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Version 1.2 by Ryan Larkin on 2016/09/02 15:13
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1 **Washington County Sheriff's Office**
2
3 **ADMINISTRATIVE DIVISION**
4
5 Policy Manual
6
7
8 Volume: AB
9
10 Staff Management
11
12 Chapter: 10
13
14 Corrective Action and Discipline
15
16
17 Replaces and/or Supersedes:
18
19 AB 10 04/13/2011
20
21 Published:
22
23 04/29/2013
24
25 Review Date:
26
27 04/29/2014
28
29
30 Sheriff Cory C. Pulsipher
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32 Undersheriff Bart Bailey
33
34
35 __**TABLE OF CONTENTS**__
36
37 AB 10_101 Definitions
38
39 AB 10_102 References
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41 AB 10_103 General
42
43 AB 10_104 Accountability
44
45 AB 10_ 105 Magnitude of Conduct
46
47 AB 10_106 Levels of Action
48
49 AB 10_107 Level-1
50
51 AB 10_108 Level-2
52
53 AB 10_109 Level-3
54
55 AB 10_110 Formal Appeal
56
57 AB 10_111 Forms and Letters
58
59 AB 10_112 Internal Investigative Materials
60
61 AB 10_113 Enforcement Guidelines
62
63
64 **AB 10_101 __DEFINITIONS__**
65
66 1. WCSO: Washington County Sheriff's Office
67 1. PCF: Purgatory Correctional Facility
68 1. Chain of Command: The WCSO structure as outlined in policy: AA 01 WCSO Organizational Structure.
69 1. Impaired: Intoxicated, under the influence of any controlled or otherwise mind or body-altering substance, or in any otherwise diminished physical or mental capacity.
70 1. Offender: A person that is an arrestee, an inmate, a probationer, a parolee, or a notorious repeat arrestee even if not currently incarcerated.
71
72 **AB 10_102 __REFERENCES__**
73
74 1. Utah Counties Insurance Pool:
75 11. ML-IV.F
76 11. ML-V.F
77 11. WC-III.K
78 1. Utah Sheriff's Association Jail Standards:
79 11. B01.02.05: Enforcement of Policy
80 11. B01.03.01: Enforce Policy and Procedure Requirements
81
82 **AB 10_103 __GENERAL__**
83
84 1. Policy:
85 11. Employee corrective action practices and procedures will be fair to employees while meeting the needs of the WCSO.
86 1. Rationale:
87 11. Fair practices and procedures are beneficial to the employees as well as to the WCSO.
88
89 **AB 10_104 __ACCOUNTABILITY__**
90
91 1. Policy:
92 11. Employees shall be responsible for reporting knowledge of violations or potential violations of criminal laws and Washington County and WCSO standards, policies, procedures, and practices. Reporting should be made to the on-duty supervisor as soon as possible. For serious or time-sensitive violations (e.g., impairment), notifications shall be made immediately. Supervisors shall forward reports received to their division chief deputy via the chain of command.
93 11. Observations or allegations of serious or time-sensitive violations (e.g., impairment) shall be immediately investigated by the on-duty supervisor. Follow-up investigation, if applicable, will be conducted only under the specific direction of the division chief deputy or higher ranking WCSO official after approval by the Sheriff. If, as a result of a supervisor's initial investigation, there is no reasonable suspicion to believe that the employee is impaired while on duty, the employee shall be so notified orally and in writing and instructed to return to duty.
94 11. Supervisors shall be responsible for awareness of and corrective actions for their direct subordinates unless otherwise directed by their division chief deputy.
95 11. Before implementing disciplinary action that may lead to loss of employee property interest (i.e., loss of pay, loss of rank, loss of ability to promote, suspension, or termination) the division chief deputy and Sheriff or Undersheriff should review the circumstances with the Washington County Human Resources Director. Every termination must be approved in advance by the Human Resource Director.
96 11. Transfer to assignments that may not provide resources previously assigned to the employee (i.e., cellular telephones, office, or vehicles) are not considered property interest issues.
97 1. Rationale:
98 11. If an employee is in violation (e.g., impaired), immediate action is required to minimize the potential risk to safety and security.
99 11. If complaints originate from the public or offenders, a timely resolution is necessary to limit the damage done to the credibility and reputation of the WCSO and its employees.
100 11. Appropriate and timely dispositions:
101 111. Minimize the harm caused to employees resulting from unfounded allegations;
102 111. Minimize the harm to safety and security;
103 111. Allow the administration to order actions, sanctions, or other remedies required by the circumstances; and
104 111. Help begin the repair of any incurred harm to the reputation of the WCSO or its employees.
105
106 **AB 10_105 __MAGNITUDE OF CONDUCT__**
107
108 1. Employee conduct shall be categorized according to the following magnitudes of seriousness:
109 11. Minor: An issue of relatively low importance or consequence (e.g., arriving a few minutes late for work).
110 11. Intermediate: An issue of relatively medium importance or consequence (e.g., not showing up for work).
111 11. Major: An issue of significant importance or consequence (e.g., failure to follow directions which resulted in physical injury), or any issue involving criminal conduct.
112 1. When the magnitude of an issue of conduct is not obvious, the employee should receive the benefit of the doubt.
113 1. A more complete (but not all inclusive) list of staff conduct expectations and examples of violations may be found in policy: AB 05 Standards of Conduct.
114
115 **AB 10_106 __LEVELS OF ACTION__**
116
117 1. The employee corrective action process is designed with three progressive levels of action. The first two levels are corrective actions that are considered training or “coaching” actions and are not considered disciplinary actions. The last level is considered disciplinary action. The levels of action are as follows:
118 11. Level-1: Coaching (specific notice to employee);
119 11. Level-2: Coaching (specific notice to employee with detailed plan of action);
120 11. Level-3: Discipline (up to and including termination).
121 1. The level of action to be taken depends upon the magnitude and the specific circumstances of the relevant issue and/or events (i.e., not all actions must begin at Level-1).
122
123 **AB 10_107 __LEVEL-1__**
124
125 1. Level-1management actions ordinarily address only minor issues or first time occurrences of intermediate issues.
126 1. A detailed plan of action is not required.
127 1. Documentation shall be completed and entered into the employee's personnel file via a Level-1 Staff Management form.
128
129 **AB 10_108 __LEVEL-2__**
130
131 1. Level-2 management actions ordinarily address:
132 11. Repetitive minor issues. Secondary occurrences of minor issues are not necessarily required to be managed with a Level-2 action. The decision should be determined by the supervisor after taking into consideration the magnitude and the frequency of the conduct;
133 11. Secondary occurrences of intermediate issues that were previously addressed with a Level-1 action; and
134 11. Major issues with mitigating circumstances (i.e., circumstances that the employee could not foresee or plan for).
135 1. A detailed corrective plan of action is required and shall be documented.
136 1. Documentation shall be completed and entered into the employee's personnel file via a Level-2 Staff Management form.
137
138 **AB 10_109 __LEVEL-3__**
139
140 1. Level-3 management actions ordinarily address:
141 11. Repetitive minor or intermediate issues. Secondary occurrences are not necessarily required to be managed with a Level-3 action. The decision should be determined by the supervisor after taking into consideration the magnitude and the frequency of the conduct; and
142 11. Major issues.
143 1. After becoming aware of a violation that may warrant disciplinary action, the division chief deputy will notify the Sheriff and Undersheriff. The Sheriff will determine if further investigation is necessary. If further investigation is necessary, the Sheriff will determine the proper investigating authority and make the investigative assignment.
144 1. After reviewing the facts of the case the Sheriff will determine if disciplinary action is warranted. If disciplinary action is warranted, the Sheriff will prepare a Notice of Intent to be served on the employee.
145 1. The Notice of Intent is to provide the employee with notice of the violations and of the intended disciplinary action, allowing the employee an opportunity to formally appeal the issue or components of the issue as outlined in section: FORMAL APPEAL.
146 1. Based upon the outcome of the formal appeal or a notice by the employee that they accept the intended disciplinary action, the employee will be served with a Notice of Discipline or Notice Not To Discipline. These documents provide notice to the employee of the final decision(s) regarding the specific issue and bring the Sheriff's portion of the action to a conclusion. As a part of any Notice of Discipline, employees will receive written instructions of their further appeal rights.
147 1. The Sheriff may choose to convene a Disciplinary Review Board prior to issuing a Notice of Intent or after an appeal hearing but prior to issuing the Notice of Discipline or Notice Not To Discipline for the purposes of:
148 11. Reviewing investigative material quality and relevance;
149 11. Reviewing mitigating or rebuttal information offered by the employee during the Sheriff's Hearing; or
150 11. At the Sheriff's request, making non-binding recommendations related to discipline.
151 1. Level-3 management actions include the full spectrum of disciplinary actions that may be taken against an employee up to and including termination of employment.
152 1. Disciplinary actions shall be determined on a case-by-case basis with consideration of:
153 11. The magnitude of the offense;
154 11. Previous disciplinary action of a similar nature;
155 11. The employee's willingness to change behavior and sustain such changes throughout the remainder of employment;
156 11. The deterrent effects of preventing violations by others;
157 11. The employee's work history (e.g., productivity, attendance, etc.);
158 11. Being a positive role model for other employees and supporting management's goals and objectives; and
159 11. The employee's seniority.
160 1. Documentation shall be completed via formal letters from the Sheriff (i.e., Notice of Intent and Notice of Discipline or Notice Not to Discipline).
161
162 **AB 10_110 __FORMAL APPEAL__**
163
164 1. Prior to taking formal action, the employee is encouraged to resolve any disputes amicably and informally.
165 1. Any employee of which a Level-3 action is brought against shall be allowed the opportunity to appeal the relevant issue or components thereof via a formal meeting with the Sheriff or via written appeal addressed to the Sheriff.
166 1. The right of an employee to a formal appeal shall be valid for up to thirty days after receipt of the Notice of Intent. After the thirty days, the Sheriff may grant a formal appeal; however, the Sheriff shall not be required to do so.
167 1. The Sheriff shall have up to ten working days to respond to an employee's written appeal. An employee's written appeal may be drafted by the employee or by theemployee's representative. The employee is not required to attend an appeal meeting with the Sheriff if a written appeal is submitted.
168 1. A written appeal is not required of the employee in order to attend an appeal meeting with the Sheriff; however, it is encouraged as a means of ensuring clear communications during the hearing. An appeal meeting will typically be scheduled by the Sheriff and be specifically noted with date and time in the Notice of Intent. The established date and time is set only to help facilitate the process, not to impede it. If an established date or time is inopportune for the employee, the employee may request a different date and time within the time frame. The employee is entitled, but not required, to be accompanied by one support person of their choice. This support person may be legal counsel, but is not required to be. The employee must provide the Sheriff with notice of their intent to attend the hearing and if they will be accompanied by legal counsel at least two working days prior to the hearing. The employee shall not be required to participate in a formal appeal meeting.
169 1. Employees have no specific right to a representative provided by the Sheriff's Office. Employees of the Sheriff's Office who are lower than the rank of lieutenant may act as a representative of another employee on their own time and expense.
170
171 **AB 10_111 __FORMS AND LETTERS__**
172
173 1. The purpose of employee management forms is to facilitate accurate documentation.
174 1. A copy of every employee management form shall be emailed to the respective employee for verification of notice. Delivery of a hard-copy is not required.
175 1. Delivery to the respective employee of hard-copies of formal disciplinary letters is required.
176
177 **AB 10_112 __INTERNAL INVESTIGATIVE MATERIALS__**
178
179 1. Employees have no right to know about, review, or challenge any internal investigation unless it results in discipline.
180 1. When discipline is to be imposed (i.e., Notice of Intent) employees have a right to:
181 11. Know why they are being disciplined:
182 11. A summary of the evidence on which that discipline is based; and
183 11. Dispute that discipline through the administrative process outlined above.
184 1. Employees do not have a right to access all investigative materials. They have the right to respond to the violations and evidence enumerated in the Notice of Intent.
185 1. Access to internal investigative materials and disciplinary actions is strictly on a need-to-know basis as determined by the Sheriff upon the advice of his legal counsel.
186 1. Employees interviewed during an internal investigation have no right to confidentiality and are expected to provide accurate and honest information with an understanding that information will only be shared on a need-to-know basis. This applies when criminal prosecution is not at issue. For instances in which it is at issue, see Policy AB 11, Internal Affairs and Investigations.
187 1. From the time a Notice of Intent is issued, all documents and materials related to the employee are to be retained and stored with nothing being destroyed unless specifically authorized by legal counsel.
188
189 **AB 10_113 __ENFORCEMENT GUIDELINES__**
190
191 Enforcement guidelines are not absolutes. They simply provide employees with an idea of what to expect in the way of management's reaction when cases of similar nature and outcomes occur. The following guidelines should apply to all employees:
192
193 1. Progressive discipline should be followed unless circumstances require otherwise;
194 1. Termination may be particularly appropriate if:
195 11. Another person is seriously injured or killed;
196 11. Public image is severely damaged;
197 11. Coercion, physical force, battery, or assault is an element (particularly if a supervisor is the aggressor);
198 11. Serious extensive property damage occurs;
199 11. Illegal discrimination or harassment occurs;
200 11. The employee loses work credibility and it is no longer reasonable to expect that the employee can be effective or efficient in current job assignments; or
201 11. The act results in a violation of a felony law.