Effective Date Chapter 4 July 9, 2003 AUTHORITY PROGRESSIVE DISCIPLINE This guideline draws from concepts and principles included in Article III, Section 3.01 (3) and (12) of the City Charter; Sections 62-336, 62-338, 62-344, of the City Code; Chapter 112, Parts VI and VIII Police Officer s Bill of Rights and Firefighter s Bill of Rights respectively; Chapter 119 and Chapter 447 of Florida Statutes; and decisional law interpreting the Fifth and Fourteenth Amendments of the United States Constitution. GUIDELINE STATEMENT The City of West Palm Beach administers discipline as a means to ensure that employees adhere to established standards of conduct and performance. In those instances where misconduct in the first instance is not extreme or serious, the City is committed to the use of progressive discipline. Progressive discipline does not mean that all first offenses must be addressed with verbal reprimands, and that all second offenses must be addressed with written reprimands. It means that all disciplinary tools and penalties are available to address misconduct not punishable by termination in the first instance, and the type of discipline will depend on the severity of the offense, the employee's work record and history, and other relevant factors. The Human Resources Department administers the City of West Palm Beach disciplinary guideline. PURPOSE This guideline is intended to serve as a resource for employees, primarily those who administer employee discipline. It is designed to promote principles of effective discipline, including consistency and fairness. SCOPE OF APPLICABILITY The Progressive Discipline Guideline applies only to City employees who hold regular status (are not serving an initial hire probation) and who are covered by Civil Service Rules and Regulations or a collective bargaining agreement. Where provisions of this guideline conflict with a collective bargaining agreement, the collective bargaining agreement shall prevail. DEFINITIONS Classified Employees are persons holding positions covered by the Civil Service Rules and Regulations. Collective Bargaining Agreement is a contract between the City and a particular certified bargaining representative which sets forth mutually agreed upon wages, benefits and other terms and conditions of employment. Page 1 of 5
Managerial Employees (Management) are persons who assist in the formulation or formulate policies affecting bargaining unit employees, may be involved in the collective bargaining process, may administer collective bargaining agreements, may have a significant role in personnel administration or in employee relations, may serve as chiefs or department directors of any public safety department or who may otherwise meet the definition of managerial pursuant to Florida Statute, Chapter 447.203 (4). Investigatory Interview is a meeting between the employee and a representative of the City at which time the employee will be required to respond to questions regarding allegations of misconduct connected with the employee's job. Pre-determination Hearing is a meeting between the employee and the City held prior to proposed disciplinary or adverse employment action. During the meeting, the employee or his or her representative may provide any information in his/her defense and state why the City should not take the proposed action. Unclassified Employees are persons who are not covered by the Civil Service Rules and Regulations. Certain unclassified employees are not eligible for bargaining unit representation due to their managerial capacity or specialized, intermittent, or confidential nature of their work. Unclassified employees include the City Administrator, the directors of bureaus and departments, the City Clerk, the Internal Auditor, the City Attorney, the Deputy City Attorney, the Assistant City Attorneys, and those division heads and officers so designated by ordinance. Unclassified employees also include all intermittent (seasonal/temporary) employees, all persons employed by contract for a limited term to perform specialized or technical services, other positions that may be designated by the Civil Service Board to be unclassified because of the specialized or confidential nature of the position, and those positions specifically excluded from the Classified Service by collective bargaining agreement. STANDARDS AND PROCEDURES Disciplinary actions should be reviewed and approved by the Human Resources Director or designee prior to the imposition of discipline beyond a written reprimand. A. TYPES OF DISCIPLINE Verbal Reprimand is an oral warning concerning conduct or work performance. A written record is made by the supervisor in the operating department personnel file or pending evaluation file. Written Reprimand is an official documented warning concerning conduct or work performance placed in an employee s Human Resources personnel file. Suspension is an involuntary removal from the work site which includes loss of pay for the time specified. It is used when a written reprimand has not resulted in a satisfactory change in the employee s conduct or performance or when warranted by the seriousness of the offense. Employees who are exempt from overtime under the FLSA can only be suspended a full work week in accordance with the Fair Labor Standards Act (FLSA). Page 2 of 5
Demotion is an involuntary appointment from a position in one classification to a position in a classification with a lower pay grade. A disciplinary demotion is a level of action deemed necessary to correct a problem in conduct or performance. Termination of Employment is an involuntary separation from employment with the City. A termination of employment occurs when all previous disciplinary actions have failed to bring a satisfactory change in the employee s conduct or performance, or when warranted by the seriousness of the offense. B. GROUNDS FOR DISCIPLINARY ACTION An employee shall maintain high standards of cooperation, efficiency and integrity in his or her conduct and work performance with the City in keeping with the laws of the United States, the State of Florida, and the City of West Palm Beach; all provisions of departmental or City rules or regulations, or Standard Operating Procedures; or as reflected in the Code of Conduct set forth in Civil Service Rules and Regulations or collective bargaining agreements. The City has the right to discipline or terminate employment for any violation that constitutes unsatisfactory work performance, misconduct, adverse impact on the City, or any other cause. C. SUPERVISOR AND MANAGEMENT RESPONSIBILITIES Supervisors should have a higher level manager or a representative from the Human Resources Department present when discipline beyond a written reprimand is administered. A Human Resources Department representative will attend meetings, as requested, and will be available to assist the department in following the progressive discipline guideline and procedures. D. NOTICE AND REPRESENTATION 1. Classified and bargaining unit employees must be notified of management s intention to administer discipline as defined in their applicable collective bargaining agreement and/or City policies or procedures, or in state law. 2. As part of the investigatory or fact-finding process, an investigatory interview may be scheduled for the employee to respond to questions about the allegations. 3. Classified and bargaining unit employees are entitled to representation during an investigatory interview. 4. Upon the request of an employee subject to an investigatory interview, the employee will be entitled to one representative of his/her choice. The employee may use a union representative, a private attorney, or another representative. The employee should indicate his/her desire to have a representative present at any type of investigative meeting or disciplinary hearing. The employee is responsible for arranging his/her choice of representation to be present. 5. Reasonable delays in scheduling of meetings or hearings may be approved by management when requested by the employee to permit time to secure a representative. Page 3 of 5
E. SERVICE OF FINDINGS AND DISCIPLINARY ACTION NOTICES 1. At the conclusion of an investigation, findings are documented. If a violation or a complaint is determined to be founded, a recommendation for discipline is drafted by the investigating supervisor. In making this determination, the investigator must determine on the basis of all the available evidence, whether it is more likely than not that the employee engaged in the alleged conduct. The investigator may draw all reasonable inferences based on the available evidence, and may draw inferences against the accused if the investigator believes he/she was uncooperative or untruthful. If a violation or complaint is determined to be unfounded, the investigation is closed without a recommendation for discipline. 2. The operating department supervisor or manager drafts the notice of findings and/or employment action and sends it to the Human Resources Department for review, approval or filing as required. Advance review and approval of such notice by the Human Resources Department are required for recommended suspensions or terminations. 3. The supervisor serves the notice upon the employee. The findings and/or recommended discipline documentation should be signed by the department director, the employee, the individual serving the discipline, and a witness. If the employee refuses to sign, the supervisor should document such refusal in a conspicuous location on the form. The refusal should be witnessed by another member of management and the witness should also sign the document. 4. A signed copy of the form is given to the employee and the original is forwarded to the Human Resources Department, Employee Relations Division for inclusion in the employee s personnel file. 5. If the discipline is a verbal reprimand, management meets with the employee to administer the discipline and documents the verbal reprimand with a copy to the employee. This documentation will remain in the operating department s file. F. PRE-DETERMINATION HEARINGS 1. When management is considering a suspension without pay or termination of employment, a pre-determination hearing is scheduled so that the employee has advance notice of the charges and may offer a defense. He/she may offer any evidence, testimony or witness statements which may be taken into consideration when determining the level of discipline. 2. Hearings are scheduled within the time frames identified in the applicable collective bargaining agreement. If no collective bargaining agreement applies, a minimum of two working days advance notice of the meeting is required. 3. Pre-determination hearings are closed to the public. 4. The employee may contest the discipline being recommended by providing a written statement or choose not to contest the discipline being recommended. The employee may also waive his/her right to a pre-determination hearing in writing. Page 4 of 5
G. DOCUMENTATION Documents produced during an investigation are confidential until the investigation is closed, after which they become public record. Disciplinary documents at the level of written reprimand or higher must be forwarded to the Human Resources Department for placement in the employee personnel file to be maintained in accordance with Florida Statute 119, Florida Public Record Law. Documentation for disciplinary actions should include: Reference to prior disciplinary action or similar violations. Documentation of prior disciplinary action may be attached. Specific reference(s) to the conduct or performance violation(s). A warning concerning the consequences of future or repeat violations. For example; "A future offense will result in further disciplinary action up to and including termination of employment". The signatures of the Department Director, the supervisor serving the notice, a witness and the employee. H. APPEALS OF DISCIPLINARY ACTION 1. Employees on original employment probation, non-bargaining employees, unclassified non-bargaining employees, and temporary, seasonal or intermittent employees have no right of appeal. 2. Employees covered by both a collective bargaining agreement and the Civil Service Rules and Regulations may appeal a disciplinary action taken by the City only through one of the two avenues open to them. They must choose either the grievance procedure or a Civil Service appeal. An appeal must be in writing and filed in accordance with applicable procedures. The City will only process one avenue of appeal. 3. Information for bargaining unit employees on filing an appeal is found in the applicable collective bargaining agreement under the grievance procedure article. 4. Information for classified or Civil Service employees on filing an appeal is found in the Civil Service Rules and Regulations. is effective on day of, 2003. Lois J. Frankel, Mayor Page 5 of 5