports G. Processing Suspensions H. Distribution of Disciplinary Action Reports and Final Action Letter I. Disciplinary Action Report Appeals VI. DEPARTMENTAL APPEAL HEARING MONITORS VII. AUTOMATIC SUSPENSION VIII. NOTIFICATION TO FLORIDA DEPARTMENT OF LAW ENFORCEMENT IX. NAME-CLEARING HEARING A. Provisions B. Timelines X. CROSS REFERENCES XI. RELATED REFERENCES XII. ACCREDITATION STANDARDS XIII. REVOCATIONS I. POLICY It is the policy of the Miami-Dade Corrections and Rehabilitation Department (MDCR) to utilize counseling techniques to train and guide staff. Discipline shall become necessary when informal/formal counseling fails to rectify unacceptable performance or behavior. Progressive discipline shall be utilized as a supervisory tool to correct deficiencies of staff performance and behavior. As needed, training and remedial training may be requested or as required, which will be coordinated through the Training Bureau. Refer to DSOP 7-001, “Departmental Training” for specific information. II. DEFINITIONS Business Days Monday through Friday, excluding holidays Page 1 of 19  MIAMI-DADE CORRECTIONS AND REHABILITATION DEPARTMENT VOLUME: 6 DSOP: 6-013 YEAR: 2012 VERSION: 2 SUBJECT: EMPLOYEE COUNSELING AND DISCIPLINE PROCEDURES Calendar Days All days in a month, including weekends and holidays Corrective Consultation (CC) Written, Informal counseling used to correct and document minor infractions. The CC session shall involve a discussion between a supervisor and a staff member where the staff member is cautioned about unsatisfactory work performance or misconduct. A CC shall be documented and maintained in the supervisor’s notes/file. Additionally, a copy of the CC shall be maintained by the Facility/Bureau Supervisor. Demotion The change of a staff member from a position in a class to a position in another class for which the maximum rate is lower. Departmental Personnel File Electronic and/or paper files maintained by the Personnel Management Bureau (PMB) for all staff. Disciplinary Action Report (DAR) A charging document to a staff member intended to provide the basic information concerning disciplinary action. It shall describe the performance problem(s) or serious violation(s) committed by staff. A DAR shall contain specific details of the incident, rules and/or policies violated and the consequences if his/her performance does not improve. The DAR shall be held in staff’s MDCR personnel file. Dismissal The involuntary termination of employment of a staff member for disciplinary reasons. Formal Counseling (Record of Counseling) A ROC is written documentation to staff cautioning him/her about his/her work performance or misconduct and advising of the consequences if his/her performance does not improve. A ROC shall be held in staff’s MDCR personnel file. Although informal counseling may ordinarily precede formal counseling, the appropriate choice is that of the issuing supervisor; used for minor infractions when a staff member fails to respond to informal counseling, which is documented on a ROC form. Informal Counseling (Verbal Counseling) Used to correct minor infractions; Informal Counseling is a discussion between a supervisor and staff member where staff is cautioned about unsatisfactory work performance or misconduct. The verbal counseling shall be documented and maintained in the supervisor’s notes. Official Personnel Records Staff files maintained at the Miami-Dade County Internal Services Department, Human Resources Division. Page 2 of 19  MIAMI-DADE CORRECTIONS AND REHABILITATION DEPARTMENT VOLUME: 6 DSOP: 6-013 YEAR: 2012 VERSION: 2 SUBJECT: EMPLOYEE COUNSELING AND DISCIPLINE PROCEDURES Public Records Request Request to examine, inspect and or copy public records as defined by Florida Statute (FS) Chapter 119, Public Records, and Departmental Standard Operating Procedure (DSOP) 5-007 “Records Retention and Disposition.” Remedial Training Additional training provided to MDCR employees, who require further skills development as determined by a supervisor or instructor. Suspension Temporary prohibition of staff performing official duties Written Reprimand Level of discipline administered to staff on a Written Reprimand Notification letter as a result of violation(s) of Miami-Dade County personnel and/or MDCR rules. The Written Reprimand Notification letter cites the rules violated and informs the staff member of the procedure to appeal the decision. The Written Reprimand Notification letter shall be held in the staff member’s Miami-Dade County and MDCR personnel file. III. STAFF RESPONSIBILITIES New staff shall acknowledge receipt of the MDCR DSOP Compact Disk (CD) by signing the DSOP Compact Disk Receipt Acknowledgement. Copies of MDCR policies, procedures, rules, and directives are also available via CRNET website by clicking on the DSOP link. Staff is responsible for reviewing and complying with all contents of the DSOP CD. In addition, he/she is expected to adhere to all applicable federal and state laws, County Ordinances and Codes, Miami-Dade County Administrative Orders (AO), Miami-Dade County Personnel Rules and Procedures, Standard Operating Procedures (SOP), and lawful directives. Staff who violate the above shall be subject to counseling and/or disciplinary sanctions up to and including termination. A. SUPERVISOR RESPONSIBILITIES All supervisors are responsible for enforcing standards by generating and administering appropriate counseling or discipline in accordance with this DSOP. Each supervisor shall: 1. Be required to convey to staff the expected levels of conduct or performance; 2. Be responsible for documenting any staff’s unacceptable performance or behavior, in some format, e.g., notes, journal, or calendar entry, etc. Supervisor notes shall include the date, time, and issues discussed; 3. Be expected to initiate counseling or disciplinary action to correct any minor or major violation(s). All formal counseling or disciplinary action shall be coordinated through the Labor Management Unit (LMU) in accordance with this DSOP. B. LABOR MANAGEMENT UNIT The LMU facilitates all MDCR disciplinary action. The LMU duties include, but are not limited to the following: Page 3 of 19  MIAMI-DADE CORRECTIONS AND REHABILITATION DEPARTMENT VOLUME: 6 DSOP: 6-013 YEAR: 2012 VERSION: 2 SUBJECT: EMPLOYEE COUNSELING AND DISCIPLINE PROCEDURES 1. Assisting command level staff in the issuance of appropriate counseling or discipline to be imposed for specific incident(s) and/or violation(s); 2. In the event that a violation is addressed at the facility/bureau level, the LMU shall assign tracking numbers for ROC or DAR to the Facility/Bureau Supervisor or designee; 3. Assigning tracking numbers for ROC and DAR when a violation has resulted from a sustained allegation(s) as a result of an internal affairs investigation, and processing/administering any final action; 4. Providing consultation with supervisory personnel on counseling and disciplinary matters; 5. Apprising the Director on the status of pending disciplinary actions and appeals. LMU also makes recommendations to the Director concerning any modification or improvement in MDCR procedures and practices, as needed; 6. Attending disciplinary proceedings, appeals, and other proceedings as needed. Additionally, LMU serves as the liaison with other Miami-Dade County entities involved in the disciplinary process including, but not limited to the County Attorney’s Office and the Miami-Dade County Internal Services Department, Human Resources Division; 7. Providing an Appeal Hearing Appointment memorandum to subject employees and witnesses for all disciplinary proceedings, appeals and other proceedings as needed; 8. Establishing and maintaining a tickler filing system to monitor pending disciplinary and ROC files. The tickler system shall monitor the location and status of all pending files. The LMU shall notify the appropriate Facility/Bureau Supervisor of any pending files as necessary; 9. Preparing a weekly status report of all pending disciplinary and ROC files for the Director’s review; 10. Maintaining and storing all disciplinary and counseling records. IV. COUNSELING Counseling is not considered disciplinary action. It shall be viewed as a preventive measure to improve performance and thereby avoid the necessity for discipline. The appropriate recommendation of informal or formal counseling is that of the supervisor. If staff continues with the same negative performance or behavior after counseling, progressive disciplinary action is appropriate. A. INFORMAL COUNSELING Informal counseling is intended to provide a motivating interaction/meeting between a supervisor and staff member regarding performance or behavior that could result in disciplinary action. During the counseling session, the supervisor shall specify the deficiency and the required conduct or performance expected. It is the supervisor’s responsibility to continually promote acceptable behavior and the professional performance of their staff. The levels of informal counseling are as follows: Page 4 of 19  MIAMI-DADE CORRECTIONS AND REHABILITATION DEPARTMENT VOLUME: 6 DSOP: 6-013 YEAR: 2012 VERSION: 2 SUBJECT: EMPLOYEE COUNSELING AND DISCIPLINE PROCEDURES 1. Verbal Counseling Verbal interaction between a supervisor and staff member regarding performance, and/or behavior that can result in disciplinary action. 2. Corrective Consultation In situations where minor rule violations occur, a supervisor may conduct a corrective consultation session, in lieu of formal counseling or discipline. On a case-by-case basis, a determination shall be made to assess the additional training needs the staff member may require to correct minor negative job performance. The results of corrective consultations shall be documented on a Corrective Consultation memorandum and maintained for the supervisor’s records. B. FORMAL COUNSELING It is the responsibility of each supervisor to continually promote acceptable behavior and professional performance of their staff. Formal counseling requires that the supervisor complete a ROC form. The supervisor shall convey to the affected staff member, the violation(s) that are the cause of the counseling session, what is expected of the staff member and the type of conduct required. In addition, supervisors should advise staff of applicable County/departmental services (i.e., Miami-Dade County Employee Support Services, MDCR Employee Psychological Services and/or Family and Medical Leave Act (FMLA), if applicable. Staff who received a ROC shall have the ROC stamped "Document No Longer in Effect" after 2 years of satisfactory performance during which they have not been the subject of any additional disciplinary action or further formal counseling. 1. Processing a ROC A ROC shall be processed as follows: a. Prior to counseling a staff member, the initiating/immediate supervisor shall prepare an ROC draft within 10 calendar days of the supervisor becoming aware of the incident(s) and/or violation(s); b. The ROC draft shall be forwarded through the staff member’s chain of command to the Facility/Bureau Supervisor for processing; c. If the Facility/Bureau Supervisor approves the ROC draft, he/she shall forward the ROC draft to LMU for a tracking number; d. A complete and proper investigation to include all supporting documentation regarding the actions which lead to the ROC shall be completed prior to the ROC being presented to staff; e. The ROC should be presented to the staff member within 45 calendar days from the date the supervisor becomes aware of the violation(s). Exceeding this timeframe shall not invalidate any counseling; f. If the initiating/immediate supervisor is not available to present the ROC, the staff member’s intermediate supervisor shall conduct the formal counseling session; Page 5 of 19  MIAMI-DADE CORRECTIONS AND REHABILITATION DEPARTMENT VOLUME: 6 DSOP: 6-013 YEAR: 2012 VERSION: 2 SUBJECT: EMPLOYEE COUNSELING AND DISCIPLINE PROCEDURES g. The initiating/immediate supervisor shall contact the staff member, advise him/her that the ROC counseling is pending and schedule the ROC session. In addition, the initiating/immediate supervisor shall advise the staff member that he/she has the opportunity to have a representative present during the ROC session; h. When staff is accompanied by a representative, e.g., collective bargaining unit representative, attorney, or another representative of the staff member’s choice, the initiating/immediate supervisor shall be accompanied by another supervisor (equal to or higher in rank); i. Upon receipt of an ROC, within 3 business days, (unless contractual requirements are different) staff is permitted to submit a written response to the serving supervisor. This response shall be reviewed by the Facility/Bureau Supervisor to determine whether staff’s statement contains any information which affects the final disposition of the ROC. The written statement shall be attached to the ROC and included with all distribution copies of the ROC; j. If a ROC pertains to executive or command level staff, the Director or designee shall ensure that the draft ROC is reviewed and processed in accordance with the established timeframes and protocol. 2. Distribution of ROC The completed ROC shall be distributed as follows: a. Original (white) copy to the affected staff member; b. A photocopy shall be kept in the staff member’s unit of assignment file; c. Remaining (green and yellow) copies to LMU along with the completed ROC file for distribution. V. DISCIPLINARY ACTION Discipline is an action initiated and administered by supervisors when positive, corrective measures designed to train or effect behavioral change are unsuccessful. While formal counseling may precede discipline, staff who commit a serious violation(s) shall be subject to disciplinary action based upon the totality of the factors related to the violation(s). Disciplinary action requires that the supervisor complete a DAR. It is the supervisor’s responsibility to consult with the intermediate supervisor(s) when considering disciplinary action. Supervisors shall not discuss the content with concerned staff prior to presenting the DAR. However, when a violation involves a major breach of security or threatens the safety of others, “on the spot correction” is appropriate. A. LEVEL OF DISCIPLINE Staff may be reprimanded, suspended, demoted or dismissed in accordance with AO 7-3, “Disciplinary Action,” for any good and sufficient reason which shall promote the efficiency of the County Service. The level of discipline recommended for a particular infraction shall depend on a variety of factors. Formal counseling should normally precede disciplinary action; however, staff who commit a Page 6 of 19  MIAMI-DADE CORRECTIONS AND REHABILITATION DEPARTMENT VOLUME: 6 DSOP: 6-013 YEAR: 2012 VERSION: 2 SUBJECT: EMPLOYEE COUNSELING AND DISCIPLINE PROCEDURES serious offense(s) shall receive appropriate disciplinary action, which may be applied in a progressive fashion. The level of disciplinary action to be recommended depends on the totality of factors associated with each incident and/or violation or sustained complaint. The LMU shall provide the proposed level of discipline consistent with discipline imposed for recent similar violations. The proposed level may be increased or decreased by the chain of command accordingly. Any deviations from the proposed level must be justified in writing. The levels of disciplinary actions are as follows: 1. Written Reprimand a. The Director has delegated the authority to impose Written Reprimands to Facility/Bureau Supervisors or higher authority; b. A Written Reprimand Notification letter shall be prepared. The initiating/immediate supervisor shall provide staff with the original DAR (white copy), and the Written Reprimand Notification letter upon finalization of the disciplinary process. The affected staff member shall be advised of their right to appeal; c. Staff who had a Written Reprimand issued shall have the Written Reprimand and all related documents stamped “Document No Longer in Effect” and removed from staff’s departmental personnel file after 2 years of satisfactory performance during which they have not been the subject of any additional disciplinary action or further formal counseling. 2. Suspension a. Authority to suspend staff for up to 5 days has been delegated, by the Director, to Facility/Bureau Supervisors. In general, salaried staff (job basis) can only be suspended for less than a full week depending on the violation. (Refer to the Fair Labor Standards Act for specifics); b. Authority to suspend staff for up to 9 days has been delegated by the Director to Division Chiefs Assistant Directors; c. Authority to suspend staff for up to 20 days has been delegated by the Director to Assistant Directors; d.c. A Letter of Suspension shall be prepared outlining the staff member’s date(s) of suspension. The initiating/immediate supervisor shall provide staff with the original DAR (white copy) and the suspension letter, upon finalization of the disciplinary process. The affected staff member shall be advised of their right to appeal. 3. Demotion Final approval of the demotion of a staff member shall be exercised only by the Director. 4. Termination a. In cases where the final action is a dismissal, a Letter of Termination shall be prepared and served by LMU. Staff requesting to resign in lieu of termination prior to final approval must complete and submit the Resignation in Lieu of Termination memorandum for the Director’s approval/disapproval. The request of resignation in Page 7 of 19  MIAMI-DADE CORRECTIONS AND REHABILITATION DEPARTMENT VOLUME: 6 DSOP: 6-013 YEAR: 2012 VERSION: 2 SUBJECT: EMPLOYEE COUNSELING AND DISCIPLINE PROCEDURES lieu of termination shall be held for 24 hours after which it shall become final and binding; b. This rule applies only when a request of resignation in lieu of termination is approved in lieu of dismissal and staff must have been notified that he/she shall be terminated in the absence of the resignation. Resignations may be accepted in lieu of termination at the discretion of the Director. B. DETERMINING FACTORS The following factors shall assist the supervisor in making a final determination as to the proper level of disciplinary action to be initiated: 1. Number of prior similar violations; 2. Time span between prior violations; 3. Staff’s personnel history related to performance and behavior; e.g., recent performance evaluations, training, counseling and disciplinary history, commendation letters etc.; 4. Length of service; 5. Attitude and conduct by staff throughout the counseling or discipline process; 6. Depending on the severity of the violation, mitigating and/or aggravating circumstances may be factored in when determining the final level of discipline. C. LEVEL OF AUTHORITY The MDCR Disciplinary Authority outlines the delegated disciplinary authority. The level of authority to implement discipline has been delegated by the Director as follows: 1. Facility/Bureau Supervisor – Written Reprimand up to a 5-day suspension; 2. Division Chief – Written Reprimand up to a 9-day suspension; 3. Assistant Director – Written Reprimand up to a 20-day 9 day suspension; 4. Director – Written Reprimand up to demotion and termination. D. INCIDENTS REQUIRING INVESTIGATION If the incident(s) and/or violation(s) require investigation due to violations as outlined in DSOP 4-015 "Complaints, Investigations and Dispositions, the Facility/Bureau Supervisor or designee shall contact the Security and Internal Affairs Bureau (SIAB) for review and follow-up. All investigations shall be objective, impartial, and conducted in a manner that ensures the highest standards of integrity and professionalism. The investigation of any violation shall be conducted in accordance with DSOP 4-015 "Complaints, Investigations and Dispositions.” Once the preliminary information is obtained, the incident(s) and/or violation(s) shall be appropriately classified and assigned for investigative purposes. Page 8 of 19  MIAMI-DADE CORRECTIONS AND REHABILITATION DEPARTMENT VOLUME: 6 DSOP: 6-013 YEAR: 2012 VERSION: 2 SUBJECT: EMPLOYEE COUNSELING AND DISCIPLINE PROCEDURES E. FACT FINDING AND REVIEW 1. If the discipline is processed at the facility/bureau level within 14 calendar days of becoming aware of the violation(s), and/or in accordance with FS 112.532 (6)(a), the initiating/immediate supervisor shall: a. Complete a preliminary investigation; b. Assemble all pertinent and relevant information to include documents, statements of witnesses and staff involved in the incident/violation; c Make every effort must be made to verify information obtained. Interviews should be conducted privately to avoid embarrassment to staff. Witness statements shall always be signed; d. Consult with the PMB if the draft DAR pertains to absenteeism and/or tardiness, the initiating/immediate supervisor to determine if staff has been approved for leave, e.g., FMLA, military, etc. In accordance with DSOP 6-016 “Unscheduled Absences,” any one instance of unauthorized absence may be subject to disciplinary action. Multiple instances of unauthorized absences during any 90-day period shall be subject to progressive disciplinary action; e. Forward documents (DAR draft, statements, etc.,) to the Facility/Bureau Supervisor for review and approval. The Facility/Bureau Supervisor shall forward the package to LMU for review and assignment of a tracking number. 2. If the discipline results from an internal investigation, the Security and Internal Affairs Bureau (SIAB) Captain shall ensure that allegations of staff misconduct are investigated in accordance with FS 112.532, Law Enforcement Officers’ and Correctional Officers’ Rights; 3. If MDCR determines that discipline is appropriate, the SIAB Captain shall monitor and coordinate with the LMU to ensure subject staff is notified in writing of MDCR intent to proceed with disciplinary action within the aforementioned statutory limitation. The notice shall include a proposal of the specific action being sought, to include length of suspension/termination, if applicable. F. PROCESSING DISCIPLINARY ACTION REPORTS The Disciplinary Action Flow Chart shall assist in disciplinary action procedures. The following procedures are designed to assist supervisors with processing and distributing discipline within facilities/bureaus: 1. The initiating/immediate supervisor shall prepare a DAR, citing the specific violation(s) and provide a narrative description of the incident within 14 calendar days of the supervisor becoming aware of the violation(s); 2. The DAR draft shall include a complete statement of the rule, order, directive or procedure violated and a reference number; sufficient facts detailing the incident(s) and/or violation(s), past disciplinary history and relevant corrective actions which were previously taken if applicable; 3. A Chain of Command memorandum shall be prepared and forwarded together with the DAR draft via the staff’s chain of command to the Facility/Bureau Supervisor for review and disposition; Page 9 of 19  MIAMI-DADE CORRECTIONS AND REHABILITATION DEPARTMENT VOLUME: 6 DSOP: 6-013 YEAR: 2012 VERSION: 2 SUBJECT: EMPLOYEE COUNSELING AND DISCIPLINE PROCEDURES 4. The Facility/Bureau Supervisor within 10 calendar days of receipt of the DAR draft shall review and revise the DAR draft as necessary; 5. The Facility/Bureau Supervisor shall forward a copy of the DAR draft to LMU for a tracking number; 6. LMU shall provide a tracking number to the approved DAR and a due date for final processing, if no additional information is required; 7. The Facility/Bureau Supervisor shall create a DAR file containing the following relevant to the affected staff member: a. Approved DAR draft; b. DAR investigative materials, e.g., statements; c. Review of Disciplinary Action memorandum; d. Disciplinary history; e. Evaluation for the past 3 years; f. Training history; g. Leave history (if applicable); h. Related issues; e.g., FMLA, Workers Compensation, outside employment, etc.; i. Any commendations, awards, etc.; j. Any other significant document or information relevant to the cited offense(s). 8. The Facility/Bureau Supervisor shall enter the recommended action on the DAR and return it to the initiating/immediate supervisor, who will present the DAR to staff; 9. For bargaining union members of the Government Supervisor’s Association of Florida (GSAF), no recommendation of disciplinary action shall be made until staff has provided a response orally or in writing to the DAR. For details, refer to Appendix A of the GSAF Collective Bargaining Agreement for specific information; 10. The initiating/immediate supervisor shall notify the affected staff member (according to contractual requirements) that disciplinary action is pending and schedule the DAR session meeting. In addition, the initiating/immediate supervisor shall complete a Disciplinary Action Session Summary memorandum and advise the staff that he/she has the right to have a representative present during the meeting. If the initiating/immediate supervisor is unavailable to schedule/attend the meeting, an intermediate supervisor shall complete this process; 11. If a DAR pertains to executive or command level staff, then the respective Assistant Director shall ensure that the DAR draft is reviewed and processed in accordance with the established timeframes and protocol; 12. The initiating/immediate supervisor will present the DAR to the affected staff member within 60 calendar days from the date the supervisor becomes aware of the violation(s); Page 10 of 19  MIAMI-DADE CORRECTIONS AND REHABILITATION DEPARTMENT VOLUME: 6 DSOP: 6-013 YEAR: 2012 VERSION: 2 SUBJECT: EMPLOYEE COUNSELING AND DISCIPLINE PROCEDURES 13. Exceeding the above timeframes shall not invalidate any discipline. However, under no circumstances shall the mandatory requirements of FS 112.532, be violated; 14. If the staff member’s representative is not available within a timely manner or cancels a scheduled meeting, staff must request an extension, in writing, not to exceed 10 calendar days; 15. When a staff member is accompanied by a representative, e.g., collective bargaining unit representative, attorney, or another representative of the staff’s choice, the initiating/immediate supervisor should be accompanied by another supervisor (equal to or higher in rank); 16. During the disciplinary session, the staff member shall be allowed to review the DAR and all supporting documentation. The initiating/immediate supervisor shall sign and date the DAR. The DAR must contain the printed or typed name of the supervisor presenting the DAR. The initiating/immediate supervisor will ask the staff member to sign and date the DAR. If the staff member refuses to sign the DAR, the initiating/immediate supervisor shall write “Refused to Sign” and record the date on the employee’s signature line. A witnessing supervisor’s signature shall also be obtained; 17. The staff member shall be provided 2 copies of the DAR and 1 copy of the supporting documentation, unless contractual requirements are different; 18. When a recommendation for a suspension of 10 days or more is being considered, a Record of Employee’s Right to Respond to Departmental Official Authorized to Take Disciplinary Action of Suspension of 10 Days or More memorandum shall be signed by staff during the disciplinary action session, and included with the disciplinary file. Staff has the right to a collective bargaining unit representative or staff may choose another representative with the appropriate authority; 19. The Director or Assistant Directors may also request the presence of other MDCR command staff, legal advisor and LMU supervisor when processing discipline of any level; 20. The staff member shall be permitted to submit a written rebuttal within 3 business days, unless contractual requirements are different. The initiating/immediate supervisor shall generate a Disciplinary Action Session Summary memorandum documenting the date and time of the meeting, all the names of members present, the staff member conduct during the meeting, comments made by the affected staff member/representative, rebuttal due date, and all documents given to the affected staff member. The disciplinary file shall be returned to the Facility/Bureau Supervisor; 21. Upon receipt of the staff member’s rebuttal, the initiating/immediate supervisor shall forward it to the Facility/Bureau Supervisor; 22. The Facility/Bureau Supervisor shall prepare a Review of Disciplinary Action memorandum based on a comprehensive review of the rebuttal and cited offense(s). If the Facility/Bureau Supervisor increases or decreases the discipline, he/she shall justify and document the modification in the Disciplinary Review Report memorandum. The memorandum shall be signed and placed in the disciplinary file; 23. The Facility/Bureau Supervisor shall forward the disciplinary file via chain of command to the level of authority necessary to approve/disapprove and administer the discipline; Page 11 of 19  MIAMI-DADE CORRECTIONS AND REHABILITATION DEPARTMENT VOLUME: 6 DSOP: 6-013 YEAR: 2012 VERSION: 2 SUBJECT: EMPLOYEE COUNSELING AND DISCIPLINE PROCEDURES 24. Each supervisor in the chain of command shall review, approve/disapprove or increase/decrease the recommended disciplinary action; 25. The chain of command shall justify and document any modification on the Disciplinary Review Report memorandum and within 14 calendar days of receipt forward the recommendation(s) to the Facility/Bureau Supervisor for appropriate action; 26. If the recommended disciplinary action is approved, the Facility/Bureau Supervisor shall record the final action on the original DAR and prepare a disciplinary sanction letter. The disciplinary file shall be forwarded to the staff member’s chain of command authorized to administer the level of discipline; 27. If the recommended disciplinary action is disapproved, the Facility/Bureau Supervisor shall inform staff in writing that the DAR will not be processed. The DAR shall be removed and disposed of in accordance with FS 119.07 and shall not become part of staff’s departmental personnel file; 28. If the recommended disciplinary action increases/decreases, the Facility/Bureau Supervisor shall record the final action on the original DAR and forward to the staff member’s chain of command for the final action presentation of discipline or counseling, excluding terminations; 29. The supervisor administering the disciplinary action shall meet with staff to present the disciplinary sanction. The affected staff member shall be given the original DAR and Written Reprimand/suspension letter. When the disciplinary sanction involves suspensions, the Facility/Bureau Supervisor shall provide consecutive dates when the suspension must be served. G. PROCESSING SUSPENSION To ensure that suspensions are processed in a uniform and timely manner, the following shall apply: 1. The initiating/immediate supervisor shall, as soon as practicable, prepare a Relief from Duty memorandum for the suspended staff's signature certifying relief from duty and receipt of MDCR property. Staff shall be given the original and a copy shall be placed in the staff’s disciplinary file; 2. The affected staff member shall not be allowed to choose the dates of their suspension. Suspension dates shall be determined by the appropriate supervisor based on management needs. Supervisors shall not schedule suspension date(s) the day before or after a holiday; 3. Suspended staff shall relinquish any issued MDCR firearms permit, firearm, badge, identification card, key(s), radio, pager, cellular phone and other issued property as applicable. These items may be stored on site, as designated by the Facility/Bureau Supervisor of the suspended staff member. Suspended staff shall be instructed that they are prohibited from carrying or displaying a duplicate badge or other identification that may identify him/her as MDCR sworn staff; 4. If suspended staff are stopped by a law enforcement officer (LEO), they will identify themselves as correctional officers, informing the LEO that they are currently on suspension. Should the LEO want to verify the information, the staff member shall provide Page 12 of 19  MIAMI-DADE CORRECTIONS AND REHABILITATION DEPARTMENT VOLUME: 6 DSOP: 6-013 YEAR: 2012 VERSION: 2 SUBJECT: EMPLOYEE COUNSELING AND DISCIPLINE PROCEDURES the LEO with departmental contact information to verify employment and suspension status; 5. Suspended staff shall not perform in an official on-duty capacity, except by subpoena, or court order. Staff serving a suspension without pay shall not be eligible to work overtime unless an emergency is declared by the Director or Miami-Dade County Mayor; 6. Staff approved to forfeit accrued annual, compensatory or holiday leave in lieu of serving the period of the suspension, and waive their disciplinary appeal rights shall be eligible to work overtime in accordance with overtime policies and procedures DSOP 6-034 “Overtime Selection Procedures.” A Forfeiture of Leave Time in Lieu of Suspension memorandum shall be prepared for the Director’s approval/disapproval; 7. Supervisors shall advise staff who are suspended for a pay period or more to contact the PMB regarding payment for medical insurance and other items deducted from their paychecks; 8. Upon return of MDCR property to the affected staff, the initiating/immediate supervisor shall prepare a Return of Departmental Property Previously Relinquished memorandum, which is distributed in the same manner as the Relief from Duty memorandum. In addition, a copy of the Payroll and Attendance Record shall be included in the disciplinary file as verification that the suspension dates were served. H. DISTRIBUTION OF DISCIPLINARY ACTION REPORTS AND FINAL ACTION LETTER The complete disciplinary file shall be forwarded to the LMU with the green and yellow copies. Upon receipt of the completed disciplinary file by the LMU, copies of the finalized DAR and the notification of written reprimand, suspension, demotion or dismissal shall be distributed as follows: 1. LMU for retention; 2. Staff’s departmental personnel file via PMB Commander; 3. The affected staff member's file in the Miami-Dade County Internal Services Department, Human Resources Division via PMB Commander. I. DISCIPLINARY ACTION REPORT APPEALS In accordance with AO 7-3 “Disciplinary Action,” staff who have been reprimanded, suspended, demoted or dismissed may appeal the disciplinary action as follows: 1. Written Reprimand Staff on permanent status may request a review of their written reprimand. The Director has appointed Department Examiners, e.g., Division Chiefs, to review written reprimands. Staff must forward his/her requests for a review of the written reprimand in writing to the LMU within 14 calendar days after receipt of the disciplinary action notification. An Examiner (Division Chief) not in the staff's chain of command shall be assigned on a rotational basis by the LMU to conduct the review. The Examiner has the authority to uphold a written reprimand, reduce the written reprimand to a ROC or rescind the written reprimand. The Examiner shall provide fact findings, conclusions, and render a disposition. The Examiner shall: Page 13 of 19  MIAMI-DADE CORRECTIONS AND REHABILITATION DEPARTMENT VOLUME: 6 DSOP: 6-013 YEAR: 2012 VERSION: 2 SUBJECT: EMPLOYEE COUNSELING AND DISCIPLINE PROCEDURES a. Within 14 calendar days from the date of receipt of the staff’s written notice of appeal; attempt to contact the concerned staff to set up a time to meet with the affected staff and their representative to hear his/her concerns. Staff who fail to confirm and schedule the appeal review shall forfeit the review of his/her written reprimand; b. Set the tone of the meeting. The hearing is an informal administrative process and shall be conducted in an orderly manner. Staff should be allowed to introduce new evidence and/or witnesses if information is relevant to the disciplinary action; c. Conduct a thorough review of the facts presented during the hearing and shall contact witnesses as necessary in order to obtain clarification of any matter. Contact shall be made by phone or other available means to obtain information in order to minimize disruption of operational activities. The Examiner shall not authorize overtime for witnesses; d. Reschedule all concerned parties at a later time and/or arrange for another meeting with all parties to obtain additional information; e. Prepare an action memorandum citing the time and date of the hearing(s), the facts as outlined in the DAR, new information/evidence introduced and the rationale for arriving at the decision. 2. Examiner Findings The Examiner’s decision shall be final and binding. If the disciplinary action is upheld, reduced or rescinded LMU shall be notified and the appeal decision shall be included in the DAR file. All appeal decisions shall be submitted by LMU to the PMB Commander. In the event that the Written Reprimand is reduced or rescinded, the PMB Commander shall ensure that the Written Reprimand is stamped “This Document Has Been Superseded by a New Document.” The appeal decision correspondence and/or ROC shall serve as the document that supersedes the Written Reprimand. In addition, the PMB Commander shall: a. Ensure that submittals comply with the aforementioned criteria; b. Complete a Request for Record of Counseling/Written Reprimand to be Stamped form; c. Forward other portions of the form and all supporting documentation to the Internal Services Department, Human Resources Division. 3. Suspension Without Pay, Demotion or Dismissal Pursuant to AO 7-3 “Disciplinary Action,” permanent status staff may appeal the suspension without pay to a Hearing Examiner within 14 calendar days by written request to the Miami-Dade County Human Resources Division Assistant Director. Staff attending Disciplinary Appeal Hearings must be aware that his/her personal appearance and attitude reflect directly on the professional image of MDCR; therefore, he/she shall dress appropriately and conduct themselves in a professional manner at all times. All staff requesting an appeal of a DAR must appear on their own time without overtime compensation. Staff witnesses’ appearance at the Pre-Appeal Hearings and the Disciplinary Appeal Hearings is mandatory. Any staff member unable to attend a Page 14 of 19  MIAMI-DADE CORRECTIONS AND REHABILITATION DEPARTMENT VOLUME: 6 DSOP: 6-013 YEAR: 2012 VERSION: 2 SUBJECT: EMPLOYEE COUNSELING AND DISCIPLINE PROCEDURES scheduled Pre-Hearing/Appeal Hearing due to unforeseen circumstances and/or an emergency situation must notify the LMU and inform them of the circumstances. Failure to meet probationary requirement is not considered disciplinary action and therefore is not appealable. Neither a DAR nor Disciplinary Action Notification letter shall be prepared. VI. DEPARTMENTAL APPEAL HEARING MONITORS Upon receipt of notification of a pending appeal hearing from the County Attorney’s Office, the LMU shall notify the concerned staff’s Facility Supervisor/Bureau Commander via memorandum. The concerned Facility/Bureau Supervisor shall assign a Lieutenant as a departmental hearing monitor. Should the concerned entity not have a Lieutenant available to serve as a monitor, one shall be appointed by the concerned entity’s Assistant Director. In cases where the office reports to the Director, the concerned entity Facility/Bureau Supervisor and the Professional Compliance Division (PCD) Chief shall coordinate selection of a Lieutenant, subject to the Director’s approval. The hearing monitor shall not be a witness or have participated in recommending or imposing discipline. The LMU or designee shall coordinate all scheduling with the County Attorney’s Office, or notify the PCD Chief of the pending appeal. VII. AUTOMATIC SUSPENSIONS Section 2-42 (22), Code of Miami-Dade County, Florida provides for the automatic suspension, without pay, of staff upon indictment by a grand jury or upon having information filed against staff by any prosecuting official for a felony offense. Automatic suspension under the provisions of Section 2-42 (22) of the Code of Miami-Dade County, Florida, is not appealable. A Letter of Automatic Suspension shall be prepared and shall remain in effect until the indictment or information has been fully disposed of by a trial, quashing, or dismissal of the charge. Miami-Dade County staff shall not be reinstated to service from an automatic suspension under the provisions of Section 2-42 (22), without prior written approval from the County Mayor. In accordance with Section 2-42 (22), any person that is tried and acquitted or the information or indictment is quashed or dismissed or a court of competent jurisdiction places the person in a pre-trial intervention program or withholds adjudication pending rehabilitation, shall be reinstated and entitled to back pay for the period of automatic suspension (less any sums of money earned by the person in any other employment during the period of suspension). This provision excludes pay withheld by Miami-Dade County as a result of disciplinary action resulting from the incident(s)/violations. Staff may be relieved from duty with pay when MDCR learns of his/her arrest. In all cases, the following shall occur: A. A Relief from Duty with Pay memorandum shall be prepared for the Director's approval/disapproval. Circumstances surrounding staff arrested for a misdemeanor and/or traffic offense, e.g., DUI, eluding police officer, etc. LMU shall review and provide a recommendation as to the staff member’s work status. B. The LMU shall continue to monitor criminal cases and advise their chain of command of the status on a weekly basis. C. In those instances where staff enter a plea of guilty or are adjudicated as guilty for a felony offense, a Forfeiture of Position letter shall be prepared for the Director's signature, advising staff that they have forfeited their position. As specified above, copies of the Forfeiture of Position letter shall be distributed to the same individuals and elements that were previously provided the notification of suspension. Page 15 of 19  MIAMI-DADE CORRECTIONS AND REHABILITATION DEPARTMENT VOLUME: 6 DSOP: 6-013 YEAR: 2012 VERSION: 2 SUBJECT: EMPLOYEE COUNSELING AND DISCIPLINE PROCEDURES VIII. NOTIFICATION TO FLORIDA DEPARTMENT OF LAW ENFORCEMENT MDCR is required to notify the Florida Department of Law Enforcement (FDLE) of all sustained Internal Affairs investigations and applicable disciplinary actions. Notifications to FDLE are made by completing and submitting the FDLE Internal Investigation Report. IX. NAME-CLEARING HEARING A. PROVISIONS Pursuant to AO 7-31 “Name-Clearing Hearings,” when non-permanent status Miami-Dade County staff, e.g., probationary, exempt, is discharged or demoted for reasons that may stigmatize the staff’s reputation, proper procedures are followed to give the staff an opportunity to clear his/her name. It should be noted that the purpose of such procedures is to afford the stigmatized staff an opportunity to respond to the charges; not to appeal the disciplinary action, nor to gain reinstatement. 1. A “stigmatizing” charge involves allegations of dishonesty or immorality which may damage staff’s reputation among associates and impair his/her ability to obtain other employment. Examples of stigmatizing charges include falsifying records, misappropriating Miami-Dade County property or funds, mental instability, and the commission of a crime or other immoral act. A Name-Clearing Hearing must be offered whenever the following conditions are met: a. The staff member is dismissed or demoted; b. Stigmatizing charges are placed in the staff member’s personnel file or are otherwise made public; c. The staff member asserts that the charges are untrue. 2. When non-permanent staff is demoted or discharged for a stigmatizing reason and that reason is publicized, a Name-Clearing Hearing memorandum will be prepared and presented to staff. Upon staff’s request, a Name-Clearing Hearing will be arranged. Staff should sign for his/her copy of the written notification, if presented personally, or the notification letter should be sent to staff by certified mail. A copy shall be sent to the Miami- Dade County Internal Services Department, Human Resources Division; Labor Relations Unit; and the Employee Mediation Coordinator (EMC). 3. Staff shall be notified that the purpose of the hearing is not to appeal the disciplinary action or to gain reinstatement, but to provide staff an opportunity to respond to the stigmatizing charge(s). B. TIMELINES To ensure that name-clearing hearings are processed in a uniform and timely manner, the following shall apply: 1. MDCR shall advise staff that the request for a hearing must be filed with the EMC within 14 calendar days of being notified of the right to a hearing. Failure of staff to request this hearing on a timely basis shall be considered as a waiver of the rights in accordance with AO 7-31 “Name-Clearing Hearings.” Page 16 of 19  MIAMI-DADE CORRECTIONS AND REHABILITATION DEPARTMENT VOLUME: 6 DSOP: 6-013 YEAR: 2012 VERSION: 2 SUBJECT: EMPLOYEE COUNSELING AND DISCIPLINE PROCEDURES 2. Upon receipt of staff’s timely request for a Name-Clearing Hearing, the EMC shall schedule and conduct a hearing, normally within 60 calendar days. The EMC shall preside as the hearing officer for these hearings. MDCR may be required to prepare a written description of the charges that are to be considered at the hearing, and staff may be required to submit a written response to the charges. The Hearing shall be conducted in an informal manner and the following may occur: a. Staff should be allowed to present testimony and documents showing that the charges are untrue. b. The Director may designate a MDCR official to present evidence in support of the charges. The EMC may order any staff member who has relevant information about the charges to testify at the hearing. Staff who refuse to testify may be subject to disciplinary action. When appropriate, the department will make good faith efforts to obtain relevant testimony from non-Miami-Dade County staff. c. In addition to accepting live testimony, the hearing officer may accept written statements and other documents which are relevant to the proceeding. The hearing officer shall ensure that minutes of the hearing are recorded. 3. Within 30 calendar days after the hearing, the EMC hearing officer will issue a written report, summarizing the evidence presented. This report shall clearly state that the conclusions have no bearing on the staff’s status as a Miami-Dade County staff member. The hearing officer’s report shall be final, binding and not subject to further review or appeal. Copies of the hearing officer’s report shall be furnished to MDCR and placed in the staff’s departmental personnel file. 4. The PMB Commander will serve as the liaison with the EMC in scheduling hearings, when arranging for documentation and witnesses to be produced at the hearing, and other related activities. X. CROSS REFERENCES DSOP 4-015 “Complaints, Investigations and Dispositions” DSOP 6-001 “Employee Grievance Resolution and Tracking” DSOP 6-027 “Personnel Records” DSOP 6-034 “Overtime Selection Procedures” DSOP 6-043 “Employee Performance Evaluations” DSOP 18-001 “Arrest of Departmental Employees and Other Governmental Employees” XI. RELATED REFERENCES American Federation of State, County and Municipal Employees, AFL-CIO General Employee, Local 199 Collective Bargaining Agreements Code of Miami-Dade County, Article I – In General, Service 2-11.3, Automatic Suspension of County Official Charged with Commission of Felony Page 17 of 19