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