Positive Discipline Manual PDF

TABLE OF CONTENTS INTRODUCTION TO POSITIVE DISCIPLINE......................................................... 3 Recognizing Good Employees.................................................................................. 3 Theory of Positive discipline...................................

TABLE OF CONTENTS INTRODUCTION TO POSITIVE DISCIPLINE......................................................... 3 Recognizing Good Employees.................................................................................. 3 Theory of Positive discipline..................................................................................... 4 Positive Discipline is a Two-Part Process................................................................. 5 What is a Problem..................................................................................................... 5 Attendance................................................................................................................ 6 Performance.............................................................................................................. 7 Complex Problems.................................................................................................... 7 Which Process Do I Use........................................................................................... 8 Information Gathering............................................................................................... 8 THE INFORMAL PROCESS......................................................................................... 8 Coaching................................................................................................................... 9 Training..................................................................................................................... 9 Obstacles................................................................................................................. 10 Feedback................................................................................................................. 11 Consequences.......................................................................................................... 11 Counseling.............................................................................................................. 12 Summary................................................................................................................. 13 THE FORMAL PROCESS............................................................................................ 13 Preparing for an Investigative Interview................................................................. 13 Conducting an Investigative Interview.................................................................... 14 Making a Decision in Regards to Discipline........................................................... 15 Disciplinary Algorithm........................................................................................... 15 Safety...................................................................................................................... 16 Honesty................................................................................................................... 16 Negative Impact...................................................................................................... 17 Infraction Algorithm............................................................................................... 17 Disciplinary Action Steps....................................................................................... 18 Disciplinary Database Entry.................................................................................... 18 Role of the Next Level Supervisor.......................................................................... 18 Common Questions................................................................................................. 19 Rules and Concepts................................................................................................. 19 Administrative Hearings......................................................................................... 23 Disciplinary Meetings............................................................................................. 24 Documentation........................................................................................................ 25 Purging Disciplinary Actions.................................................................................. 25 Termination............................................................................................................. 25 Representation......................................................................................................... 25 DISCIPLINARY ACTION FORM............................................................................... 27  1 INTRODUCTION TO POSITIVE DISCIPLINE 2 3 Positive Discipline is a program designed to solve the types of problems that have a 4 detrimental effect on Fire Department operations, safety, honesty, and espirit de corps. 5 Unlike most traditional discipline systems, Positive Discipline minimizes the use of 6 punishment to correct problems. Instead, it concentrates on dealing with individuals as 7 responsible adults. The focus is on communicating an expectation of change and 8 improvement, rather than on communicating an expectation of future problems and 9 eventual termination. The goal is to prevent, limit, and minimize incidents that lead to 10 problems. 11 12 This guide will open with points on how to acknowledge good employees, and then 13 describe the Positive Discipline program in general, followed by in-depth sections on 14 the Informal Process and Formal Process. 15 16 RECOGNIZING GOOD EMPLOYEES 17 18 For most individuals, the most important aspect of job satisfaction is recognition. 19 Recognition serves as a preventative tool against problems. LVFD SOP 167.00 on 20 Exceptional Performance should be used whenever an employee deserves recognition 21 for a job well done. There are a couple of situations in which the use of such 22 recognition would be most appropriate: 23 24 To reward an employee who has done something “above and beyond the call of 25 duty.” For example, taking immediate action in an emergency situation, developing 26 a cost-saving or labor-saving idea, providing special training or assistance to others, 27 or outside activities that reflect well on the Fire Department. 28 1 29 To reward an employee who has performed competently and diligently over a 30 significant period of time. For example, maintaining a good attendance record over 31 several months and years, maintaining high quality and production standards, or 32 conducting oneself in a manner that reflects high community and department 33 standards through exemplary and ethical behavior. 34 1 35 1Other avenues of recognition include the Fire Department “Employee of the Month,” 36 City of Las Vegas “Employee of the Month,” and City of Las Vegas Willie W. Davis 37 “Employee of the Year” programs. “Peer Cheers” and “Sterling Light” awards may 38 also be used for immediate recognition. 39 1 40 1Each employee of the Fire Department is encouraged to utilize these programs and to 41 generate new ways of recognizing good performers. 3  1 1THEORY OF POSITIVE DISCIPLINE 2 1 3 1Punishment is the most difficult and unpleasant experience of work. Few employees 4 enjoy being the focus of a disciplinary action, and few supervisors enjoy taking 5 disciplinary action against an employee. 6 1 7 1For most people, the only discipline that will be required during their working careers 8 comes from the informal interaction they have with their supervisor. Informal 9 resolution is best accomplished when supervisors adequately explain expectations 10 and: 11 1 12 Utilize effective coaching techniques 13 Ensure employees receive a sufficient level of training 14 Remove obstacles that interfere with success 15 Provide timely feedback 16 Arrange for consequences based on performance 17 Utilize counseling techniques, when necessary 18 1 19 1It is a fact that some employees, at least once in their career, will have a problem that 20 must be dealt with. If the employee is treated as an adult who must solve the problem 21 rather than as a child who must be punished, the employee is more likely to respond 22 positively and solve the problem. It is also a fact that supervisors and employees can 23 resolve the majority of all problems informally. 24 1 Informal process unless 25 1Employees contribute to informal resolution by: Employee refuses to solve 26 1 a problem 27 Taking responsibility for the elimination of problems 28 Acknowledging that the willful failure to take responsibility may result in discipline 29 1 30 1When it is determined that an employee is unwilling to solve a problem, management 31 is placed into a difficult situation. Placing the responsibility for eliminating the 32 problem squarely on the shoulders of the employee is often the only solution. 33 Discipline is the compelling tool used to enforce that responsibility. Failure by an 34 employee to correct a problem results in discipline. 35 1 36 1It is the underlying theory of positive discipline that when supervisors and employees 37 work together, most problems can be resolved informally without having to resort to 38 formal disciplinary measures. Thus, Positive Discipline is a two-part process, one 39 involving informal processes and one involving formal processes. Positive Discipline = 2 part Process I : informal 2 : Garmal 4  1 1POSITIVE DISCIPLINE IS A TWO-PART PROCESS 2 1 3 1The “Informal Process” involves techniques that are utilized to: 4 1 5 Increase motivation and development 6 Prevent problems from developing 7 Ensure responsibility is not ignored 8 Discover mutually acceptable solutions to problems that do arise 9 1 10 1The “Formal Process” involves progressive disciplinary action, and occurs when: 11 1 12 Attempts to resolve a problem informally fail 13 An employee is not taking responsibility to correct problems 14 Problems are of an immediate serious nature and therefore cannot be dealt with 15 informally 16 17 1 1WHAT IS A PROBLEM? Conduct/Attendance/Performance 18 1 19 1A problem can be defined as the difference between a management expectation and 20 an employee’s success in meeting that expectation. Problems vary, but can generally 21 be assigned to one of three distinct categories: Conduct, Attendance, or Performance. 22 Each category is defined and examples provided. In each case, these are examples 23 only. They are in no way intended to be all-inclusive for the category. 24 1 25 1CONDUCT: Conduct is a mode or standard of personal behavior. It is how a person 26 acts or carries himself or herself and how that person interacts with those around him 27 or her. It is more closely related to personal behaviors than to performance of job 28 tasks. Examples of poor conduct include: 29 1 30 1Insubordination 31 Challenge, criticism, obstruction, or interference with management efforts 32 Willful failure to do an assigned job or obey an order 33 1 34 1Alcohol or controlled substances 35 Reporting to work under the influence of alcohol or controlled substances 36 Using or selling controlled substances 37 1 38 1Fighting 39 An argument between parties, provoked or unprovoked, that is disruptive to others 40 or the public 41 A hostile encounter between parties resulting in physical combat 5  1 1Threatening or striking another person 2 Uttering an expression or intention to inflict harm to another person 3 Physically attacking or inflicting bodily harm to another person 4 1 5 1Dishonesty 6 Falsifying personnel documents 7 Falsification of LVFD records or incident reports 8 Lying 9 1 10 1Theft 11 Engaging or conspiring in the theft of LVFD property or supplies 12 Theft of the personal property of others 13 1 14 1Misconduct 15 Indulging in boisterous conduct or obscene language in public view 16 Engaging in illegal activities, on duty or not 17 Inappropriate comments or slurs that may be deemed discriminatory 18 Violation of department policies, or Rules and Regulations, or engaging in other 19 activities disapproved by the department as stated in writing 20 1 21 1ATTENDANCE: Attendance relates not only to the ability of a person to arrive at 22 work at the start of their scheduled shift, but also to be present at assigned locations 23 throughout the shift. Violations of attendance policies are one of the most frequent and 24 difficult ones the Fire Department must deal with. Examples of attendance problems 25 include: 26 1 27 1Tardiness 28 Failure to report to work at the beginning of a shift, regardless of last minute 29 unapproved trades 30 Failure to transfer from station to station or to assignment in a timely manner 31 1 32 1Absenteeism 33 Failure to notify supervisor of emergency absenteeism prior to the start of the work 34 shift 35 Failure to call in on scheduled work day (no call/no show) 36 Failure to arrive at work after calling in late 37 Failure to report to work at the conclusion of approved leave 38 1 39 1Abandonment 40 Leaving the station, unit, or assigned work location without supervisor approval 41 Leaving the scene of an emergency incident without supervisor approval 6  1 1PERFORMANCE: Performance refers to a person’s ability to do satisfactory and 2 competent work. Failure to follow established policies or rules, or failure to meet 3 performance standards, are among the most common problems associated with 4 performance. The former is within the power of a person to control, and may, 5 therefore, logically result in discipline. However, the need for increased training 6 should be considered in making any disciplinary decision concerning the employee’s 7 inability to perform to acceptable standards. Example of performance problems 8 include: 9 1 10 1Appearance 11 Failure to wear approved uniforms on duty 12 Wearing uniforms beyond their acceptable appearance 13 Failure to maintain a professional image on duty 14 Failure to maintain appearance within the guidelines of the LVFD SOP’s 15 1 16 1Safety 17 Engaging in acts which expose any person to potential injury 18 Failure to use safety equipment provided by the LVFD where appropriate 19 Failure to follow safety guidelines as prescribed by the LVFD SOP’s and Rules and 20 Regulations 21 1 22 1Performance of Duties 23 Poor performance of routine and emergency duties or assignments 24 Poor performance while in a training or evaluation setting 25 Employee fails to perform critical fire department basic skills after reasonable 26 training 27 Employee fails or is slow in reporting for emergency or non emergency duties and 28 functions 29 Employee fails to follow direction given by a supervisor or instructor 30 1 31 1COMPLEX PROBLEMS 32 1 33 1Although problems are generally assigned to one of three categories, it is essential to 34 remember that problems often involve factors that overlap into two, or even all three 35 categories. For instance, a tardy employee who threatens the supervisor when 36 confronted has demonstrated problems in two categories: Attendance and Conduct. 37 As a result, that employee may receive discipline in two or more categories. 38 Supervisors must remember that it is important to consider an employee’s overall 39 success in meeting expectations. 40 1 7  Negligence ? Intentional ? Lying ? 1 1WHICH PROCESS DO I USE? Neg Impact to department ? Sop? 2 1 3 1When a problem initially arises, the first question usually asked is: Should there be 4 an attempt to resolve this problem informally, or, does the problem warrant formal 5 discipline? The answer to that question cannot be decided until the supervisor gathers 6 some basic information concerning the problem. 7 Was there negative action or negligence on the part of the employee that is clearly 8 intentional? 9 Did the action or negligence involve a breach of safety or honesty, or, have a 10 negative impact on operations? 11 Was the action or negligence a violation of city, department, or division policy? 12 1 13 1INFORMATION GATHERING 14 1 15 1Information gathering is a fact-finding mission, and the more time and effort put into 16 finding out the facts, the easier the rest of the process will be. Information gathering 17 usually starts as a conversation between the employee and supervisor to get a general 18 idea of what happened. The supervisor should: 19 1 20 Ask as many questions as needed to get the whole picture 21 Talk to co-workers, employees on other shifts, ambulance employees, or anyone 22 else with knowledge about the incident 23 Make a personal observation of any physical items involved 24 Listen attentively to what all parties have to say 25 Keep an open mind 26 1 27 1After all necessary information has been gathered, the supervisor should decide 28 whether the problem can be handled by applying the Informal or Formal Process. 29 1 30 1THE INFORMAL PROCESS 31 1 32 1The underlying goal of the Informal Process is to prevent problems from developing 33 and to quickly eliminate problems that do arise. Six strategies and techniques have 34 been determined to be important components of an effective disciplinary program, 35 especially a program that places a great deal of importance on supervisor and employee 36 responsibility. When these strategies and techniques are properly utilized, supervisors 37 should have very few discipline problems. When a problem is first identified, the 38 supervisor and employee attempt to resolve it through these six strategies: 39 1 1 developmental Coaching 7. 40 41 the application of Training 42 the removal of Obstacles 43 the timely delivery of Feedback 44 the arranging of Consequences 45 corrective Counseling 46 1 47 1COACHING 48 1 8  1 1Coaching is an informal, often times spontaneous, discussion designed to assist an 2 employee in developing knowledge, skills, and abilities. It is the everyday interaction 3 between supervisor and employee that leads to employee development. 4 1Coaching has two objectives: to help an employee who is seeking assistance in 5 resolving a problem, and, to help an employee recognize that a problem exists. 6 Coaching usually takes place directly at the work site. The work site provides a 7 comfortable setting, and allows the employee and supervisor to refer to policies, 8 equipment, tools, etc. - They Don't know What 9 10 1 they Don't know 1Theory: If an employee seeks assistance in resolving a problem, there is a chance 11 that the problem can readily be resolved. If a person does not recognize that a problem 12 exists, that person will have no reason to change his or her behavior. 13 1 14 1Timing: Coaching sessions should be initiated by either the employee or the 15 supervisor as soon as it appears there is a problem. Any resolution should be mutually 16 agreed upon. 17 1 18 1Documentation: At the conclusion of a coaching session the supervisor may enter a training report. MAY enter 19 20 1 & 21 1Guidelines for Effective Coaching: 22 1 23 Resolutions should be discussed in terms of what is desired by the Fire Department. 24 Employee’s comments or reactions should be encouraged 25 The supervisor should provide a rationale for policies or rules in question 26 All persons involved should listen carefully. A tip to assist in the communication 27 process is to re-state what is heard to ensure adequate understanding 28 Commitments to change should be sought, and the door should be kept open for 29 future discussions about the problem 30 Supervisors should express confidence in the employee’s ability to improve 31 Coaching sessions should end on a positive note 32 1 33 1TRAINING 34 1 35 1Training consists of activities designed to provide employees with the knowledge, 36 skills, and abilities required to do the job properly. Training usually takes place in a 37 structured format with pre-established objectives. Problems can arise when employees 38 are not provided with an appropriate level of training. When this occurs, attempts to 39 resolve the problem any other way would be unsuccessful. Training deficiencies may 40 be identified during Coaching sessions, or the supervisor may have to make a more 41 thorough inquiry into the employee’s training history. 42 1 43 1Theory: If an employee lacks the necessary knowledge, skills, or abilities, he or she 44 will be unable to perform effectively. 45 1 46 1Documentation: A training report should reflect the type of training that was 47 provided. 48 1 49 1Questions to Ask: Supervisors who believe that a lack of training may be 50 contributing to a problem should evaluate the following questions: 9  1 1 2 Has the employee received appropriate training in all elements of the job? 3 Have any job requirements changed since the employee was initially trained? 4 1 5 1Any deficiency in training should be addressed by providing the employee with the 6 training needed. The supervisor should then monitor the employee’s performance to 7 determine if the training was successful. 8 1 9 1OBSTACLES 10 1 11 1Removing obstacles involves ensuring the employee has the time, tools, equipment, 12 and proper direction required to do the job. It may involve determining if anything 13 outside of the supervisor’s immediate attention prevents the employee from doing the 14 job properly. For example, an employee who has serious family problems may not 15 intentionally fail to meet expectations, but may be so overwhelmed by the situation that 16 work is being affected. Removing obstacles means that it is important to look below 17 the surface. Again, problems in this area may be identified during Coaching sessions. 18 Supervisors should be open to concerns and issues relating to the employee’s personal 19 situation. 20 1 21 1Theory: If a person does not have the time, tools, or equipment needed to do a job, 22 receives conflicting instructions, or has serious personal problems that interfere with 23 doing the job, that person will be unable to do the job properly. 24 1 25 1Questions to Ask: Supervisors who believe that obstacles may be contributing to a 26 problem should evaluate the following questions: 27 1 28 Does the employee have the time, tools, and equipment required to do the job 29 properly? 30 Does anything, either from within the organization or from outside of the 31 organization, prevent the employee from doing the job right if he or she really tried? 32 What specific actions have been taken to remove known obstacles? 33 1 34 35 1FEEDBACK 1 Prompt Collow Up 36 1Feedback is the act of providing specific qualitative and/or quantitative information 37 about conduct, attendance, or performance, in relation to a given standard or goal. For 38 example, when a problem arises, the supervisor may elect to Coach the employee as a 39 method of informal resolution. If the problem does not go away at that point, the 40 supervisor should provide timely feedback on the employee’s success or failure at 41 resolving the problem. Otherwise, the problem may not go away or may become 42 worse. 43 1 44 1Theory: If a person does not know exactly how well or how poorly he or she is 45 doing, there is no way his or her performance can be improved. Regular, short-term 46 feedback is essential. 47 1 48 1Questions to Ask: Supervisors should evaluate the following questions: 49 1 10  1 How does the employee know exactly how well he or she is doing? 2 Does the employee get regular, short-term feedback about job performance? 3 1 4 1CONSEQUENCES 5 1 6 1Arranging consequences consists of ensuring it actually does make a difference, both 7 to the employee and the organization, that a job is done and done correctly. 8 1 9 1Theory: If an employee determines that it actually doesn’t matter if the job is done 10 correctly or not, or if the consequences of doing a job properly or quickly are 11 unpleasant, ultimately he or she will stop doing it correctly. For example: Does doing 12 the job properly or quickly result in additional work? 13 1 14 1Questions to Ask: Supervisors should evaluate the following questions: 15 1 16 What difference does it make to the employee if he or she performs as he or she is 17 supposed to? Are employees motivated to do the right thing? 18 What happens to the employee who does the job poorly or fails to do it at all? 19 1 This is up to discretion · If I don't believe he/she cares or motivated then I is need to may provide consequences. · If I believe this is off a one Then no consequences need to be presided 11  Informal : coaching 1 1COUNSELING Counseling (formally Informal) 2 1 3 1Counseling is a serious discussion between a supervisor and an employee designed to 4 correct employee problems. Counseling is planned, has a specific purpose, and is 5 intended to result in a specific action(s). Counseling is usually the last of the informal 6 techniques considered, as it most closely resembles formal discipline. 7 1 8 1The guidelines for effective counseling are similar to those for effective coaching. 9 However, supervisors are encouraged to consider the use of privacy, communication 10 techniques (body language, etc.), and overall tone of discussion to differentiate a 11 counseling session from a coaching session. Counseling sessions should end on a 12 positive, yet serious note. They are informal and should be approached with the 13 understanding that if the employee fails to make necessary changes, formal disciplinary 14 action may result. 15 1 16 1Theory: Counseling is designed to assist an employee in eliminating a problem so 17 that formal discipline will not be necessary. 18 1 19 1Timing: When the supervisor identifies a problem that requires more than a coaching 20 session, or determines that coaching has failed to resolve a problem, he or she should 21 make arrangements to conduct a Counseling session with the employee. 22 1 23 1Documentation: Counseling sessions are entered into the Fire Department 24 disciplinary database for tracking purposes. Upon completion of Counseling session 25 documentation, print two (2) copies and have both parties sign the documents. Each 26 will receive a copy. 27 1 28 1Guidelines for Effective Counseling: 29 1 30 Problems should be stated in terms of desired versus actual conduct, attendance, or 31 performance. Expectations is Reality 32 The employee should be encouraged to provide comments or reactions. 33 The supervisor should provide a rationale for policies or rules violated. 34 All persons involved should listen carefully. A tip to assist in the communication 35 process is to re-state what is heard to ensure adequate understanding. 36 Commitments to change should be sought, and the door should be kept open for 37 future discussions about the problem. 38 Necessary changes and appropriate time frames for compliance should be explained 39 so that employees are aware of specific actions required of them. 40 Supervisors should express a confidence in the employee’s ability to improve. 41 Counseling sessions should end on a positive, yet serious note. 42 1SUMMARY 43 1 44 1Supervisors should integrate the use of informal techniques into their everyday 45 management style. If they do so, they will see a decline in the number of problems 46 they must address. The use of informal techniques should become second nature. 47 1 48 1Attention to the six strategies or techniques, by the supervisor, are important steps to 49 assist the employee in eliminating a problem. It can then be more easily assumed 12  1 when a problem persists that the employee has not taken enough responsibility upon 2 himself or herself to eliminate the problem. 3 1 4 1Employees who do not respond to informal resolution techniques compel the 5 supervisor to consider formal disciplinary action. This action moves us to the Formal 6 Process. 7 1 8 1THE FORMAL PROCESS 9 1 10 1The Formal Process occurs as a result of either a failure of the Informal Process to 11 eliminate a problem, or as an immediate response to a serious problem that could not 12 have been dealt with informally. A decision to utilize the Formal Process begins after 13 the supervisor completes his/her information gathering and conducts a review of all 14 informal steps that may have been taken. 15 1 16 1The Formal Process consists of: 17 1 : 18 Preparing and conducting an Investigative Interview 19 Utilizing the decision making process in regards to discipline 20 Preparing and conducting an Administrative Hearing, if applicable 21 Preparing and conducting a Disciplinary Meeting 22 Documentation 23 24 PREPARING FOR AN INVESTIGATIVE INTERVIEW 25 26 Disciplinary actions should follow the offense as soon as reasonably possible and 27 offenses must not be allowed to build up before action is taken. Prior to meeting with 28 an employee to discuss a problem that may lead to discipline, supervisors should take 29 the time to prepare. The basic steps of preparation include: 30 31 1. Gathering information concerning the incident or violation to justify the potential 32 for formal discipline. The goal is to gather enough information to ensure that the 33 incident can be adequately addressed. 34 1. Reviewing notes from the information gathering process, training reports, or 35 documents from previous efforts at resolving the problem. 36 1. Preparation of an agenda outlining major points to be covered in the meeting. 37 1. Providing the employee with notification of the meeting location, date, and time. 38 1. Ensuring that the employee has time to secure union representation. 39 40 Once the steps taken to prepare are complete, the supervisor will then meet with the 41 employee to discuss the problem. This is known as an Investigative Interview. 42 43 CONDUCTING AN INVESTIGATIVE INTERVIEW 44 45 The Investigative Interview is a formal meeting in which the supervisor and employee 46 discuss the problem at hand. The supervisor identifies the problem and discusses facts, 47 evidence, etc., obtained during the information gathering phase. He or she completes 48 Section I of the LVFD Disciplinary Action Form to document the Investigative 49 Interview. See Appendix A to review a copy of the LVFD Disciplinary Action Form. 50 Section 1 of Investigative interviem Disciplinary = 13 Corm Action  Explanation during interview or 48hrs Later 1 During the Investigative Interview, the employee is afforded the opportunity to provide 2 an explanation. This explanation may be given during the meeting, or the employee 3 may elect to submit a written response up to 48 hours later (or at a mutually agreed 4 upon time). 5 6 The Investigative Interview should be conducted by the immediate supervisor or may 7 be conducted by the Fire Chief and/or his/her designee, depending upon the nature and 8 seriousness of the event leading to the meeting. Important points to remember during 9 any meeting between supervisors and employees are: 10 11 Privacy: Meetings should always be held in private. When problems are discussed 12 openly in front of others, people tend to become defensive and try to save face. 13 14 Listen: An effective meeting is a two-way conversation, not a lecture. The supervisor 15 should remember that the employee may have a valid reason for what he or she did, or 16 the employee may not know that he or she violated a rule. 17 18 Tone: The tone of this meeting should be neutral. 19 20 Use the Golden Rule: Individuals who become involved in this process are still 21 dignified human beings and should be treated as such. Treat others as you would want 22 to be treated if the roles were reversed. 23 24 Feedback: Any actions or non-action should be communicated to the employee within days to respond 25 fifteen (15) calendar days. 26 IS calendar 14  1 MAKING A DECISION IN REGARDS TO DISCIPLINE 2 3 Once a supervisor has conducted an Investigative Interview and has considered any 4 response the employee may offer, a decision regarding formal action must be made. 5 Level of discipline should be recommended by the employee’s immediate supervisor, 6 unless the action is implemented by the Fire Chief or designee. An initial evaluation of 7 whether disciplinary action is appropriate involves the supervisor asking himself or 8 herself certain questions. These questions are intended to provide a remedial check on 9 supervisory strategies: 10 11 Is there sufficient evidence that the employee violated a rule or procedure? 12 Can I demonstrate that the employee understood a rule/policy that was violated? 13 Can I demonstrate that the employee knew in advance that such behavior would be 14 subject to disciplinary action? 15 Can I demonstrate that the rule violated was reasonably related to the safe, 16 efficient, and orderly operation of the organization? 17 Can I demonstrate that the employee committed an intentional act or omission? 18 1 19 1If after review of the above questions, there are any doubts or concerns about whether 20 disciplinary action is appropriate, supervisors should confer with the next level 21 supervisor. If there are no concerns, the supervisor should then utilize the Disciplinary 22 Algorithm. 23 1 24 1DISCIPLINARY ALGORITHM 25 1 26 1The Disciplinary Algorithm is a tool that assists supervisors in determining the 27 appropriate level of discipline to apply on first infractions. The Disciplinary Algorithm 28 prompts the supervisor by asking questions that are designed to help determine the 29 degree of seriousness of the offense and the impact of the offense upon the Fire 30 Department. 31 1 32 1When the supervisor applies the circumstances of the offense to the Disciplinary 33 Algorithm he or she will be led to an appropriate range of disciplinary actions. The 34 supervisor may then select from among the range of disciplinary actions. The 35 supervisor should select the lowest action necessary to compel the employee to take 36 responsibility for eliminating the problem. 37 1 38 1The Disciplinary Algorithm is designed to assist a supervisor in reaching a reasonable 39 recommendation based solely upon the merits of the case at hand. The final level of 40 disciplinary action will be governed by the disciplinary program software. 41 1 42 1The Disciplinary Algorithm requires the supervisor to consider three very important 43 factors: safety, honesty, and if there has been a negative impact on Fire Department 44 operations. Determining where the infraction falls in relation to these three queries 45 will help the supervisors remain consistent throughout the decision making process. 46 1 47 48 1SAFETY 1 Safety Hones,pact 15  1 1It is incumbent upon the Las Vegas Fire Department to provide as safe a working 2 environment as possible. Safety is one of the most serious considerations that must be 3 addressed by the supervisor. 4 1Theory: Safety is of paramount importance, therefore, safety rules and policies must 5 be closely monitored. 6 1 7 1Questions to Ask: Supervisors must determine the following: 8 1 9 Does the employee’s action result in a potential threat to the safety of other 10 personnel or oneself? 11 Does the employee’s absence result in a potential threat to the safety of personnel 12 or operations? 13 Was there willful or intentional disregard for a safety rule or policy which was 14 known to the employee? 15 1 16 1HONESTY 17 1 18 1Honesty and integrity are two of the most important characteristics of employees who 19 are given the trust of the public and their fellow employees and is, therefore, taken very 20 seriously. 21 1 22 1Theory: A working environment where employees cannot be trusted is a destructive 23 one. Dishonesty or lack of integrity cannot be tolerated in any work environment. 24 1 25 1Questions to Ask: Supervisors should evaluate the following questions: 26 1 27 Does the infraction, or explanation of the infraction, involve dishonesty or untrue 28 statements? 29 Is there sufficient evidence of dishonesty or witnesses who lead the supervisor to 30 doubt the employee’s honesty? 31 Does the infraction involve theft, and is there sufficient proof of employee 32 involvement? 33 Do the facts or evidence support the employee’s account or explanation? 34 1 16  1 1NEGATIVE IMPACT 2 1 3 1Although all infractions impact day to day operations in one way or another, the 4 supervisor must consider which of these presents an overall negative impact on the 5 department. Negative impact relates to the department’s inability to quickly recover 6 from the costs or ramifications resulting from the employee’s infraction. 7 1 8 1Theory: Since the Fire Department is a publicly funded, service oriented 9 organization, its operations are constantly scrutinized. Infractions which result in 10 undue costs or embarrassment to the department are counterproductive to the success 11 of the department’s overall mission. 12 1 13 1Questions to Ask: The supervisor should evaluate the following items: 14 1 15 Did the employee’s actions have a negative impact on department operations? 16 Did the employee’s actions cause the department loss of time, money, or serious 17 liability exposure? 18 Does the action bring negative attention to the department? 19 20 Once the above mentioned items have been considered, the supervisor must determine 21 the severity of the infraction. Was this a minor or major infraction? A minor 22 infraction is usually not severe and is temporary in nature. A major infraction is 23 usually severe and long-lasting. 24 25 DISCIPLINARY ALGORITHM DOES THE UTILIZE THE INFRACTION No INFORMAL HAVE A SERIOUS PROCESS EFFECT ON ANY ONE OF THE FOLLOWING: INVOLVEMENT IS: 1 1 1 1) SAFETY? 1 1MINOR 1MINOR 1STEPS 1 OR 2 1 1 1(usually not severe / 1) HONESTY? 1Yes 1temporary in nature) 1 1) A NEGATIVE MAJOR MAJOR STEPS 2 TO 4 IMPACT ON (usually severe / long- OPERATIONS? lasting in nature) 26 17  1 DISCIPLINARY ACTION STEPS 2 3 There are four progressive steps of disciplinary action in the Formal Process. They 4 are: 5 6 Step 1: A Step 1 action places an employee on written notice by the supervisor that 7 failure to correct a problem could lead to more serious discipline. This action has an 8 active life span of 3 months. 9 10 Step 2: A Step 2 action places an employee on written notice by the supervisor that 11 failure to correct a problem could lead to more serious discipline. This action has an 12 active life span of 6 months. A Step 2 is given when the infraction warrants more than 13 a Step 1 action or when a Step 1 action is not available. 14 Step 3: A Step 3 action involves a suspension. The suspension period will be a 15 minimum of one shift to a maximum of one work week without pay (total hours 16 depend upon the employee’s schedule: 40/42/56). This action has an active life span of 17 12 months. 18 19 Step 4: A Step 4 involves a suspension but, the suspension period will be one shift 20 with pay. This action has an active life span of 12 months. This is the most serious 21 disciplinary action in the Positive Discipline process. Paid time away from work is 22 provided to the employee so that he/she may decide on whether employment with the 23 Fire Department is in his/her best interest. Except in the most unusual circumstances, 24 any additional formal discipline during the active period of a Step 4 will result in a 25 termination hearing. 26 27 DISCIPLINARY DATABASE ENTRY 28 29 Once the supervisor makes a decision concerning the level of discipline to be taken, an 30 entry is made into the disciplinary database. The supervisor must then inform his or 31 her next level supervisor of the action taken. 32 33 ROLE OF THE NEXT LEVEL SUPERVISOR 34 35 Once the next level supervisor is informed of the disciplinary action taken, he or she 36 will access and review the Fire Department disciplinary database. This supervisor will 37 compare the action taken against the employee’s disciplinary history and determine 38 whether or not the action conforms with the positive discipline process and is 39 consistent with previous decisions in similar circumstances. 40 41 All supervisors must remember that once a decision has been made to take formal 42 disciplinary action, it must be able to stand up to scrutiny. 43 Problems occur when: 44 45 1. There is insufficient evidence to support the action. 46 1. Procedures and legal requirements have been overlooked. 47 1. The case is unable to withstand counterpoints from the employee. 48 1. The action proposed is not consistent with previous decisions in similar 49 circumstances. 18  1 1. The action proposed is unacceptable considering the employee’s overall disciplinary 2 history. 3 4 Once the next level supervisor reviews an employee’s disciplinary history, he or she 5 shall confirm the supervisor’s disciplinary action unless it is inconsistent with the 6 departmental disciplinary patterns that have been established, to ensure a consistent 7 and effective disciplinary program. When and if an inconsistency arises, a meeting 8 between both supervisors should occur. 9 10 COMMON QUESTIONS ARE: 11 12 “Are the three categories of problems (Conduct, Attendance, Performance) strictly 13 independent of each other?” 14 “Are we required to be strictly progressive in the application of discipline within 15 each of these categories?” 16 17 The answer to each question is no. The Positive Discipline program stresses that 18 discipline be based upon the employee’s overall success at meeting managerial 19 expectations. 20 21 RULES AND CONCEPTS 22 23 A few rules apply to the application of the different steps of discipline. 24 25 Rule #1: Disciplinary actions have active life-spans. Active is defined as the total 26 time period the disciplinary action weighs against the employee. The active life-spans 27 are: 28 29 Informal Actions: 30 31 Counseling: 3 months 32 33 Formal Actions: 34 35 Step 1: 3 months 36 Step 2: 6 months 37 Step 3: 12 months 38 Step 4: 12 months 39 40 For instance, if Employee X receives a Step 1 disciplinary action on January 1, 1999, it 41 becomes inactive on April 1, 1999, 3 months from the date the action was imposed, 42 providing no further problems occur during that 3 month period. If further problems 43 do occur prior to April 1, 1999, the active life span shall be extended, as explained in 44 Rule #2. 45 46 Rule #2: Active life-spans are subject to linking. This is done to ensure that 47 documentation of prior disciplinary actions, often considered a basis for more 48 progressive disciplinary action, is not lost: 49 19  1 Continuing the example above, if Employee X were to receive a Step 2 disciplinary 2 action for any offense on March 1, 1999, the active life-span of the Step 1 already 3 given is extended by the life-span of the Step 2, or 6 months. The Step 1 and Step 2 4 actions will remain “active” until September 1, 1999, unless an additional disciplinary 5 action is imposed prior to September 1, 1999, which would extend both actions even 6 further. 7 8 The Positive Discipline program is structured to prevent repetitive disciplinary action, 9 which is counterproductive for both the employee and the Fire Department. 10 11 Repetitive disciplinary actions are controlled by Rule #3, which limits the number of 12 active actions in any step. This ensures that progressively more serious discipline is 13 imposed, when necessary. 14 15 Rule #3: The total number of active actions in any given step are listed below. When 16 these limits are exceeded, the action must move to the next step. 17 18 Informal Actions: 19 20 Counseling: No more than 1 in each category 21 22 Formal Actions: 23 24 Step 1: No more than 2 total 25 Step 2: No more than 2 total 26 Step 3: No more than 2 total 27 Step 4: No more than 1 total 28 29 Note: The above applies unless otherwise mandated by court order or arbitration award. 30 For an example of how Rule #3 is to be applied, let’s say that Employee X has been 31 progressively disciplined for Attendance and Performance (see progression chart 32 below), and has yet to demonstrate a problem in the category of Conduct. 33 Let’s now say that Employee X develops a problem in the category of Conduct that 34 must be dealt with. What Step(s) are available, considering the three rules above? 20 1 Conduct Attendance Performance Counseling X X Step 1 X X Step 2 X Step 3 X Step 4 2 3 The answer is a bit unique. Employee X may be counseled or given a Step 2 or greater 4 disciplinary action. The rules allow counseling in each category. However, the rules 5 will not allow more than two Step 1 actions, which Employee X already has. 6 Employee X has only one active Step 2 action, and is therefore eligible for one more to 7 reach the maximum of two. 8 9 Let’s continue the example by stating that it has been decided that Employee X should 10 receive a counseling session for the first problem in the category of Conduct. The 11 option to impose a Step 2 action at this time is not being taken. The progression chart 12 would then look like this: 13 Conduct Attendance Performance Counseling X X X Step 1 X X Step 2 X Step 3 X Step 4 14 15 As it now stands, Employee X has been counseled for problems in each category and 16 has been progressively disciplined in the category of Attendance up to a Step 3 action. 17 Employee X has also been progressively disciplined in the category of Performance up 18 to a Step 1 action. Let’s now say that Employee X again demonstrates a problem in 19 the category of Conduct that must be addressed with discipline. What option is 20 available? 21 21 1 Answer: Employee X is not eligible for a Step 1, but would automatically face at least 2 a Step 2 for the Conduct problem. Rule #3 prevents three active Step 1 actions. This 3 may not seem progressive in the category of Conduct, but the overall behavior is the 4 defining criteria. The progression chart now looks like this: 5 Conduct Attendance Performance Counseling X X X Step 1 X X Step 2 X X Step 3 X Step 4 6 7 To demonstrate how overall behavior is the focus of a successful program, lets 8 demonstrate how Employee X can reach a Step 4 action in the category of Conduct 9 without receiving a Step 3 action in that same category. Referring to the progression 10 chart below, you will see that Employee X received an additional Step 3 action for a 11 problem in the category of Performance, putting Employee X at the maximum number 12 of Step 3 actions permitted (two). A Step 2 in Performance is not allowed under the 13 rules since two Step 2 actions are still active. 14 Conduct Attendance Performance Counseling X X X Step 1 X X Step 2 X X Step 3 X X Step 4 15 16 When Employee X then demonstrates yet another problem in the category of Conduct, 17 the supervisor is forced, when considering the rules, to impose a Step 4 action against 18 Employee X. The progression chart below demonstrates that an employee can reach a 19 Step 4 action in a category without having received all of the available progressively 20 less serious actions. 21 22 Conduct Attendance Performance Counseling X X X Step 1 X X 22  Step 2 X X Step 3 X X Step 4 X 1 2 Why did Employee X receive a Step 4 action under the category of Conduct? Because 3 the rules are designed to ensure that Employee X’s overall disciplinary history is taken 4 into account. There are significant disciplinary actions in Attendance and Performance 5 (Step 3’s) that demonstrate that Employee X, overall, is not taking adequate 6 responsibility for correcting problems. 7 8 What does this really mean? It means that positive discipline may progress across 9 categories. This is an essential component of a successful disciplinary program. When 10 an employee is held accountable for his/her overall behavior, the employee is more 11 likely to improve. 12 13 The example of Employee X is intended to demonstrate the progression of discipline. 14 Absent in the example are the Investigative Interviews (defined earlier in this guide), 15 Administrative Hearings, and the Disciplinary Meetings that are part of the process. 16 17 18 ADMINISTRATIVE HEARINGS Greater than a Step 2 19 Administrative Hearings will be scheduled whenever the event leading to disciplinary 20 action is of such a nature that any resulting discipline may be greater than a Step 2 21 action. 22 23 The Administrative Hearing is a formal meeting in which the employee is afforded the 24 opportunity to provide an explanation directly to the Fire Chief or designee regarding 25 the event(s) leading to the proposed disciplinary action. The Administrative Hearing 26 also allows the Fire Chief or designee the opportunity to ask questions pertaining to the 27 event(s). 28 29 The employee and union will receive written notification of the hearing location, date, 30 and time. Notification shall include the specific actions upon which discipline may be 31 based, and any corresponding policy or rule violation, if appropriate. The employee 32 and union will be afforded a minimum of (7) calendar days from notification to prepare 33 for the hearing, unless both parties mutually agree to meet at another date and time. 34 The employee may choose to respond in writing to the specified charges. If the 35 employee responds in writing, the response must be received by the Fire Chief or 36 designee no later than the date and time specified for the hearing. The employee may 37 choose to appear in person, and/or be represented. Refer to the appropriate collective 38 bargaining agreement for specifics. 39 40 Following the Administrative Hearing, a decision regarding the appropriate 41 disciplinary action to be taken, if any, will be made by the Fire Chief or designee. All 42 decisions will be governed by rules of the Formal Process. The decision will be 43 communicated to the employee within fifteen (15) calendar days after the 44 Administrative Hearing, unless a different timeline is mutually agreed to. The decision 45 is communicated during a Disciplinary Meeting by the Fire Chief or designee. 23  1 2 DISCIPLINARY MEETINGS Decision - 1/2 3 4 Disciplinary Meetings are conducted by the immediate supervisor or the Fire Chief or 5 designee after an Investigative Interview or Administrative Hearing to inform the 6 employee of disciplinary action decisions. The Disciplinary Meeting is documented in 7 Section II of the LVFD Disciplinary Action Form. The nature of a Disciplinary 8 Meeting is informational, as the necessary discussions and reviews have already been 9 completed. 10 11 Supervisors should not allow Disciplinary Meetings to lead to debate. Employees who 12 are not satisfied with the result of this meeting should be referred to the grievance 13 article of the appropriate collective bargaining agreement. Supervisors should consider 14 the following recommendations related to a Disciplinary Meeting: 15 16 17 Before the Meeting: 1 1 of Section Disciplinary Action Corm 18 The supervisor shall notify the employee of their right to representation. Section II of 19 the LVFD Disciplinary Action Form must be completed with the following 20 information: 21 22 1. Level of disciplinary action 23 1. Date that the database entry was made 24 1. Date of the Administrative Hearing, if any 25 1. Effective dates of the disciplinary actions 26 1. Suggested corrective action(s) 27 28 During the Meeting: 29 30 1. Explain to the employee the level of disciplinary action to be taken. 31 1. State the specific problem in terms of desired versus actual conduct, attendance, 32 or performance and the changes expected. 33 1. Ask the employee to confirm understanding. 34 1. Indicate your confidence in the employee’s ability to perform properly. 35 1. Secure signature(s) of the employee and/or witness(es) involved. 36 37 After the Meeting: 38 39 1. Distribute copies of the LVFD Disciplinary Action Form, as noted on the form. 40 1. Monitor the employee’s performance. 41 42 DOCUMENTATION 43 44 All disciplinary actions must be documented. Counseling sessions are maintained 45 solely within the Fire Department disciplinary database. Step 1 through 4 actions are 46 maintained within the Fire Department disciplinary database, and steps 2 - 4 in the 47 employee’s Human Resources file. 48 49 PURGING DISCIPLINARY ACTIONS 50 51 Disciplinary actions may be purged from Human Resource files when: 24  1 Disciplinary actions are six (6) months beyond their inactive date and; 2 A written request is submitted to the Human Resource Director. 3 4 NOTE: The active life-span of disciplinary actions and purge dates are extended by 5 any leave that exceeds 30 consecutive days, unless a written exemption is obtained 6 from the Fire Chief. 7 8 TERMINATION 9 10 Termination is not discipline. Termination may result as a consequence of a one-time 11 serious event but, most often, results from an employee’s continued failure to accept 12 responsibility for elimination of problems and/or failing to meet management 13 expectations. Therefore, termination is considered solely as an administrative act 14 separating an individual from City employment. The process of notifying the 15 individual shall be accomplished in a manner conducive to good order and with respect 16 for that person’s dignity and privacy. This will typically be accomplished by having a 17 Senior Staff Officer and a witness from the officer ranks deliver the termination notice 18 in person. Note: In cases where serious discipline is indicated but termination may not 19 be warranted, demotion may be considered. 20 21 REPRESENTATION 22 23 Overview: During meetings which are informal in nature, such as coaching and 24 counseling sessions, the involvement of an employee representative is not required. 25 During meetings that involve or may likely lead to formal discipline, representation is 26 an important component. 27 Employee Rights: The supervisor shall notify the employee of his/her right to have 28 representation present during any meeting that may result in formal disciplinary action. 29 If an employee requests that a union representative be present, the supervisor must 30 contact a Local 1285 Principle Officer or those persons authorized to act on behalf of 31 the union. If there are none available, the meeting shall be postponed until a 32 representative is available. 33 34 During the Disciplinary Meetings: Supervisors should follow proper procedures 35 whether a union representative is present or not. If the employee or union disagree 36 with the disciplinary action, a grievance can be filed and the situation reviewed through 37 the grievance procedure. The supervisor should not fail to take disciplinary action 38 because of the possibility that the action may be grieved. 39 25  CITY OF LAS VEGAS FIRE DEPARTMENT DISCIPLINARY ACTION FORM Employee Name: Classification: Assignment: Immediate Supervisor: SECTION 1: INVESTIGATIVE INTERVIEW This Investigative Interview concerns a problem that may lead to formal discipline. A summary of the problem is given below. You have the right to respond in person at this time or elect to respond in writing within 48 hours of the date/time signed by the Interviewer below. Failure to respond either in person, or in writing, could result in disciplinary action being taken against you without your input. A decision regarding what, if an, disciplinary action may be imposed will be made after consideration of any response you may offer. Purpose of Investigative Interview: CONDUCT ATTENDANCE PERFORMANCE Interviewer Comments: Employee Comments: Union Representation: [ ] Present [ ] Declined by Employee *Signature of Employee: Date/Time: Signature of Interviewer: Date/Time: Signature of Witness: Date/Time: ———————————————————————————————————————————————————— —— SECTION 2: DISCIPLINARY MEETING Your response, if any, to the problem identified above has been considered. It has been decided to impose the action indicated below. Failure to correct a problem may result in more serious action being imposed against you at a later time. Action to be Taken: None Step 1 Step 2 Step 3 {# of shifts } Step 4 Database Entry: Date: / / Admin. Hearing Held? No Yes Date: / / Effective Dates of Action: Active Date: / / Inactive Date: / / {See rule #2 of Positive discipline guide} Union Representation: [ ] Present [ ] Declined by Employee Suggested corrective actions: *Signature of Employee: Date/Time: (Acknowledging receipt) Signature of Interviewer: Date/Time: (Notify the next level of supervision when disciplinary action is imposed) Signature of Witness: Date/Time: *Disciplinary actions may be appealed. Consult the appropriate Labor Agreement for the proper procedures. DISTRIBUTION: WHITE - FIRE ADMINISTRATION PINK- FIRE ADMINISTRATION YELLOW - EMPLOYEE 26  INSTRUCTIONS FOR USE OF LVFD DISCIPLINARY ACTION FORM SECTION 1: INVESTIGATIVE INTERVIEW 1. The Disciplinary Action Form is used to notify the employee that disciplinary action is being proposed. The supervisor must include grounds for Proposed Disciplinary Action, which outlines the nature of the incident leading to the meeting, as well as identifying particular contract articles, rules or policies, etc., that may have been violated. 1. The employee is asked to read this information and either choose to respond verbally or in writing during the meeting, or elect to prepare a written response to be considered at a later time. 1. If the employee chooses to respond in writing at a later time, the supervisor will indicate this on the form. A written response must be received within 48 hours. 1. The supervisor will also indicate on the form if union representation was present during the meeting, or if the employee declined representation. 1. The supervisor should insure that all parties sign and date the Disciplinary Action Form. 1. All actions should be communicated within 15 days or a mutually agreed upon time frame. SECTION 2: DISCIPLINARY MEETING 1. The supervisor must indicate the action that is to be taken, ranging from none, Step 1 to a Step 4 action. 1. The supervisor must indicate the date the disciplinary database entry was made. 1. The supervisor must indicate the effective dates of the action, including the active and inactive dates. The active dates for action are: Step 1: three months Step 2: six months Step 3: twelve months Step 4: twelve months NOTE: Inactive dates may be affected by Rule #2 of the Positive Discipline Guide. 1. The supervisor must indicate on the Disciplinary Action Form if union representation was present during the meeting, or if the employee declined representation. 1. The supervisor must offer suggested corrective action(s). 1. The supervisor should ensure that all parties sign and date the Disciplinary Action Form. 1. The supervisor must distribute the copies of the form as indicated. Fire Administration will forward the white copy to Human Resources in Steps 2, 3, and 4. White: Fire Administration Pink: Fire Administration Yellow: Employee 27