Sect 20 - Discipline.pdf

CITY OF NAPLES PERSONNEL POLICIES & PROCEDURES MANUAL SUBJECT: DISCIPLINE Section No.: 20 Revision Date: 10/01/05 Effective Date: 06/01/95 POLICY: The City of Naples will establish and secure cooperation in, and orderliness of, daily work operations; safeguard optimum working conditions; addre...

CITY OF NAPLES PERSONNEL POLICIES & PROCEDURES MANUAL SUBJECT: DISCIPLINE Section No.: 20 Revision Date: 10/01/05 Effective Date: 06/01/95 POLICY: The City of Naples will establish and secure cooperation in, and orderliness of, daily work operations; safeguard optimum working conditions; address improper behavior; and maximize productivity by administering efficient and effective personnel management. OPERATING PROCEDURES I. GENERAL: City employees are expected to maintain high standards of conduct, and to perform their work safely, efficiently, and effectively, ever mindful of the expectations the public has of its employees. Acceptable personal behavior in the workplace involves exercising good conduct, good judgment, and integrity at all time. Discipline will be administered without regard to race, color, religion, national origin, age, sex, marital status, sexual orientation or disability. II. DISCIPLINE: Discipline shall generally be administered in a progressive and constructive manner. Progressive discipline is defined as the administration of more severe discipline for violations of the same type or multiple offenses of the same or different type over a period time. Department directors have the authority to take disciplinary action up to and including termination of employment without administering progressive discipline based upon, but not limited to consideration of the following factors: severity of behavior or offense; intervals between offenses; frequency of offenses; willingness to improve; and length of City service. Eligible employees who have been disciplined shall be advised of their grievance rights. (See "Grievance" section in this manual for additional information.) III. GUIDELINES FOR DISCIPLINARY ACTION: Disciplinary action shall be progressive and corrective in nature to encourage employees to perform in an effective and efficient manner. Although discipline is meant to be administered progressively, it is not necessary to follow the progression if warranted by the severity of the action. The list of offenses warranting discipline is not all-inclusive and shall be used as a guide. Each department director may develop written departmental disciplinary policies unique to, and necessary for, the efficient and safe operation of the department. The departmental disciplinary policies shall be used in addition to the guidelines in this manual. The guidelines for disciplinary action shall be used by management and supervisory personnel to provide standard and equitable treatment of employees. In determining the disciplinary action to be taken, a supervisor should take into consideration the employee's entire work history, disciplinary history, time intervals between each infraction, and the seriousness of the last infraction. IV. EMPLOYEE RESPONSIBILITIES: If an employee has knowledge of another employee who has violated any law, regulation, policy or procedure, it is the employee's responsibility to come forward and be forthright and cooperative in providing information to his or her supervisor, department director, or the Human Resources Director. In addition to the reasons listed above, it is expected that all City employees conduct themselves in a manner that contributes to building and maintaining a positive and productive work environment. An employee is expected to be truthful at all times, and discipline may be a result of failure to be truthful. V. TYPES OF OFFENSES: The following are grounds for formal disciplinary action. The offenses listed below will serve as a guideline for department directors and supervisory personnel and is not all inclusive. Offenses committed which are not listed here shall not interfere with the right or duty of the department director or City Manager or designee to charge and terminate employees on other grounds which are considered justifiable and in the best interest of the City of Naples. This may include administering discipline outside the normal progression dependent upon the severity of the action. Examples of violations include: 1. Violation of a Federal, State, County, or City law. 2. Violation of a provision of the City of Naples Charter or Ordinance. 3. Violation of City policies or procedures or departmental rules and regulations including Safety regulations. 4. Failure to carry out any lawful direction or work assignment from an authorized authority where such failure amounts to any act of insubordination or a breach of proper discipline, or has resulted (or reasonably might be expected to result) in loss or injury to the City, co-workers, or the public. 5. Use of offensive conduct, language, or gesture toward the public, supervisors, or co-workers. 6. Preventable or willful damage or taking of public or private property or waste of public supplies, property, or equipment. 7. Neglect of Duty: An omission to do or failure to perform some work, duty or act. _________________________________________________________________________ Section 20 - Page 2 8. Gross neglect of duty: Serious or repeated nonfeasance or failure to perform some work duty or act. 9. Intentional falsification or misrepresentation of any record, report, verbal or written statement, or document. 10. Misuse of leave, excessive tardiness or absenteeism, or unauthorized absence from duty without satisfactory explanation. 11. Failure to report absence from duty to supervisor within required time and in accordance with department and division procedures, if established. 12. Failure to report for duty after leave of absence has expired, been disapproved, or revoked. 13. Job abandonment in which an employee has three (3) or more consecutive, unexcused absences. 14. Exercising poor judgment on a matter within the employee's responsibility when such judgment results in a negative impact on the department or City organization. 15. Failure to be forthright, truthful, and cooperative in providing information during any internal, administrative, or external investigation or hearing. 16. Display of antagonism towards supervisors or fellow employees, or the public. 17. Engaging in destructive or disruptive conduct which interferes with the proper cooperation of employees and/or impairs the efficiency of public service. 18. Unauthorized taking or using of City time. 19. Unauthorized use of City property, equipment, or funds for personal use. (This shall include improper or misuse of City vehicles as outlined in Section 24.) Misuse of City computer and/or computer network including City issued and licensed Computer software. This shall include but not be limited to utilizing a computer for non City business purposes, accessing computer game software during scheduled working hours, and obtaining, using, and/or downloading unlicensed copies of software (pirating)onto a City computer or network. This may include downloading information or data from the Internet, Naples Free-Net or other external source directly or from any other source (i.e. diskette), or copying or transferring information from an employee's home computer system without being scanned for viruses by the appropriate Information Systems personnel or department designee. Failure to comply with any or all of the terms of the City's "Employee Personal Computer Purchase Plan Participation and Loan Agreement." This includes but is not limited to failure to provide adequate _________________________________________________________________________ Section 20 - Page 3 notification to the City regarding a pending sale, trade, or other disposal of such computer where an outstanding balance exists; failure to immediately repay the outstanding loan balance when a computer is sold, traded, disposed, or returned for cash or credit; and unapproved reassignment or transfer of such computer where an outstanding loan balance exists. 20. Being under the influence of an alcoholic beverage during working hours, or use or possession of non-prescription narcotic drugs or hallucinogens. Failure to inform supervisor that an employee is under medical care, including prescription narcotic drugs, which may impair his or her ability to operate vehicles or equipment, or may place an employee, co-workers, or the public in a dangerous or hazardous safety situation. 21. Physical assault, attempted assault, or threatening to assault a supervisor, fellow employee, or public during working hours or on City property or any other violation of the City’s Workplace Violence Policy. 22. Failure to maintain adequate physical health or fitness to satisfactorily perform essential Job functions with or without reasonable accommodation. 23. Failure to maintain a personal driving record that enables the City to maintain driver standard acceptable to its motor vehicle insurance carrier. 24. Solicitation of public employees for any purpose, membership, product, or organization during the time that the solicitor or person being solicited is working, with the exception of City authorized charities or events. 25. Solicitation of or participation in any unauthorized union business during working time. 26. Communication with or distribution of any literature not related to the employee's job duties during working hours when an employee is on duty in areas where the actual work of public employees is performed. This shall not be construed to prohibit the distribution of literature during the employee's lunch period or in such areas not specifically devoted to the performance of the employee's official duties as long as neither employee is on duty. 27. Participation in a strike or any other concerted activity against the City by instigating or supporting, in any manner, a strike, work stoppage or other concerted activity. 28. Employees may be required to repay the City for damage caused to city property or equipment as a result of preventable accidents on the employee's behalf. (Refer to "Safety" section for additional information.) A Notice of Disciplinary Action is the appropriate documentation to utilize for this type of offense. The same steps would be followed as for a written warning. _________________________________________________________________________ Section 20 - Page 4 29. VI. Unauthorized videotaping, recording or photographing of another city employee, the general public or City Property. In order to record, videotape or photograph another city employee you must have their permission, unless it is an assignment or done in an official capacity. In order to videotape, record or photograph the public, it must be an activity specifically authorized by the employee’s supervisor. Any photographs taken in the line of duty or due to gaining access to any scene or area of the City, due to your employment, are the property of the City. TYPES OF DISCIPLINARY ACTION: Disciplinary action should be administered to the employee as soon after the event as practicable. All disciplinary actions beyond a verbal warning require a pre-disciplinary hearing. A witness must be present during these proceedings Disciplinary action will be administered according to the severity and frequency of the violation(s) and does not necessarily have to be in the following order: VERBAL COUNSELING: Verbal counseling is used to notify and counsel an employee so that corrective action can be taken prior to formal written documentation. No documented verbal counseling shall be kept in the employee's official personnel file; however, the supervisor shall retain a record of such counseling in the event further disciplinary action is necessary. Verbal counseling is considered to be informal disciplinary action and is not subject to the grievance procedure. WRITTEN WARNING, WRITTEN REPRIMAND: When verbal counseling is not deemed appropriate or in the case where the violation of policy and procedure by the employee has continued, a written form of discipline may be issued. This discipline will be placed in the employees personnel file and is subject to the grievance procedure. SUSPENSION: When verbal and/or written discipline is not deemed appropriate or if previous warnings have not resolved the issues, a suspension without pay may be issued. This discipline will be place in the employees personnel file and is subject to the grievance procedure. RETRIBUTION FOR DAMAGES: In addition to potential discipline, employees may be required to repay the City for damage caused to city property or equipment as a result of preventable accidents on the employee’s behalf. (Refer to Safety section for more information.) PROBATION: An employee not on initial probation may be placed on probation for any of the following reasons: Poor job performance; Repeated violations of City or Department policy and procedures; Rating unsatisfactory on annual evaluation; (Refer to Section 6, Probationary Period for more information) _________________________________________________________________________ Section 20 - Page 5 DEMOTION: In circumstances where non-probationary employees have engaged in a pattern of disciplinary action or their performance has deteriorated to an unsatisfactory level, a demotion may occur. The department director must contact the Human Resources Director prior to taking action as follows If the demotion is as a result of a performance deficiency, the department must attach a completed performance appraisal. The employee will be placed on a probationary period of at least ninety (90) days or up to six (6) months maximum. (Refer to Section 6 "Probationary Period" for additional information.) If the employee is not on initial probation they shall be advised of their right to grieve any action taken and the time frame in which to do so. (Refer to the "Grievance" section of this manual for additional information). TERMINATION: The authority to discharge shall not be delegated below the department director level. The Human Resources Director must review the circumstances and notices provided to the employee prior to any action to terminate. LEAVE PENDING PRE-DISCIPLINARY HEARING: An employee may be immediately placed on administrative leave with pay when his or her presence or the severity of the action or behavior creates a continuing threat or danger to persons or property or interrupts the orderly operation of the work unit. Additionally, the department director may utilize this leave for a non-probationary employee when he or she feels the seriousness of the offense could result in termination. The department director must contact the Human Resources Director for guidelines since circumstances differ with each individual case. VII. THE DISCIPLINARY PROCESS: Management personnel shall take the following actions prior to submitting a recommendation for discipline to their supervisor: Complete and submit to their Supervisor written recommendation that will include PreDisciplinary Charges and Specifications. a. b. c. Specific charges; list the Number and the written charge from Section 20 and any applicable Department rule or SOP; An explanation of the exact reasons and circumstances surrounding the incident, including dates and times if known; Attach any documents relied on in making the recommendation _________________________________________________________________________ Section 20 - Page 6 Management Personnel reviewing the recommendation shall take the following actions after completing their review: 1. Prepare and deliver to the employee a pre-disciplinary packet which must be signed for by the employee with a copy forwarded to the Human Resources Department. a. Notice of Pre-disciplinary Hearing: All employees must be given at least 24 hours notice before a pre-disciplinary hearing can be held. A longer amount of time can be granted depending on the severity of the situation. b. Charges and Specifications. c. Any other documents relied upon in the recommendation for discipline. 2. Notify the Human Resource Department of the date and time for the hearing. A representative from Human Resource does not have to be present for all predisciplinary hearings, but may attend at the option of the Human Resource Director or at request of the Supervisor, with the concurrence of the Human Resource Director. 3. As the hearing officer, conduct the pre-disciplinary hearing. Require that the supervisor recommending the action attend. It is recommended that whenever possible the supervisor making the recommendation attend as well. The purpose of the meeting is for the employee to provide information bearing on the question of whether or not the employee should be disciplined. At this meeting the employee may have a representative of their choice present, as long as it does not result in delay. Once the meeting has concluded, the department director will decide what, if any, disciplinary action will be taken based on the information received at the hearing. 4. Once it has been determined that discipline is warranted, review the employee’s personnel file with the Human Resources Director or designee to determine the proper level of discipline prior to preparing the Notice of Disciplinary Action. 5. Prepare a signed Notice of Disciplinary Action which includes the following: a. b. c. d. e. f. Specific charges; list the Number and the written charge from Section 20 (V), and any applicable Department rule or SOP; An explanation of the exact reasons and circumstances surrounding the incident, including dates and times if known; The reasons for and if suspension, the length of the suspension; Corrective measures to be taken, and the period of time for such measures to be completed. Information concerning their right to grieve For terminations, the department director should also prepare and ensure completion of Separation Report , and consult the "Recruitment and Selection" section of this manual in preparation of advertising the vacancy. For suspensions, and demotions a Personnel Action Form and Unpaid Leave form should be completed and forwarded to the Human Resource Department. _________________________________________________________________________ Section 20 - Page 7 g. h. 6. The employee shall be advised of his or her right to grieve any action taken and the time frame in which to do so. (Refer to the "Grievance" section for additional information.) Forward the original signed copy of the Notice of Discipline, with any attachments to the Human Resources Department for inclusion in the employee's official personnel file. VIII. DISCHARGE OF PROBATIONARY EMPLOYEES: Employees on initial probation may be released from employment during the initial probationary period as outlined in Section 6 - "Probationary Period. The steps to complete the process are: 1. The department director and the immediate supervisor should complete a Notice of Disciplinary Action and a Separation Report. The department director should verbally consult with the Human Resources Director prior to the employee's dismissal. Once approved, the supervisor should notify the employee that he or she did not Successfully complete his or her initial probation and that he or she is being terminated. 2. The employee shall be notified of the option to attend an exit interview with the Department Director and Human Resources Director or designee. 3. The original copy of the Separation Report and any written response by the employee shall be forwarded to Human Resources in order to complete the termination process. This information will be included in the employee's personnel file. _________________________________________________________________________ Section 20 - Page 8