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Progressive Discipline and Disciplinary Appeals 5-15-13 CITY OF SCHERTZ EMPLOYEE HANDBOOK Progressive Discipline and Disciplinary Appeals Policy PREPARED BY: Human Resources APPROVED BY: City Council DATE APPROVED: 5/14/2013 EFFECTIVE DATE: 5/15/2013 REPLACES VERSION: 5.7 Purpose The purpose of this Progressive Discipline and Disciplinary Appeals Policy is to outline the city’s disciplinary system and expectations so employees are able to perform their job duties in a safe, efficient, and productive manner. Supervisors, Department Heads, and City Management are responsible for outlining the goals and job performance standards for each employee per the employee handbook. Each employee is responsible for meeting these standards in an efficient manner. Definitions Adverse Disciplinary Action - Adverse disciplinary action is defined as any disciplinary action affecting an employee’s job status, not including verbal reprimands. At-Will Employment The State of Texas is an “At-Will” employment state. At-will means that an employer can terminate an employee at any time, for any reason, with or without notice or cause as long as the reason is not illegal. Therefore, this policy does not provide nor guarantee an employee any rights that would affect their “At-Will” employment status. Although a progressive disciplinary system is preferred, where appropriate, a single action or inaction may result in disciplinary action up to or including termination of employment. Supervisors, Department Heads, and City Management shall administer discipline in a fair and equitable manner throughout the city without regard to race, color, religion, sex, national origin, age, disability, or any other legally protected status. Criteria for Application of Formal Types of Discipline The objective of the progressive discipline policy is to provide fair, consistent, concise, and efficient procedures for the use of disciplinary action against an employee and any subsequent appeals that may be pursued. The following criteria may be considered in determining the appropriate disciplinary action to be taken:  Severity and type of offense(s);  Impact of the offense(s) on the team and/or individuals; CITY OF SCHERTZ EMPLOYEE HANDBOOK  An employee’s previous work record;  Period of time since most recent disciplinary action; and  Precedent of action on similar offense(s); Supervisor/Department Head Obligations Supervisors/Department Heads are obligated to create an atmosphere conducive to motivating their staff through communication, counseling, encouragement, respect, training/development, praise, positive feedback, providing ownership, and one-on-one mentoring. Supervisors/Department Heads are also obligated to provide the tools, equipment, and resources necessary for staff to conduct their jobs safely and efficiently. Therefore, Supervisors/Department Heads should exercise their due diligence to ensure the growth and development of their staff and to apply disciplinary action after employee counseling and/or education has failed. Types of Discipline From time to time, employees may be subject to disciplinary action. As used in this handbook, and generally, the term “disciplinary action” may include a wide range of possible actions, up to and including termination of employment. As a general matter, disciplinary actions shall be progressive, but circumstances may indicate that strong actions be taken immediately. Although the list is non-inclusive, an employee may be subject to disciplinary action, up to and including termination, for any of the following reasons:  incompetence or inefficiency;  conduct unbecoming an employee of the City;  accepting bribes relating to City business;  insubordination or any violation of any official order or regulation;  indictment for or conviction of, plea of nolo contendere to, or receipt of deferred adjudication for, a felony;  unauthorized use of or theft of city equipment or property;  inappropriate or excessive horseplay on the job;  gambling during work hours or on City property;  negligent or willful damage or waste of private or public property;  unexcused or excessive absence;  use of alcoholic beverages or illegal drugs while on duty;  habitual tardiness or absenteeism without authorization;  violation of any policy set forth in this handbook;  serious misconduct; or  other specific actions described in this handbook CITY OF SCHERTZ EMPLOYEE HANDBOOK Consistent with the above criteria, Supervisors, Department Heads, Executive Directors, or the City Manager may take any appropriate disciplinary action including, but not limited to:  Verbal Reprimand;  Written Reprimand;  Administrative Leave;  Probation and Performance Improvement Plan (PIP);  Demotion;  Suspension; or  Termination; Department Supervisors or Department Heads may change the order of the above disciplinary steps, or may choose not to use any step, depending on the circumstances under review. Department Heads may also continue progressive discipline when appropriate. Department Supervisors shall consult with their Department Head before issuing any adverse disciplinary action against an employee. Likewise, Department Heads shall consult with the Human Resources Department prior to any adverse disciplinary action against an employee. The Human Resources Director or designee must approve any adverse disciplinary action against an employee before the disciplinary action is issued. Appropriate Disciplinary Action Including, but Not Limited to: Verbal Reprimand: A verbal reprimand identifies a violation or indicates an area needing improvement. A formal, verbal reprimand should be conducted using the city’s counseling form to document the existence of the reprimand. This reprimand should include additional counseling, training, feedback, instruction, and/or direction. Written Reprimand: A written reprimand identifies violations or indicates areas needing improvement. The written reprimand shall indicate the following:  The employee’s specific behavior and why the behavior was unacceptable or inappropriate;  How the behavior is affecting the team and the organization;  The expected conduct or behavior as outlined in city policies or departmental SOP’s  That such acts and/or behaviors must not be repeated; CITY OF SCHERTZ EMPLOYEE HANDBOOK  The consequences for the behavior and what the consequences may be in the future should the behavior continue; and,  The employee must sign and date the reprimand acknowledging review and receipt. The original reprimand shall be sent to Human Resources within three (3) days of the completion of the reprimand. Written reprimands are not eligible for deferment and should not be kept by the supervisor or the department for any reason. A copy of the reprimand shall be given to the employee at his/her request. Department Heads shall be informed of all written reprimands within their respective departments and, with the concurrence of HR, will make the final decision on all written reprimands. Nothing in a written reprimand shall be viewed as altering the City’s At-Will status or as creating a contract of employment, express or implied, or as a guarantee of employment for a specific duration. Administrative Leave: Use of paid administrative leave is restricted to instances in which the presence of the employee will impede an investigation or adversely affect safety, security, or normal business functions. The supervisor will inform the employee that he/she is being placed on administrative leave pending further investigation. The employee will follow all instructions provided by the supervisor in regard to regularly checking with the supervisor and remaining available as required. The employee shall turn in all keys and equipment and shall not act in any official capacity for the city while he/she is on Administrative Leave. The employee should remain available for the city to contact and provide further instructions pertaining to returning to work or completing an investigation. If a supervisor determines paid Administrative Leave might be necessary, approval from the Human Resources and the appropriate Executive Director is required. If the Administrative Leave is a result of an investigation, recommended action resulting from the investigation must be approved by the Department Head, Executive Director, City Manager and the Human Resources Department. Probation and Performance Improvement Plans: Chronic performance or behavioral issues may result in an employee being placed on probation. All employees placed on probation will receive a Performance Improvement Plan (PIP). The PIP should identify deficiencies in behavior and/or performance, provide a methodology for improvement, and establish a timetable in which performance must be improved. Usually, the minimum period for a PIP is thirty (30) calendar days but the PIP may be extended up to an additional (60) calendar days, depending on the circumstances of the probation. With the CITY OF SCHERTZ EMPLOYEE HANDBOOK Assistance of HR, the immediate supervisor will set the terms and conditions of the PIP, including the length of the probationary period. An employee may also be placed on a PIP in the following situations:  If an employee does not meet expectations at the end of his/her evaluation period(s); or  If the employee is not meeting the performance standards for a particular task at any time during the evaluation period, the supervisor has the option of placing the employee on a PIP. Supervisors must apply the same practice to all similarly situated employees. The original PIP remains with the supervisor until the completion of the PIP period and a copy is given to the employee. A copy of the plan must be attached to the appraisal document that is submitted to Human Resources. At the end of the PIP period, the supervisor and employee meet to discuss the employee’s progress, training needs, and future action items. The supervisor must document (in a memorandum to the appropriate approving authority) the results of the improvement review session. A copy of the memorandum shall go to the employee and his/her personnel file. If an employee fails to meet the terms of the PIP at any time during the probationary period, the employee may face disciplinary action up to and including termination. If an employee fails to maintain performance standards once the probation has concluded, an additional opportunity for an employee to improve performance through a PIP may not necessarily be repeated. Disciplinary action up to and including termination may result without an additional PIP. If an employee’s performance has not improved at the conclusion of the PIP, the supervisor may determine that additional time is warranted to achieve the objectives, or that performance is such that further disciplinary action is necessary. If a PIP accompanies a written reprimand AND is a result of performance standards not being met, the written reprimand may be rescinded from an employee’s permanent record if the employee proves that he/she can meet reasonable performance standards within the established timeframe of the PIP. However, the PIP will remain permanently in the employee’s personnel file as documentation of the respective performance issue. However, should the employee display the same or similar performance issues after the PIP has ended, the employee may again be placed on a PIP and/or be subject to further disciplinary action up to and including termination. CITY OF SCHERTZ EMPLOYEE HANDBOOK If a PIP accompanies a written reprimand AND is a result of behavioral standards not being met, the written reprimand and the PIP shall both remain as part of the employee’s permanent record in his/her personnel file. Demotion: A demotion is a change in duty assignment of an employee to a position in a lower pay group. A reduction in pay may occur with a demotion. Demotions may be made for the following purposes:  A voluntary assumption of a less responsible position;  A reasonable accommodation for an employee with a disability;  As a result of a reclassification of the employee’s position;  As a disciplinary measure because of unsatisfactory performance in a higher position; or  Budgetary constraints Voluntary Demotions The city will attempt to transfer employees wishing to demote to his/her previous position or a position in a lower pay group when the transfer does not adversely affect the city’s interests or the interests of other employees and the employee is qualified for the position. The following terms shall govern voluntary demotions:  If the employee is not satisfied in any way in their new position during the first ninety (90) days of the probationary period, the employee may request a transfer back to the former position or a position in a lower pay group, provided the employee’s former position or position in question has not been filled and the affected Department Head and Human Resources approve the transfer.  Should the employee fail to successfully complete their probationary period and their former position or position in question is no longer vacant, the employee may be separated from the City’s service. Suspension: Suspension may be applied in cases of damage or losses of city property, gross negligence in the administration of the job being performed, or last course of discipline prior to termination. A suspension results in time off without pay for one work day/shift or longer. An employee may be suspended without pay for a period of not less than one (1) work day/shift and not more than thirty (30) calendar days. Termination: Termination is the conclusion of the individual's employment with the City. If warranted, termination of an employee may occur without pursuing progressive discipline. CITY OF SCHERTZ EMPLOYEE HANDBOOK Removal from the Workplace When issues of serious misconduct that warrant immediate removal from the workplace arise, the employee is required to leave City property immediately. The employee shall surrender all keys, equipment, tools, and any other property belonging to the city. Serious Misconduct Serious Misconduct, defined as conduct that has a substantial negative impact on the organization, public or individual employee, may be grounds for immediate removal from the workplace and/or termination of emplo yment. Any conduct which could have an adverse effect on the City, on the confidence of the public in the integrity of the City government, or on the relationship of the employee and other employees will be considered serious misconduct. Examples of serious misconduct subject to removal from the workplace or termination of employment include, but are not limited to:  Conviction of a felony or theft, or other crime involving moral depravity  Careless destruction of public or private property  Lying to a supervisor  Falsification of employment applications or work records  Being under the influence of, consumption of, or possession of un-prescribed drugs, alcohol, or contraband while on the job or while operating a City vehicle  Failure to pass a drug screening examination or refusal to submit to a drug screening when requested  Unauthorized possession of weapons or contraband while on City premises (not including any public or private driveway, street, sidewalk or walkway, parking lot, parking garage, or other parking area), in city vehicles or while on City business except for authorized police personnel  Assault, threat of assault, or fighting on City property  Bullying  Insubordination  Sabotage of city property  Making terroristic threats  Knowingly violating safety rules and standards  Failure to cooperate in an investigation when directed to do so  Using an official position, uniform, or identification card for personal benefit  Failure to report for work or call in for three (3) consecutive days  Failure to report any on-the-job accident or any accident involving City property Documentation Supervisors/Department Heads are strongly urged to document performance and/or behavioral problems demonstrated by their staff members for the sake of providing CITY OF SCHERTZ EMPLOYEE HANDBOOK effective and specific coaching, counseling, training, feedback, and resources to staff on a regular basis. When necessary, documentation can also assist supervisors/Department Heads in effectively disciplining staff using the appropriate counseling forms provided by the HR Department. Final Disciplinary Decisions When demotion, suspension, or termination of an employee is thought to be necessary, the Department Head or his/her appointed representative will take the following steps:  Before a Department Head makes a final decision on any disciplinary action involving demotion, suspension, or termination, he/she shall hold a disciplinary conference with the affected employee. At the meeting, the employee may respond with relevant facts that might affect any proposed disciplinary action.  The Department Head shall consult with the Human Resources Director or designee and the appropriate Executive Director before taking adverse action against an employee resulting in demotion, suspension, or termination. The Human Resources Director or designee must approve any adverse action before it can be implemented.  If a Department Head’s decision results in demotion, suspension, or termination of an employee, the appropriate Executive Director shall inform the City Manager of the decision.  Once a decision is made, the Department Head will notify the employee in writing of his/her decision. The written decision will indicate the following:  The disciplinary action (if any) to be taken and the effective date of the action.  An explanation of why the discipline is being implemented, such as policy violation.  If the action is suspension or demotion, the written decision must contain the conduct or behavior resulting in discipline and a statement indicating such act(s) must not be repeated. The written decision should also indicate what further action will result if the employee fails to show and maintain satisfactory improvement. Signed acknowledgment of receipt of the written decision by the employee is required.  If the action is termination, Human Resources will deliver the termination notification directly to the employee.  A copy of the written decision will be given to the employee. The decision will become a permanent part of the disciplinary record and will be maintained in the employee's personnel file in the Human Resources Department. CITY OF SCHERTZ EMPLOYEE HANDBOOK While Department Heads are encouraged to follow the above steps, failure to follow these steps will not negate disciplinary action. An employee may be terminated at any time with or without cause and/or notice. The above procedures are discretionary with the City Manager and do not apply to new employees during their initial probationary period or to seasonal or temporary employees. Disciplinary Appeals Process Appeal to City Manager: Regular full-time or part-time employees, who are suspended for more than three (3) work days, who are demoted, or who have been terminated may appeal the disciplinary action taken in accordance with the following rules. The disciplinary appeals process is used at the discretion of the City Manager or his/her appointed representative, and in no way negates the “At-Will” status of any City employee. Appeal Requests: An employee, who has received a suspension, demotion, or termination, has five (5) business days from receipt of notice of such action to submit a request for appeal. All appeals must be submitted in writing to the Human Resources Department. All written appeals must state the grounds for appeal. Written appeals may, at the request of the employee, request a face-to-face appeal hearing with the City Manager and a representative from Human Resources. The Human Resources Department, upon review by the City Manager or his/her appointed representative, will schedule all formal appeal hearings. Decision of the City Manager: Upon completion of any necessary investigation and appeal review, the City Manager or his/her appointed representative will submit a written decision to the Human Resources Department within five (5) business days of the completed investigation and formal hearing. The Human Resources Department will notify the employee, the Department Head, and the appropriate Executive Director of the decision. The decision of the City Manager or his/her appointed representative is final. The formal appeal process outlined in this policy does not apply to employees during their probationary period as a new hire, temporary/seasonal employees, or volunteers. Special Provisions The disciplinary process outlined in this policy, including the disciplinary appeals process, does not apply to employees during their initial probationary period as a new hire, or to temporary, part-time, or seasonal employees. Supervisors are encouraged, but not required to use these formal disciplinary measures prior to termination for these employees. CITY OF SCHERTZ EMPLOYEE HANDBOOK The City Manager or his/her appointed representative reserves the right to accept, overturn, or amend any formal disciplinary measures in order to preserve the integrity of the city, its administration, and its citizens. The City Manager also reserves the right to render immediate decisions without consultation of this policy when it is deemed to be in the best interest of the city.