Policy 11 Progressive Discipline
POLICY TITLE: | Progressive Discipline |
POLICY NUMBER: | 11 |
VERSION: | 2.0 |
REVISED DATE: | March 12, 2018 |
REVIEWED DATE: | March 13, 2018 |
APPROVAL DATE: | March 22, 2018 |
EFFECTIVE DATE: | April 2, 2018 |
NUMBER OF PAGES: | 7 |
A. OVERVIEW
1. Description and Purpose The City of Saint Paul (hereinafter referred to as City) is committed to providing our employees and management with a fair, clear and useful policy for correcting behavioral, conduct, and performance deficiencies.
2. Applicability This Policy applies to all City employees, hereinafter referred to as Personnel.
3. Failure to Comply Failure to comply with this Policy may result in disciplinary action in accordance with any and all disciplinary policies of the City.
B. POLICY AND PROCEDURE
1. The City’s progressive discipline policy and procedures are designed to provide a structured corrective action process to improve and prevent a recurrence of undesirable employee behavior and conduct, and performance issues, and/or violations of City policies and procedures.
2. This policy is consistent with City values, human resource (HR) best practices and employment laws.
3. Outlined below are the steps of City’s progressive discipline policy and procedure. The City reserves the right to combine or skip steps depending on the facts of each situation and the nature of the violation. The level of disciplinary intervention may also vary. Some of the factors that will be considered are whether the offense is repeated despite coaching, counseling or training, the employee’s work record, and the impact the behavior, conduct and performance issues, and/or violations have on the City.
4. Responsibilities of Human Resources (HR)
a. The City Manager server as the Human Resources Manager and leads the HR Division within the Administration Department.
b. Refer to City Personnel Policy Number 07.01 – Human Resource Management for details on the role and responsibility of HR.
5. Responsibilities of Supervisors, Managers and Directors
a. The immediate supervisor, manager or director (hereinafter referred to as Management) should approach corrective measures in an objective manner.
b. If the employee’s performance of assigned tasks is the issue, the supervisor, manager or director should confirm that proper instructions, appropriate orientation and training have been given and that the employee is aware of job expectations. Not only single incidents, but also patterns of poor performance, should be of concern as these are indicative of overall performance.
c. If misconduct is the issue, Management should take steps to ensure that the employee has been made aware of the City’s policies and regulations regarding the infraction.
d. If, in either case, appropriate instruction or information was not communicated, a plan for such communication should be immediately developed and reviewed with the employee.
6. Types of Progressive Disciplinary Action
a. Types of progressive discipline are:
i. Coaching and Verbal Warning
ii. Written Warning
iii. Performance Improvement Plan
iv. Suspension
v. Demotion
vi. Termination
b. This Policy do not preclude the City for instituting any level of disciplinary action, up to and including termination. The level of disciplinary action will be based on the severity of the employee’s behavior, conduct or performance deficiencies.
c. Other types of documentation regarding behavioral, conduct or performance deficiencies, and/or violations [e.g. follow-up documentation from meetings that set or clarified expectations for the employee, Individual Development Plans (IDP) or any other clarifications of expectations] are not considered formal elements of the disciplinary process but may be used as supporting documentation for any disciplinary actions taken.
7. Disciplinary Action Notice
a. All disciplinary actions, except for coaching and verbal warnings shall be in writing using a Disciplinary Action Notice (DAN).
b. HR and HR Manager shall review all DANs issued to City employees. The City Manager shall approve all DANs issued.
c. Disciplinary Action Notices shall include the following:
i. The name of the employee.
ii. The name of the employee’s immediate supervisor.
iii. The employee’s Employee Identification Number.
iv. The Department/Division the employee is in.
v. The job title of the employee.
vi. The date of the DAN.
vii. The nature of the violation.
viii. Details on the occurrence of the violation from the employer’s perspective.
ix. A statement from the employee if they choose to provide one.
x. Disciplinary action being taken.
xi. Description of the expected improvements to be made by the employee.
xii. Employee complaint policy statement
xiii. Signatures of the employee, immediate supervisor and City Manager and date signed.
d. A copy of the DAN will be provided to the employee and a copy filed in the employee’s personnel file.
e. The employee may file a written rebuttal to any disciplinary actions issued, which will be appended to the DAN in the employee’s personnel file.
8. Progressive Disciplinary Process
a. Step 1: Coaching and Verbal Warning
i. Step 1 creates an opportunity for Management to schedule a meeting with an employee to bring attention to the existing behavioral, conduct or performance deficiencies and/or violations. Management should discuss with the employee the nature of the problem or the violation of City policies and procedures. Management is expected to clearly describe expectations and steps the employee must take to improve performance or resolve the problem.
ii. Within five (5) business days of this meeting, Management will prepare a memorandum documenting the items discussed in meeting the meeting with the employee.
iii. A copy of the memorandum will be provided to the employee and a copy filed in the employee’s personnel file. The employee may file a written rebuttal to any memorandum issues, which will be appended to the memorandum in the employee’s personnel file.
b. Step 2: Written Warning
i. During Step 2, Management, in consultation with HR, will meet with the employee to review information about the behavioral, conduct or performance deficiencies and/or violations, as well as, any prior relevant disciplinary actions taken.
ii. At the meeting the employee will be presented a DAN for behavioral, conduct or performance deficiencies and/or violations.
iii. The employee will be asked to sign the DAN to demonstrate his understanding of the behavioral, conduct or performance deficiencies and/or violations, disciplinary action taken, and expected improvement.
c. Step 3: Performance Improvement Plan
i. If behavioral, conduct or performance deficiencies and/or violations persist after the issuing of a Written Warning, Management may elect to put the employee on a Performance Improvement Plan (PIP).
ii. HR will assist Management in the preparation of the PIP.
d. Step 4: Suspension
i. There may be behavior, conduct, performance, and/or violations, or safety incidents so problematic and harmful that the most effective action may be the temporary removal of the employee from the workplace. When immediate action is necessary to ensure the safety of the employee or others, Management may suspend the employee pending the results of an investigation.
ii. Suspensions that are recommended as part of the normal progression of this progressive discipline policy and procedure are subject to approval by the City Manager.
iii. Depending on the seriousness of the infraction, the employee may be suspended without pay in full-day increments consistent with federal, state and local wage-and-hour employment laws. Nonexempt/hourly employees may not substitute or use an accrued paid vacation or sick day in lieu of the unpaid suspension. Due to Fair Labor Standards Act (FLSA) compliance issues, unpaid suspension of salaried/exempt employees is reserved for serious workplace safety or conduct issues. HR will provide guidance so that the discipline is administered without jeopardizing the FLSA exemption status.
iv. Pay may be restored to the employee if an investigation of the incident or infraction absolves the employee.
v. A suspension without pay shall be for one (1) to two (2) workweek(s), generally starting the first full workweek after the decision letter has been issued. The effective date of the suspension is the first day of the suspension. Suspensions cannot be lengthened or shortened.
e. Step 5: Recommendation for Demotion
i. If behavioral, conduct or performance deficiencies and/or violations persist after other disciplinary steps have been taken, Management may elect to recommend demoting the employee.
ii. Management’s recommendation to demote the employee must be reviewed by HR and approved by the City Manager.
iii. Disciplinary demotions may be accomplished by reducing employee’s roles and/or responsibilities and rates of pay.
f. Step 6: Recommendation to Terminate Employment
i. The last and most serious step in the progressive discipline procedure is a recommendation to terminate employment. Generally, the City will try to exercise the progressive nature of this policy by first providing warnings, developing a PIP, a final written warning or suspension from the workplace before proceeding to a recommendation to terminate employment. However, the City reserves the right to combine and skip steps depending on the circumstances of each situation and the nature of the violation. Furthermore, employees may be terminated without prior notice or disciplinary action, depending on the type and severity of the violation.
ii. Management’s recommendation to terminate the employee must be reviewed by HR and approved by the City Manager and reviewed by legal counsel.
9. Pre-Disciplinary Conferences
a. Before Management can issue a suspension, demotion, or termination for behavioral, conduct, and/or performance deficiencies by an employee, Management must schedule and conduct a pre-disciplinary conference (PDC). A PDC is not required if a Management intends to provide coaching or issue a verbal or written warning. Below is the procedure for a PDC:
i. Written Notice of the PDC
a) Management must give the employee written notice of the PDC. Human Resources in consultation with the HR Consultation Team or their designee must approve the Pre-Disciplinary Conference Notice (PDCN) prior to the employee receiving the PDCN. The PDCN must:
1State the conference date, time, location, and parties to be present;
2include a summary of the reason(s) that have led to consideration of disciplinary action;
3indicate that disciplinary action, up to and including dismissal, is being considered.
b) The PDC notification may be mailed to an employee who is not at work. Such notice must be sent by certified mail, return receipt requested; or other appropriate method ensuring documentation delivery.
c) Failure of the employee to attend the PDC after receipt of the PDCN shall not stop the disciplinary process. In such situations, Management in consultation with Human Resources, may proceed with disciplinary action without additional input from the employee or, due to extenuating circumstances, may reschedule the PDC.
ii. PDC Participant and Proceedings
a) Participants in the pre-disciplinary hearing are:
1The immediate supervisor, or another person in the employee’s supervisory chain, selected to conduct the conference;
2the employee;
3Human Resources Division
b) The Human Resource Manager serves as a neutral party and is present to explain the purpose of the conference, to clarify any policy interpretations that arise during the conference, and to help facilitate the discussion.
c) During the PDC, the person conducting the conference must:
1Review the specific reason(s) for considering disciplinary action, including a summary of the facts supporting the recommendation for disciplinary action;
2Give the employee an opportunity to respond to the information provided regarding the incident(s) and to offer facts in support of the employee’s position.
iii. Content of the PDC
a) During the PDC, the person conducting the conference must:
1Review the specific reason(s) for considering disciplinary action, including a summary of the facts supporting the recommendation for disciplinary action;
2Give the employee and opportunity to respond to the information provided regarding the events and the recommended disciplinary action, and to offer facts in support of the employee’s position.
b) After consideration of any additional information provided by the employee at the PDC, Management may issue a written warning, PIP, suspension, demotion, or terminate the employee as allowed under this Policy.
c) Management must provide the employee written notification of the decision on a DAN no sooner that the start of the next business day after the PDC and no later than the end of the second business day after the PDC, unless the City Manager approves a written exception for a reasonable delay. The DAN must include a summary of the information provided during the pre-disciplinary conference.
10. Required Review and Approval
a. The Human Resources Division and City Manager advises Management on disciplinary decisions and must review and approve all DANs and related documents pursuant to this Policy before they are issued to an employee.
11. Procedural Violations
a. Failure to give written reasons for the disciplinary action or failure to conduct a pre-disciplinary conference when administering a suspension, demotion or termination is a procedural violation that requires Management to reissue the disciplinary action in accordance with the procedures defined in this Policy.
12. Waiver of Appeal Rights
a. If the employee fails to grieve the disciplinary action as provided by the City’s Employee Complaint Policy Number 13, then the employee is deemed to have waived the right to contest the validity of the disciplinary action.
13. Recordkeeping
a. Management is responsible for providing a signed copy of each Disciplinary Action Notice and related verbal or written notifications to HR immediately following the issuance of the action to the employee.
14. Performance and Conduct Issues Not Subject to Progressive Discipline
a. Behavior that is illegal is not subject to progressive discipline, and such behavior may be reported to the Department of Public Safety.
b. Similarly, theft, substance abuse, intoxication, harassment, fighting and other acts of violence at work are also not subject to progressive discipline and may be grounds for immediate termination.
15. Disclaimer
a. Nothing in this Policy provides any contractual rights regarding employee discipline or counseling, nor should anything in this policy be read or construed as modifying or altering between City and its employees.
C. FORM(S)
1. Disciplinary Action Notice (DAN)
2. Employee Performance Improvement Plan (PIP)
3. Status/Payroll Change Notice
D. REFERENCE(S)
1. City Personnel Policy Number 07.01 – Human Resource Management.
2. City Personnel Policy Number 13 - Employee Complaints
E. Definition(s)
1. None.
F. Policy History
1. This policy replaces Section 11.08 in the City Code of Ordinances (CCO).