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AB 10 Corrective Action and Discipline

Last modified by Ryan Larkin on 2022/03/08 21:05

Washington County Sheriff's Office

ADMINISTRATIVE DIVISION

Policy Manual

Volume: AB

Staff Management

Chapter: 10

Corrective Action and Discipline

Replaces and/or Supersedes:

AB 10 04/13/2011

Published:

04/29/2013

Review Date:

03/08/2022

Sheriff Nate Brooksby

Undersheriff Barry Golding

TABLE OF CONTENTS

AB 10_101  Definitions

AB 10_102  References

AB 10_103  General

AB 10_104  Accountability

AB 10_105  Magnitude of Conduct

AB 10_106  Levels of Action

AB 10_107  Level-1

AB 10_108  Level-2

AB 10_109  Level-3

AB 10_110  Formal Appeal

AB 10_111  Forms and Letters

AB 10_112  Internal Investigative Materials

AB 10_113  Enforcement Guidelines

AB 10_101  DEFINITIONS

  1. WCSO:  Washington County Sheriff's Office
  2. PCF:  Purgatory Correctional Facility
  3. Chain of Command:  The WCSO structure as outlined in policy: AA 01 WCSO Organizational Structure.
  4. Impaired:  Intoxicated, under the influence of any controlled or otherwise mind or body-altering substance, or in any otherwise diminished physical or mental capacity.
  5. Offender:  A person that is an arrestee, an inmate, a probationer, a parolee, or a notorious repeat arrestee even if not currently incarcerated.

AB 10_102  REFERENCES

  1. Utah Counties Insurance Pool:
    1. ML-IV.F
    2. ML-V.F
    3. WC-III.K

AB 10_103  GENERAL

  1. Policy:
    1. Employee corrective action practices and procedures will be fair to employees while meeting the needs of the WCSO.
  2. Rationale:
    1. Fair practices and procedures are beneficial to the employees as well as to the WCSO.

AB 10_104  ACCOUNTABILITY

  1. Policy:
    1. 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.
    2. 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.
    3. Supervisors shall be responsible for awareness of and corrective actions for their direct subordinates unless otherwise directed by their division chief deputy.
    4. Before implementing disciplinary action that may lead to loss of employee property interest (i.e., loss of pay, loss of rank, 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.
    5. Transfers 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.
  2. Rationale:
    1. If an employee is in violation (e.g., impaired), immediate action is required to minimize the potential risk to safety and security.
    2. 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.
    3. Appropriate and timely dispositions:
      1. Minimize the harm caused to employees resulting from unfounded allegations;
      2. Minimize the harm to safety and security;
      3. Allow the administration to order actions, sanctions, or other remedies required by the circumstances; and
      4. Help begin the repair of any incurred harm to the reputation of the WCSO or its employees.

AB 10_105  MAGNITUDE OF CONDUCT

  1. Policy:
    1. Employee conduct shall be categorized according to the following magnitudes of seriousness:
      1. Minor:  An issue of relatively low importance or consequence (e.g., arriving a few minutes late for work).
      2. Intermediate:  An issue of relatively medium importance or consequence (e.g., not showing up for work).
      3. Major:  An issue of significant importance or consequence (e.g., failure to follow directions that resulted in physical injury), or any issue involving criminal conduct.
    2. When the magnitude of an issue of conduct is not obvious, the employee should receive the benefit of the doubt.
    3. 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.

AB 10_106  LEVELS OF ACTION

  1. Policy;
    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:
      1. Level-1: Coaching Session (specific notice to employee);
      2. Level-2: Counseling with Action Plan (specific notice to employee with detailed plan of action);
      3. Level-3: Disciplinary Action (up to and including termination).
    2. 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).

AB 10_107  LEVEL-1

  1. Policy:
    1. Level-1 Management actions ordinarily address only minor issues or first time occurrences of intermediate issues.
    2. A detailed plan of action is not required.
    3. Documentation shall be completed and entered into the employee's personnel file.

AB 10_108  LEVEL-2

  1. Policy:
    1. Level-2 Management actions ordinarily address:
      1. 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;
      2. Secondary occurrences of intermediate issues that were previously addressed with a Level-1 action; and
      3. Major issues with mitigating circumstances (i.e., circumstances that the employee could not foresee or plan for).
    2. A detailed corrective plan of action is required and shall be documented.
    3. Documentation shall be completed and entered into the employee's personnel file.

AB 10_109  LEVEL-3

  1. Policy:
    1. Level-3 Management actions ordinarily address:
      1. 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
      2. Major issues.
    2. After becoming aware of a violation that may warrant disciplinary action, the division chief deputy will notify the Sheriff and Undersheriff. The Sheriff or designee will determine if further investigation is necessary. If further investigation is necessary, the Sheriff or designee will determine the proper investigating authority and make the investigative assignment.
    3. After reviewing the facts of the case the Sheriff will determine if disciplinary action is warranted.
    4. 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.
    5. Disciplinary actions shall be determined on a case-by-case basis with consideration of:
      1. The magnitude of the offense;
      2. Previous disciplinary action of a similar nature;
      3. The employee's willingness to change behavior and sustain such changes throughout the remainder of employment;
      4. The deterrent effects of preventing violations by others;
      5. The employee's work history (e.g., productivity, attendance, etc.);
      6. Being a positive role model for other employees and supporting management's goals and objectives; and
      7. The employee's seniority.
    6. Documentation shall be completed via a formal letter.

AB 10_110  APPEAL

  1. Policy:
    1. The Washington County Sheriff's Office follows Washington County Policy in regards to appeals.

AB 10_111  FORMS AND LETTERS

  1. Policy:
    1. The purpose of employee management forms is to facilitate accurate documentation.
    2. A copy of every employee management form shall be available to the respective employee for verification of notice. Delivery of a hard-copy is not required.
    3. Delivery to the respective employee of hard-copies of formal disciplinary letters is required.

AB 10_112  INTERNAL INVESTIGATIVE MATERIALS

  1. Policy:
    1. Employees have no right to know about, review, or challenge any internal investigation unless it results in discipline.
    2. When discipline is to be imposed (i.e., Notice of Intent) employees have a right to:
      1. Know why they are being disciplined:
      2. A summary of the evidence on which that discipline is based; and
      3. Dispute that discipline through the administrative process outlined above.
    3. 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.
    4. 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.
    5. 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 in non-criminal cases. For criminal cases, see Policy AB 11, Internal Affairs and Investigations.
    6. 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.

AB 10_113  ENFORCEMENT GUIDELINES

  1. Policy:
    1. 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:
    2. Progressive discipline should be followed unless circumstances require otherwise;
    3. Termination may be particularly appropriate if:
      1. Another person is seriously injured or killed;
      2. Public image is severely damaged;
      3. Coercion, physical force, battery, or assault is an element (particularly if a supervisor is the aggressor);
      4. Serious extensive property damage occurs;
      5. Illegal discrimination or harassment occurs;
      6. 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
      7. The act results in a violation of a felony law.