PROGRESSIVE DISCIPLINE
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1 POLICY NUMBER: 10 POLICY:PROGRESSIVE DISCIPLINE EFFECTIVE DATE: October 28, 2011 Randall Reid-Smith, Commissioner PROGRESSIVE DISCIPLINE PURPOSE: The purpose of this policy is to establish uniform guidelines for the progressive discipline of employees in the classified service of the WV Division of Culture and History consistent with state governing statutes, regulations, rules, guidelines and policies. An appointing authority may dismiss an employee after oral notice, confirmed in writing, when the dismissed employee s action(s) constitute a threat to the safety or welfare of persons or property. AUTHORITY: The authority for this policy is derived in part from the Administrative Rule of the West Virginia Division of Personnel, Sections: 10.3, Demotions during Probation; 11.4, Demotions; 12.2, Dismissals; and 12.3 Suspensions and 12.5, Like Penalties for Like Offenses. Statutory authority includes; West Virginia Code 5F-2-2, Power and Authority of Secretary of each Department; (d) Authority of Commissioner, West Virginia Division of Culture and History; , et. Seq. West Virginia Division of Personnel; and 29-6A-1 et seq., Grievance Procedure for State Employees. DEFINITIONS: Appointing Authority: The Commissioner of the West Virginia Division of Culture and History who shall exercise control and supervision of the Division. Commissioner: The Commissioner of the West Virginia Division of Culture and History. Classified Service: Those positions which satisfy the definitions for class and classify and which are covered under the West Virginia Division of Personnel merit system standards. Demotion: A change in the status of an employee from a position in one class to a position in another class of lower rank as measured by salary range, minimum qualifications, or duties, or a reduction in an employee s pay to a lower rate in the pay range assigned to the classification.
2 Policy Number: Page:_ 10 2 OF 5 Dismissal: The separation from employment, for good cause, of an employee by an appointing authority. Division: West Virginia Division of Culture and History. Managerial Staff/Management: Commissioner, Section Directors Administrators, Managers and Supervisors. Suspension: Disciplinary action taken by an agency to temporarily relieve an employee of duties and place the employee in a leave without pay status. POLICY Discipline issued to staff shall be consistent with governing State Statutes, the West Virginia Division of Personnel Administrative Rule, guidelines and policies. The policy adopts corrective procedures that implement levels of disciplinary action commensurate with levels of unsatisfactory or behavior. Disciplinary action is to be commensurate with the severity of the infraction; however, action may be reduced due to mitigating circumstances and other factors such as the length of an employee s service and previous exemplary job and/or conduct. Disciplinary action will progress with the occurrences of misbehavior or unsatisfactory. Sever levels of disciplinary action may result without prior disciplinary action in instances when the infraction requires more sever discipline. RESPONSIBILITY Commissioner, Section Directors, Administrators, Managers, and Supervisors are responsible for ensuring that the issuances of disciplinary actions are in compliance with this policy. BACKGROUND The purpose for discipline is to correct behavior or. It is essential that the employee is apprised of: What was done incorrectly What was the appropriate or accepted behavior or standard What is expected What consequences or actions will follow for future violations of the same/like behavior or A plan of remediation and improvement shall be provided to the employee in these instances to clearly outline or behavioral expectation. Management must demonstrate that there is just cause for disciplinary action: Were expectations of the employee identified Were expectations reasonable
3 Policy Number: 10 Page: 3 OF 5 Were employees aware of measures to be taken for misconduct or inadequate Was disciplinary action commensurate with the severity of the violation Was the disciplinary action exercised without discrimination In disciplinary matters, management bears the burden of proof: Specific, clear and convincing evidence of wrongdoing Preponderance of evidence Managerial staff is responsible for maintaining all supporting documentation and ensuring that such documentations are: Factual and specific In written form Retained in an administrative file Division of Personnel Administrative Rule Section 12.5 states that in dismissals for cause and other punishments, appointing authorities shall impose like penalties for like offenses. Disciplinary action is usually progressive unless the severity of the infraction or is serious enough to warrant more severe disciplinary action. The progressive steps are: 1. Verbal Warning (or verbal reprimand, verbal counseling) may be issued when the misconduct or inadequate is not of a serious or repetitive nature. The verbal communication shall contain: A specific description of the infraction, behavior or inadequate A verbal or written plan of improvement provided to the employee, provided written documents must only be maintained in an administrative file and not placed in the employee s official personnel file The documentation shall be destroyed upon 12 months, at the employee s written request, if there are no further infractions. Verbal notice of consequences if failure to observe directives If there are further infractions in conduct or, the verbal warning may be used as a foundation for subsequent disciplinary action 2. Written Reprimand/Warning may be issued when the misconduct or inadequate is more serious or if it has been repetitive All written actions are to be reviewed by the Division s Director of Human Resources, or designee, prior to issuing. The written communication shall contain:
4 Policy Number: 10 Page: 4 OF 5 Specific, written description of the infraction, behavior or inadequate A written plan of improvement containing specific expectations and time frames in which to accomplish them may be simultaneously implemented as a component of the written reprimand, consequences of further infractions 3. Suspension may be issued if an employee fails to correct deficiencies in work or behavior after appropriate corrective counseling, verbal warning(s), and written warning, or if a more serious singular incident occurs, a suspension of three days to thirty days (depending on the seriousness of the infraction and prior disciplinary action) would be the next appropriate step. An employee may be suspended without pay while the agency conducts an investigation. Such suspensions should be imposed in only limited circumstances and only because the agency reasonably believes that the employee s presence presents a threat of continuing danger to persons or property, or because the agency believes the employee s presence may compromise the integrity of evidence. All written actions are to be reviewed by the Division s Director of Human Resources, or designee, prior to issuing. A suspension requires: A pre-determination conference with the employee, if possible, to advise him or her of the contemplated suspension prior to the actions, to give the employee the right to respond Specific, written description of the infraction, behavior or inadequate Specific period of time for the suspension Written reference of previous corrective action, if applicable Appeal rights A minimum of three (3) working days written notice prior to the effective date of the suspension Immediate suspension, followed with written confirmation, may occur in situations when deemed necessary The Commissioner and his or her designee are the only authorities designated for the WV Division of Culture and History to issue suspensions. 4. Demotions (with prejudice) may be issued for cause and may be the final attempt of corrective action prior to dismissal. All written actions are to be reviewed by the Division s Human Resources Director, or designee, prior to issuing. A demotion with prejudice shall include: A pre-determination conference with the employee to advise him or her of contemplation of demotion prior to the action A specific, written description of the infraction, behavior or inadequate Written reference of previous corrective action, if applicable
5 Policy Number: 10 Page:_ 5 OF 5 A written plan of improvement A minimum of three (3) working days written notice prior to the effective date of the suspension 5. Dismissal for cause may be issued for permanent separation from employment. If infractions / deficiencies in and/or behavior continue after the employee has had adequate opportunity for correction, or (2) the employee commits a singular offense of such severity (such as assault of a supervisor or co-worker, bringing a weapon to the workplace, patient abuse, inmate abuse, etc.) that dismissal is warranted. All written actions are to be reviewed by the Division s Director of Human Resources, or designee, prior to issuing. A dismissal requires: A pre-determination conference, if possible, with the employee to advise him or her of the contemplation of the dismissal prior to the action A specific, written description of the infraction, behavior or inadequate Written reference of previous corrective action, if applicable Fifteen (15) calendar day written notice to the employee prior to effective date of the action which includes the citation of the appropriate section of the Administrative Rule establishing authority to dismiss. Option of working out the notice period or receiving severance pay up to a maximum of 15 calendar days after vacating the workplace, except in dismissal for job abandonment; Opportunity for the employee to respond either in person or in writing prior to the effective date of the dismissal, and Written notice of appeal rights specifying to whom appeal should be directed and time limits to appeal the dismissal. Continuance of insurance coverage statement. The Commissioner and his or her designee are the only authorities designated for the WV Division of Culture and History to issue dismissals. Due Process Due Process is the substantive and procedural safeguard to a person s property and liberty interests provided by both the U.S. and West Virginia Constitutions. Since continued, uninterrupted employment is a property interest for a State employee, any employee who is suspended or dismissed is entitled to substantive and procedural due process.
6 POLICY ACKNOWLEDGEMENT FORM West Virginia Division of Culture and History I, hereby certify that I have received a copy of the Division of Culture and History's policy #_10, and have read and understand the policy. I agree to abide by the terms of this policy and I am aware that with any violation of this policy, I will be subject to disciplinary action, up to and including dismissal. My signature acknowledges receipt of the policy and my understanding of its contents. Name (Print) Signature Date
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