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Agenda 07/22/2008 Item #12AAgenda Item No. 12A July 22, 2008 Page 1 of 28 EXECUTIVE SUMMARY Recommendation that the Board of County Commissioners approve an Employee Disciplinary Policy and a Commitment To Fair Treatment Policy for administrative staff employees working under the supervision of the Executive Manager to the Board of County Commissioners to supersede the current disciplinary policy approved by the Board on July 25, 2006. OBJECTIVE: To obtain Board approval of an employee disciplinary policy and a commitment to fair treatment policy superseding the Board's July 25, 2006, (agenda item 16H1, attached), disciplinary policy adopted for governing the administrative staff managed by the Executive Manager to the Board of County Commissioners required by Section 2 of the Executive Manager's May 23, 2006, Employment Agreement. CONSIDERATIONS: On May 23, 2006, the Board of County Commissioners approved the Executive Manager to the Board's Employment Agreement (the "Agreement "), which provides in part that the administrative staff she supervises will follow the same personnel rules and procedures implemented by the County Manager Agency ( "CMA ") employees except for CMA 5350 ( "Commitment to Fair Treatment ") and CMA 5351 ( "Discipline "). Section 2 of that Agreement further provides that the Executive Manager was to work with the County Attorney to develop a Discipline policy to be brought to the Board for approval. On July 25, 2006, the Board approved Agenda Item 16H1, which implemented a discipline policy as required by the Agreement. The policy established a process for handling disciplinary matters involving administrative staff to the Board but did not include an appeal from the Executive Manager's recommended discipline. On April 8, 2008, during the "staff and commission general communications" portion of that day's regular Board meeting, Commissioner Coletta raised the issue that the current disciplinary policy lacked an appeal process for the Board's administrative staff. After discussion on the issue, the Board directed the County Attorney to review the policy and bring back a revised version of the policy that included an appeal process. The Board also indicated a preference for a policy that included participation by the Human Resources Department. Attached to the Executive Summary are two proposed versions of CMA 5351; referenced as CMA 5351 -A (Ex. 1) and 5351 -A (Ex. 2). Both versions provide the Board's administrative staff with an appeal from recommended discipline. Strike - throughs and underlining is used to distinguish how the proposed procedures are modified to address employees supervised by the Executive Manager to the Board. CMA 5351 -A (Ex. 1) involves a one -step appeal process whereby an employee may seek review /reconsideration of the Executive Manager's recommended discipline directly to the Human Resources Director. Safeguards are put in place so that the Labor & Relations Manager assists the Executive Aide in disciplinary decisions so that the Human Resources Director remains neutral and available to hear any appeal. As an alternative option for the Board's consideration, CMA 5351 -A (Ex. 2) involves a two -step _ appeal process. Under this proposed procedure, if an employee is not satisfied with the Human Resources Director's decision, the employee may appeal that decision to a Hearing Officer Agenda Item No. 12A July 22, 2008 Page 2 of 28 selected by the County. An appeal to a Hearing Officer would be the final level of appeal and his/her decision would be final. Under this proposal the County would incur the cost of the Hearing Officer to prepare for the hearing, attend the hearing, and prepare a final written recommendation. A separate and additional proposed procedure referenced as 5350 -A ( "Commitment to Fair Treatment), which is a modified version of the County Manager Agency's procedure, is also attached. The commitment to fair treatment procedure offers employees an opportunity to solve problems and/or resolve disputes, which may rise regarding the application, meaning or interpretation of the County's Human Resources Administrative Practices and Procedures. The Commitment to Fair Treatment procedure that applies countywide employs a possible three level review through the immediate Department Director, the Division Administrator, and the County Manager. If the employee is satisfied with the response at any level, the review ends. Under the proposed 5350 -A procedure, employees working under the Executive Manager to the Board may seek review regarding the application of County procedures directly to the Human Resources Director. Although there is not a multi -level layer of review under this proposed procedure, the employee will obtain an opportunity to seek review from a neutral reviewing party tasked with insuring that the procedures governing County employees are fairly applied by management. The Human Resources Director has reviewed and agrees with the concepts in the proposed procedures. FISCAL IMPACT: In the event that the Board selects proposed CMA 5351 -A (Ex. 2) there would be an undeterminable cost incurred to employ the services of a Hearing Officer. The fiscal impact would also vary based upon the number of appeals and the cost of the hearing officer. If the Board selects proposed CMA 5351 -A (Ex. 1) there is no additional cost as the appeal will be done without the aid of an outside Hearing Officer. There is no costs associated with the propose CMA 5350 -A Commitment to Fair Treatment procedure. LEGAL CONSIDERATIONS: The policy proposed in this Executive Summary is legally sufficient for the Board to take action. — SRT. GROWTH MANAGEMENT IMPACT: The proposed procedures do not impact or conflict with the Growth Management Plan. RECOMMENDATION: That the Board of County Commissioners approve one of the proposed disciplinary policies, CMA 5351 -A (Ex. 1) or CMA 5351 -A (Ex. 2), as well as the proposed commitment to fair treatment, to supersede the previous disciplinary policy approved by the Board on July 25, 2006. Prepared by: Scott R. Teach, Deputy County Attorney Attachments: (1) Proposed Disciplinary Procedures, CMA 5351 -A (Ex. 1) and CMA 5351 -A (Ex. 2) (2) Proposed Commitment to Fair Treatment, CMA 5350 -A (3) July 25, 2006 Agenda Item 16HI Page 1 of 1 Agenda Item No. 12A July 22, 2008 Page 3 of 28 file: / /C:\AgendaTest \Export\11 I -July% 2022,% 202008 \12. %2000LJNTY %20ATTORNEY... 7/15/2008 COLLIER COUNTY BOARD OF COUNTY COMMISSIONERS Item Number: 12A Item Summary: Recommendation that the Board of County Commissioners approve an Employee Disciplinary Policy and a Committment To Fair Treatment Policy for administrative staff employees working under the supervision of the Executive Manager to the Board of County Commissioners to supersede the current disciplinary policy approved by the Board on July 25, 2006. Meeting Date: 7/22/2008 9:00:00 AM Prepared By Scott R. Teach Assistant County Attorney Date County Attorney County Attorney Office 719/2008 11:24:49 AM Approved By Scott R. Teach Assistant County Attorney Date County Attorney County Attorney Office 719/2008 2:47 PM Approved By OMB Coordinator OMB Coordinator Date _.., County Manager's Office Office of Management & Budget 7/9/2008 4:12 PM Approved By John A. Yonkosky Director of the Office of Management Date County Manager's Office Office of Management & Budget 7/9/2008 5:18 PM Approved By James V. Mudd County Manager Date Board of County Commissioners County Manager's Office 7/9/2008 5:27 PM file: / /C:\AgendaTest \Export\11 I -July% 2022,% 202008 \12. %2000LJNTY %20ATTORNEY... 7/15/2008 Chapter 5351 —A (Ex. 1) DISCIPLINE (Effective Date: June 24, 20081 § 5351 -1. Purpose. Agenda Item No. 12A July 22, 2008 Page 4 of 28 The purpose of this Instruction is to provide for the implementation of a disciplinary procedure authorized by the County Manager. § 5351 -2. Concept. It is the practice of the County to implement a practice of positive discipline. The County believes employees are the most vital resource of County government. Therefore, when employee behavior warrants it, Supervisors must take positive corrective action whenever practical. These disciplinary procedures apply only to all regular full -time and part-time employees below the level of Department Director. Department Directors, Chiefs, Division Administrators, County Attorney, C -hie€ Deputy Assistant County Attorney, Deputy County Manager and the County Manager reporting to the Board of County Commissioners are exempt from this disciplinary procedure, serve at the will of the County and may be discharged or demoted for any reason. All temporary and seasonal employees and contractual staff of the County are also exempt from this disciplinary procedure. Employees in their initial probationary period (including any extension of their initial probationary period) do not have appeal rights under this procedure. A. Factors In Discipline: Although internal consistency in administering discipline is desirable, numerous factors should be considered in determining the appropriate level of discipline to be administered. These factors include, but are not limited to: (1) Employee's length of service. (2) Intervals between performance or behavior problems. (3) Employee's willingness to improve overall work performance or behavior. (4) Previous disciplinary actions. (5) Effectiveness of prior disciplinary actions. (6) Severity of disciplined behavior. (7) Repetition of disciplined behavior. B. Philosophy: Supervisors should work with employees to improve performance or behavior and may refer employees to the Employee Assistance Program whenever possible. Each disciplinary action, other than verbal counseling, must be fully documented on a Behavior Action Planl and submitted to the Human Resources Department prior to implementation. Some breaches of conduct are so severe, 1. Editor's Note: The Behavior Action Plan is included at the end of this CMA. Agenda Item No. 12A July 22, 2008 Page 5 of 28 however, that they warrant an immediate discharge or other disciplinary action. The following include, but are not limited to, actions that may warrant immediate discharge: workplace violence, violations of the Code of Ethics or any applicable ethics laws or ordinances, insubordination, theft, sexual harassment, or other severe misconduct or unsatisfactory performance or behavior. C. Disciplinary Actions: (1) Verbal counseling session: (a) Supervisors should advise employees immediately whenever the employee's attitude, work habits, or personal conduct falls below an acceptable level. (b) It is the responsibility of the employee's immediate Supervisor to get all the facts, weigh the evidence and discuss any disciplinary problems with the employee involved. (c) The purpose of a verbal counseling session is to encourage employees to improve their work habits, attitude, attendance, or behavior. Discussions of this nature are commonly used when an employee disregards work rules of a relatively minor nature. The normal procedure is for the employee's immediate Supervisor to identify and define the area in need of improvement and ask the employee what steps he /she will take to make improvements in their behavior. (d) A verbal counseling session serves notice that if improvement is not forthcoming, or the misconduct reoccurs, then more formal disciplinary action such as written counseling, suspension, or discharge may be taken. The Supervisor should note the verbal counseling session on the County's Supervisory Log Form and maintain this form in department records. The Supervisor and the employee should initial the Supervisory Log entry. This form should not be placed in the employee personnel file in the Human Resources Department, but should be retained by the Supervisor. (2) Written Counseling Session: (a) In situations where verbal counseling has not resulted in the expected improvement or when an employee exhibits further disciplinary problems or when the employee's conduct warrants, a Behavior Action Plan shall be issued. If misconduct is involved, the information should include a description of the incident of misconduct and refer to times, dates, locations, personnel involved and rules violated, if applicable. (b) The employee's immediate Supervisor may initiate the Behavior Action Plan in coordination with the DepaAfnefA Direetaf and the assigned Human Resources Generalist and give the form to the employee after approval by the Labor and Employee Relations Manager or his/her designee . Agenda Item No. 12A July 22, 2008 Page 6 of 28 (c) The employee's signature is requested on the Behavior Action Plan to acknowledge receipt; however, the signature may or may not indicate an employee's agreement with the disciplinary action. If the employee refuses to sign, it should be so indicated on the Behavior Action Plan in the area reserved for the employee's signature. The signatures of the Supervisor, , Labor and Employee Relations Manager or his/her designee must be included. (d) The Behavior Action Plan, documenting the conduct and, where appropriate, the Code of Ethics/Standards of Conduct violated and disciplinary action taken, shall be retained in the employee's personnel file in the Human Resources Department. (3) Suspension: (a) An employee may be suspended by the employee's immediate Supervisor, with the pFie... al of the r,epal —meat Dir- ee.,._ A; :1,:, nher designees and upon consultation with the assigned Human Resources Generalist. Such suspension may be without pay for reasons provided in the Code of Ethics /Standards of Conduct2 or for other unacceptable conduct. Suspension shall be in accordance with the requirements of the Fair Labor Standards Act. (b) In emergency situations, the immediate Supervisor may place an employee on administrative leave with pay without the approvals and consultation indicated above (weekends, night shift, perceived danger to fellow employees, the public or to County property, safety concerns, etc.). In these cases, the Supervisor should contact the Difeeter, the u...,,,.., R -esRur s Direoter and the Labor and Employee Relations Manager or his/her designee as soon as possible. (c) Suspensions shall be documented on a Behavior Action Plan which describes unacceptable conduct and, where appropriate, the Code of Ethics /Standards of Conduct violated and the disciplinary action administered. The Behavior Action Plan may be given to the employee after approval by the Labor and Employee Relations or his/her designee and after consultation with the County Attorney. n RS TM"° °t^- As above, the Behavior Action Plan must include the signatures of the Supervisor and ; , the Labor and Employee Relations Manager or his /her designee and Human Resetirees . The original copy of the Behavior Action Plan shall be retained in the employee's personnel file in the Human Resources Department. A Personnel Action Report (PAR) should be completed when a suspension occurs. (d) Any employee recommended for suspension shall be placed on notice of his/her appeal rights, if any, by separate letter /memorandum from the 2. Editor's Note: See CMA 5311, Code of Ethics, and CMA 5311.1, Standards of Conduct Agenda Item No. 12A July 22, 2008 Page 7 of 28 Human Resources Department. A copy of any available appeal rights shall be provided with this letter /memorandum. (4) Discharge /Disciplinary Demotion: (a) Employees may be discharged or demoted for misconduct, unacceptable job performance, job abandonment and/or violations of the Code of Ethics /Standards of Conduct. As noted in the Code of Ethics /Standards of Conduct,3 the reasons for discipline, including discharge or demotion, outlined therein are examples and are not considered all inclusive. Recommendations to discharge or demote regular full -time and regular part-time employees who have completed their initial probationary period may be made by the employee's Supervisor in coordination with the assigned Human Resources Generalist, after consultation with the Labor and Employee Relations Manager or his/her designee and the County Attorney Human Resettrees Difeet^` Following this consultation, the recommendation shall be formalized by completion of a Behavior Action Plan.4 (b) The Behavior Action Plan should indicate a description of reasons for the recommended discharge or demotion and indicate the Code of Ethics /Standard of Conduct violated, if applicable, or other reasons for the recommended discharge or demotion. (c) The Behavior Action Plan should be signed by the immediate Supervisor and Depai4meilt n"eeter and forwarded to the Labor and Employee Relations Manager or his/her designee °ffia "h° 44um_..., pesett_ees Diree-ter for review and approval, following consultation with the County Attorney, prior to communication with the employee. In extreme cases, this approval may be obtained verbally. (d) Employees may be placed on administrative leave with pay pending approval of the discharge or demotion and will be entitled to a termination/disciplinary demotion hearing upon written request. See § 5351 -21)(2) and (3) below. (e) Any employee recommended for discharge or demotion shall be placed on notice of his/her appeal rights, if any, by a letter /memorandum from the Human Resources Department separate and apart from the BAP. A copy of any available appeal rights shall be provided to the employee with the letter /memorandum. (5) Employees at the Department Director level and above serve at the will of the County Manager and/or appointing authority. These employees are exempt from the suspension /discharge /disciplinary demotion appeal procedures, and may be discharged /demoted for any reason. 3. Editor's Note: See CMA 5311, Code of Ethics, and CMA 5311.1, Standards of Condom 4. Editor's Note: The Behavior Action Plan is included at the end of this CMA. Agenda Item No. 12A July 22, 2008 Page 8 of 28 (6) New hire probationary, temporary and seasonal employees and contractual staff are not covered by this procedure and may be separated at any time for any reason. (7) When disciplinary action is taken and a Behavior Action Plan is completed, an employee may be placed on probation for a period not to exceed three months. When the employee meets the established goal(s), the probationary period may be lifted. If the employee does not meet the established goal(s), further disciplinary action may be taken, up to and including discharge. D. Suspension, Discharge and Disciplinary Demotion Appeal Procedures: No appeal will be allowed for any disciplinary action except for suspensions, terminations and disciplinary demotions as outlined below. Employees will, however, be permitted to submit statements outlining the reason(s), if any, for their disagreement with the disciplinary action taken. (1) Post Suspension Appeal: (a) The employee may request a hearing within five working days of receipt of the notice of suspension before the Human Resources Director n;..:.:,.., n a.,,:.,:. .^ iC : °r °_ hjqnh a° :° °° The Supervisor. Labor and Employee Relations Manager, Pepa#ment Direeter, a-ad Human °^^^ ^fees n "° °- and/or their respective designees, shall be in attendance. The employee will be provided an opportunity to present evidence that the suspension is inappropriate. The DepaAment TMrestaf of his/her designee and the employee's Supervisor shall present the reasons /documents for the suspension. The Human Resources Director -Division na : ^._ . ^_ice : °r shall hear the facts of the matter and take additional action, as necessary, to ensure all the facts in the matter are determined. The Human Resources Director or his/her designee, shall render a decision within 10 working days of the hearing to the emolovee. (b) Upon written request by the employee at least three working days prior to the hearing, the County will allow the attendance of a reasonable number of County employees who have direct knowledge of the incident under review at the hearing as witnesses for the employee. The employee is responsible for scheduling the appearance of his/her witnesses. The County will be responsible for the wage or salaries of all County employee witnesses who appear at the hearing at the request of the employee. A list of witnesses, summary of testimony and other evidence, shall be provided by both parties to the Human Resources Department at least three working days prior to the hearing. (e) The Diyisiea m ^ mxi ax va nvrd iiI issue A rrnxal dee=r' A within 10 ...,.r4:..D days te the empleyee- (dc) If the suspension is upheld by the Human Resources Director Qivkien Administrator or his/her designee, the Behavior Action Plan Agenda Item No. 12A July 22, 2008 Page 9 of 28 documenting the suspension shall be placed in the employee's personnel file in the Human Resources Department. If the suspension is overturned by the Human Resources Director or his/her designee, all pay, if applicable, shall be reinstated to the employee and documentation regarding the suspension shall be placed in the employee's personnel file. (2) grePost- Termination/RrePost- Disciplinary Demotion Hearing: (a) A p+epost- termination (discharge) /prenost- disciplinary demotion hearing, if requested in writing by the employee within five working days of the action, will be coordinated by the Human Resources Director or his/her designee and is intended to present the factual « ,, for the by the ° pley °° Th° h°..«; «.... be .ed h.. toe ° pleye° in .. h: h ease the proposed diseiplinaFy act:,.« will stand The Human Resources Director will schedule the hearing within 30 days of receiving the request for the hearing. The hearing may only be rescheduled upon written request of either party, and must be reset within a reasonable time. The employee's Supervisor and the Labor & Employee Relations Manager or their respective designees, shall be in attendance The employee may be allowed to present witnesses and documentation and cross - examine witnesses presented by the County. The employee will be allowed representation by an attorney. The employee will have a right to examine the evidence that forms the basis for the discharge /disciplinary demotion. The Supervisor or his/her designee, with assistance and representation from the Office of the County Attorney and the Labor and Employee Relations Manager or his/her designee, as appropriate or as needed, shall present the reasons for the discharge /disciplinary demotion and will also be allowed to present witnesses and documentation and will be allowed to cross - examine witnesses presented by the employee. The Human Resources Director or his/her designee shall take action to ensure all facts in the matter are determined. M. Mriff. Agenda Item No. 12A July 22, 2008 Page 10 of 28 r.. _ ■ ■ . _ _ . .. ■ - ■_ • (b) Judicial rules of procedure and evidence will not be applicable. The Human Resources Director or his/her designee shall render his/her decision within 10 working days of the hearing. A court reporter shall document this process. All witnesses Droviding testimonv will be put under oath (c) Upon written request by the employee at least three working days prior to the hearing, the County will allow the attendance of a reasonable number of County employees at the hearing as witnesses for the employee. The employee shall be responsible for scheduling the appearance of his/her witnesses. The County will be responsible for the wage or salaries of all County emplovee witnesses who appear at the hearing at the request of the employee. A list of witnesses and summary of testimony and other evidence shall be provided by both parties to the Human Resources Department at least three working days prior to the hearing. (d) If the discharge /disciplinary demotion is upheld by the Human Resources Director Eel Manager-, the Behavior Action Plan documenting the discharge /disciplinary demotion shall be placed in the employee's personnel file in the Human Resources Department. If the discharge /disciplinary demotion is overturned by the Human Resources Director Gattnt�, Manager-, all pay and benefits, if applicable, and original date of hire shall be reinstated to the employee and documentation regarding the discharge /disciplinary demotion shall be placed in the employee's personnel file _ . .. ■ - ■_ ■ Agenda Item No. 12A July 22, 2008 Page 11 of 28 (4) General Provisions: (a) An appeal or request for a hearing that is not submitted within the time limits as prescribed for each step, where no written extension has been • •_ • (4) General Provisions: (a) An appeal or request for a hearing that is not submitted within the time limits as prescribed for each step, where no written extension has been Agenda Item No. 12A July 22, 2008 Page 12 of 28 granted by the due date, shall be considered untimely; and, unless the lack of timeliness results from circumstances over which the employee has no control, untimely requests will not be considered. An appeal or request for hearing not taken to the next step within the time limits shall be considered settled on the basis of the last answer provided by management. An appeal or request for a hearing that is not answered within the time limits prescribed for the appropriate management representative at each step shall entitle the employee to appeal to the next step. (b) The time limits prescribed herein may be extended for good and sufficient reasons by management due to short term illness, vacations, business trips, scheduling /workload conflicts, or emergencies, when deemed in the best interest of assessing all available information to arrive at an equitable solution. If the time limits are extended, the employee will be so advised in writing. (c) The time limits as set forth in this procedure for the processing of complaints and responses by management shall remain the same for employees regardless of work schedules. For the purpose of this discipline procedure, the working day shall be defined as regular business hours Monday through Friday. An employee who seeks an extension of the time limits set forth herein must make the request to the Human Resources Director in writing prior to the expiration of the time period to be extended. (d) A court reporter shall be utilized to document the post disciplinary demotion and post termination appeal processes. § 5351 -3. Currency. The Human Resources Department is responsible for maintaining the currency of this Instruction. § 5351 -4. Reference. Collier County Personnel Ordinance, Ordinance No. 2001 -50: Discipline: It is the policy of the County to implement a policy of positive progressive discipline. The County believes employees are the most vital resource of County government. Therefore, Supervisors must take positive corrective action whenever practical. The disciplinary procedures apply only to all regular full -time and part-time employees below the level of Section Heads, Department Directors, Division Administrators, and all supervisory employees directly reporting to the Board of County Commissioners, County Attorney, and County Manager are exempt from the disciplinary policy, serve at the will of the County, and may be discharged for any reason. All contractual employees of the County are exempt from the disciplinary policy. CMA 5351 Attachment I COLLIER COUNTY GOVERNMENT NAME OF EMPLOYEE JOB TITLE DIVISION BEHAVIOR ACTION PLAN SOCIAL SECURITY NO. DEPARTMENT Agenda Item No. 12A July 22, 2008 Page 13 of 28 DATE SUPERVISOR (Print Name) L DESCRIPTION OF INCIDENT/NATURE OF VIOLATION: (DESCRIBE MISCONDUCT. LIST DATE, TIME AND STANDARDS OF CONDUCT VIOLATED. INDICATE PERFORMANCE NOT MET. DESCRIBE WORKFLOW IMPACT.) H. SUMMARY OF EMPLOYEE'S PAST DISCIPLINARY ACTION(S): LIST ALL DISCIPLINARY ACTIONS, COUNSELING THAT HAVE OCCURRED. INCLUDE DATES, ACTION TAKEN AND RESULTS. III. MEASURABLE IMPROVEMENTS /GOALS: (INCLUDE WELL- DEFINED EXPECTATIONS AND TIMEFRAMES, IF APPROPRIATE. LIST TRAINING AND DIRECTION TO BE PROVIDED.) IV. POSITIVEINEGATIVE CONSEQUENCES: (EXAMPLE: WHEN YOU MEET THE ESTABLISHED GOAL, PROBATION MAY BE LIFTED -or- IF THIS ACTION OCCURS AGAIN, YOU MAY BE SUBJECT TO ADDITIONAL DISCIPLINARY ACTION.) V. EMPLOYEE'S STATEMENT: (OPTIONAL) VI. ACTION TAKEN: * Attach Personnel Action Form ❑ WRITTEN COUNSELING & INSTRUCTION ❑ SUSPENSION * _ DAYS []Exempt ❑Non - Exempt ❑ DISCIPLINARY DEMOTION * ❑ RECOMMENDATION TO TERMINATE EMPLOYMENT* SUPERVISOR DATE DEPARTMENT DIRECTOR DATE HRG INITIALS DATE DIRECTOR, HUMAN RESOURCES DATE LABOR/EE RELS MGS DATE Please refer to the Collier County Practices and Procedures, Discipline, CMA 5351, for correct handling of this form. * Employee should be advised of Suspension, Discharge and Disciplinary Demotion Appeal Procedures (§ CMA 5351 -2D) EMPLOYEE (RECEIPT ACKNOWLEDGED) DATE DISCIPLINARY ACTION MUST BE DISCUSSED WITH AND APPROVED BY HUMAN RESOURCES PRIOR TO COMMUNICATION WITH AFFECTED EMPLOYEE Send Completed Form To Your Human Resources Generalist Immediately Revised 02/2004 Chapter 5351 —A (Ex. 2) DISCIPLINE [Effective Date: June 24, 20081 § 5351 -1. Purpose. Agenda Item No. 12A July 22, 2008 Page 14 of 28 The purpose of this Instruction is to provide for the implementation of a disciplinary procedure authorized by the County Manager. § 5351 -2. Concept. It is the practice of the County to implement a practice of positive discipline. The County believes employees are the most vital resource of County government. Therefore, when employee behavior warrants it, Supervisors must take positive corrective action whenever practical. These disciplinary procedures apply only to all regular full -time and part-time employees below the level of Department Director. Department Directors, Chiefs, Division Administrators, County Attorney, Q4ef--Deouty Assistant County Attorney, Deputy County Manager and the County Manager reporting to the Board of County Commissioners are exempt from this disciplinary procedure, serve at the will of the County and may be discharged or demoted for any reason. All temporary and seasonal employees and contractual staff of the County are also exempt from this disciplinary procedure. Employees in their initial probationary period (including any extension of their initial probationary period) do not have appeal rights under this procedure. A. Factors In Discipline: Although internal consistency in administering discipline is desirable, numerous factors should be considered in determining the appropriate level of discipline to be administered. These factors include, but are not limited to: (1) Employee's length of service. (2) Intervals between performance or behavior problems. (3) Employee's willingness to improve overall work performance or behavior. (4) Previous disciplinary actions. (5) Effectiveness of prior disciplinary actions. (6) Severity of disciplined behavior. (7) Repetition of disciplined behavior. B. Philosophy: Supervisors should work with employees to improve performance or behavior and may refer employees to the Employee Assistance Program whenever possible. Each disciplinary action, other than verbal counseling, must be fully documented on a Behavior Action Plan and submitted to the Human Resources Department prior to implementation. Some breaches of conduct are so severe, however, that they warrant an immediate discharge or other disciplinary action. The following include, but are not limited to, actions that may warrant immediate discharge: workplace violence, violations of the Code of Ethics or any applicable ethics laws or ordinances, insubordination, theft, sexual harassment, or other severe Agenda Item No. 12A July 22, 2008 Page 15 of 28 misconduct or unsatisfactory performance or behavior. C. Disciplinary Actions: (1) Verbal counseling session: (a) Supervisors should advise employees immediately whenever the employee's attitude, work habits, or personal conduct falls below an acceptable level. (b) It is the responsibility of the employee's immediate Supervisor to get all the facts, weigh the evidence and discuss any disciplinary problems with the employee involved. (c) The purpose of a verbal counseling session is to encourage employees to improve their work habits, attitude, attendance, or behavior. Discussions of this nature are commonly used when an employee disregards work rules of a relatively minor nature. The normal procedure is for the employee's immediate Supervisor to identify and define the area in need of improvement and ask the employee what steps he /she will take to make improvements in their behavior. (d) A verbal counseling session serves notice that if improvement is not forthcoming, or the misconduct reoccurs, then more formal disciplinary action such as written counseling, suspension, or discharge may be taken. The Supervisor should note the verbal counseling session on the County's Supervisory Log Form and maintain this form in department records. The Supervisor and the employee should initial the Supervisory Log entry. This form should not be placed in the employee personnel file in the Human Resources Department, but should be retained by the Supervisor. (2) Written Counseling Session (a) In situations where verbal counseling has not resulted in the expected improvement or when an employee exhibits further disciplinary problems or when the employee's conduct warrants, a Behavior Action Plan shall be issued. If misconduct is involved, the information should include a description of the incident of misconduct and refer to times, dates, locations, personnel involved and rules violated, if applicable. (b) The employee's immediate Supervisor may initiate the Behavior Action Plan in coordination with the Depai4ment Direeter and the assigned Human Resources Generalist and give the form to the employee after approval by the Labor and Employee Relations or his/her desijznee Manager and Human R@sE)ufe@s Pireeter. (c) The employee's signature is requested on the Behavior Action Plan to acknowledge receipt; however, the signature may or may not indicate an employee's agreement with the disciplinary action. If the employee refuses to sign, it should be so indicated on the Behavior Action Plan in the area reserved for the employee's signature. The signatures of the Supervisor, PepartinaeiA DireeteT Labor and Employee Relations Manager or his/her designee and cr... a+i Reseufees Pireet^^ must be Agenda Item No. 12A July 22, 2008 Page 16 of 28 included. (d) The Behavior Action Plan, documenting the conduct and, where appropriate, the Code of Ethics /Standards of Conduct violated and disciplinary action taken, shall be retained in the employee's personnel file in the Human Resources Department. (3) Suspension: (a) An employee may be suspended by the employee's immediate Supervisor;; with the pfiar approval of the r,o.._ -#_ e;# Dirt -, ter or x.:.,440_ Eles gnae and upon consultation with the assigned Human Resources Generalist. Such suspension may be without pay for reasons provided in the Code of Ethics /Standards of Conduct or for other unacceptable conduct. Suspension shall be in accordance with the requirements of the Fair Labor Standards Act. (b) In emergency situations, the immediate Supervisor may place an employee on administrative leave with pay without the approvals and consultation indicated above (weekends, night shift, perceived danger to fellow employees, the public or to County property, safety concerns, etc.). In these cases, the Supervisor should contact the Difeeter- ..e u......... APgsur ., Dirgeter and the Labor and Employee Relations Manager or his/her designee as soon as possible. (c) Suspensions shall be documented on a Behavior Action Plan which describes unacceptable conduct and, where appropriate, the Code of Ethics /Standards of Conduct violated and the disciplinary action administered. The Behavior Action Plan may be given to the employee after approval by the Labor and Employee Relations Manager or his/her designee and consultation with the County Attorney. Manager and v.. -nma., Re-sa.°,.,.,. Direet"" As above, the Behavior Action Plan must include the signatures of the Supervisor and ; Department Pireet ^^ the Labor and Employee Relations Manager or his/her designee afld 14timan P _PireetRr. The original copy of the Behavior Action Plan shall be retained in the employee's personnel file in the Human Resources Department. A Personnel Action Report (PAR) should be completed when a suspension occurs. (d) Any employee recommended for suspension shall be placed on notice of his/her appeal rights, if any, by separate letter /memorandum from the Human Resources Department. A copy of any available appeal rights shall be provided with this letter /memorandum. (4) Discharge /Disciplinary Demotion: (a) Employees may be discharged or demoted for misconduct, unacceptable job performance, job abandonment and/or violations of the Code of Ethics /Standards of Conduct. As noted in the Code of Ethics /Standards of Conduct, the reasons for discipline, including discharge or demotion, outlined therein are examples and are not considered all inclusive. Recommendations to discharge or demote regular full -time and regular part-time employees who have completed their initial probationary Agenda Item No. 12A July 22, 2008 Page 17 of 28 period may be made by the employee's DepaAmeat Pireetef Supervisor in coordination with the assigned Human Resources Generalist, after consultation with the Labor and Employee Relations Manager or his/her designee and the County Attorney Human Resa.._,.,,,, 14ire.t, Following this consultation, the recommendation shall be formalized by completion of a Behavior Action P1an.I (b) The Behavior Action Plan should indicate a description of reasons for the recommended discharge or demotion and indicate the Code of Ethics /Standard of Conduct violated, if applicable, or other reasons for the recommended discharge or demotion. (c) The Behavior Action Plan should be signed by the immediate Supervisor and Depa meat Direct,._ and forwarded to the Labor and Employee Relations Manager for review and approval, following consultation with the County Attorney, prior to communication with the employee. In extreme cases, this approval may be obtained verbally. (d) Employees may be placed on administrative leave with pay pending approval of the discharge or demotion and will be entitled to a termination/disciplinary demotion hearing upon written request. See § 5351 -21)(2) and (3) below. (e) Any employee recommended for discharge or demotion shall be placed on notice of his/her appeal rights, if any, by a letter /memorandum from the Human Resources Department separate and apart from the BAP. A copy of any available appeal rights shall be provided to the employee with the letter /memorandum. (5) Employees at the Department Director level and above serve at the will of the County Manager and/or appointing authority. These employees are exempt from the suspension /discharge /disciplinary demotion appeal procedures, and may be discharged/demoted for any reason. (6) New hire probationary, temporary and seasonal employees and contractual staff are not covered by this procedure and may be separated at any time for any reason. (7) When disciplinary action is taken and a Behavior Action Plan is completed, an employee may be placed on probation for a period not to exceed three months. When the employee meets the established goal(s), the probationary period may be lifted. If the employee does not meet the established goal(s), further disciplinary action may be taken, up to and including discharge. D. Suspension, Discharge and Disciplinary Demotion Appeal Procedures: No appeal will be allowed for any disciplinary action except for suspensions, terminations and disciplinary demotions as outlined below. Employees will, however, be permitted to submit statements outlining the reason(s), if any, for their disagreement with the disciplinary action taken. (1) Post Suspension Appeal: I. Editor's Note: The Behavior Action Plan is included at the end of this CMA. Agenda Item No. 12A July 22, 2008 Page 18 of 28 (a) The employee may request a hearing within five working days of receipt of the notice of suspension before the Human Resources Director or liig"'°- designee. The Sunervisor, Labor and Emplovee Relations Manager, and/or their respective designees, shall be in attendance. The employee will be provided an opportunity to present evidence that the suspension is inappropriate. The DepaAFaer..,�. at eetef or kis ter designee wid the employee's Supervisor, shall present the reasons /documents for the suspension. The Human Resources Director Division A.,_.iaist_^teBlGhie shall hear the facts of the matter and take additional action, as necessary, to ensure all the facts in the matter are determined. The Human Resources Director or his/her designee, shall render a decision within 10 working days of the hearing to the employee. (b) Upon written request by the employee at least three working days prior to the hearing, the County will allow the attendance of a reasonable number of County employees who have direct knowledge of the incident under review at the hearing as witnesses for the employee. The employee is responsible for scheduling the appearance of his/her witnesses. The County will be responsible for the wage or salaries of all County employee witnesses who appear at the hearing at the request of the employee. A list of witnesses, summary of testimony and other evidence, shall be provided by both parties to the Human Resources Department at least three working days prior to the hearing. (a) The Division 0411 iS9 & ° ¢ Axx.¢x Eleeision within 10 . ar4i g 4ays to the empleyee. (djc if the suspension is upheld by the Human Resources Director Divisieff inistrater or his/her designee, the Behavior Action Plan documenting the suspension shall be placed in the employee's personnel file in the Human Resources Department. If the suspension is overturned by the Human Resources Director Division Administrate inistrat°^ or his/her designee, all pay, if applicable, shall be reinstated to the employee and documentation regarding the suspension shall be placed in the employee's personnel file. (3) Pre- Termination/Pre- Disciplinary Demotion Hearing: (a) A pre - termination (discharge) /pre - disciplinary demotion hearing, if requested in writing by the employee within five working days of the action, will be coordinated by the Human Resources Generalist, the Labor and Emplovee Relations Manager or their designees >_r.... an Reseu-e°° .,:_..t._ of designee and is intended to present the factual reasons for the discharge /disciplinary demotion for verification or denial of those facts by the employee. The hearing can be waived by the employee, in which case the proposed disciplinary action will stand. (b) The employee will receive notification of the hearing in writing a minimum of three business days prior to the hearing from the Human Resources Generalist. the Labor and Emplovee Relations Manager or Agenda Item No. 12A July 22, 2008 Page 19 of 28 their designees This _. notice will contain the date, time and place of the hearing, reasons for the discharge /disciplinary demotion and a copy of the approved Behavior Action Plan. Failure of the employee to attend the scheduled hearing will be considered a waiver of the hearing and the discharge will stand. (c) The pre- termination/pre- disciplinary demotion hearing will be conducted by the Human Resources Director or designee ;404,. assiqtanee 4mm_ the 14um-..., oe,.,.ufees r,o.....-... eR4. The purpose of the hearing is to avoid factual mistakes relating to the matter and determine whether the facts support the decision and fall within guidelines of existing CMAs. The employee will not be allowed representation by an attorney. (d) The Human Resources Director or designee shall make a decision within three working days of the conclusion of the hearing. The Human Resources Director shall advise the employee and immediate Supervisor 4he 14uMan no,,,..._,.,.,. Direeter of the decision and once a written answer is prepared, will provide a copy to the employee, Muff.,.. Resaufees TM -°^ter, and immediate Supervisor, . (4) Post- Termination/Post- Disciplinary Demotion Appeal (a) The employee may then request a hearing, within five working days upon receipt of the Human Resources Director's Pivisierr AdministratRr's determination, before a Hearing Officer i7aa3 be selected by the County to hear and decide the appeal. to make the findings--of faet. the County Manager ,._ .".a.°_ aesigne° The Human Resources fester Department will schedule the hearing within 30 days of receiving the request for the hearing. The hearing may only be rescheduled upon written request of either party, and must be reset within a reasonable time. The Supervisor and the Labor and Employee Relations Manager Human n as Pireets or their respective designees, shall be in attendance. The employee may be allowed to present witnesses and documentation and cross - examine witnesses presented by the County. The employee will be allowed representation by an attorney. The employee will have a right to examine the evidence that forms the basis for the discharge /disciplinary demotion. The Supervisor r his/her designee, with assistance and representation from the Office of the County Attorney and the Labor and Employee Relations Manager Human Reseui-ees Pirp.Asr or his/her designee, as appropriate or as needed, shall present the reasons for the discharge /disciplinary demotion and will also be allowed to present witnesses and documentation and will be allowed to cross - examine witnesses presented by the employee. The Hearing Officer C^^ ^t° Manager or designee shall take action to ensure all issues giving rise to the disciplinary action f et° in "h° matter are determined. (b) Judicial rules of procedure and evidence will not be applicable. The Agenda Item No. 12A July 22, 2008 Page 20 of 28 Hearing Officer Gem shall render his/her decision within 10 working days of the hearing. A court reporter shall document this process. All witnesses providing testimony will be put under oath. (c) Upon written request by the employee at least three working days prior to the hearing, the County will allow the attendance of a reasonable number of County employees at the hearing as witnesses for the employee. The employee shall be responsible for scheduling the appearance of his /her witnesses. The County will be responsible for the wage or salaries of all County employee witnesses who appear at the hearing at the request of the employee. A list of witnesses and summary of testimony and other evidence shall be provided by both parties to the Human Resources Department at least three working days prior to the hearing. (d) With the assistance of the County Attorney, A the °„ti°„ .r« ° ,. „. Manager, a Hearing Officer will may be selected to hear and decide the appeal. The Hearing Officer will consider all issues giving rise to the disciplinary action appealed from and affirm, reverse or modify the disciplinary action. make the findings of faet The Hearing Officer person selected will either be the County Manager's designee, an attorney who is a member of the Florida Bar Association, or an arbitrator listed with either the American Arbitration Association or the Federal Mediation and Conciliation Service. All expenses of the Hearing Officer will be the responsibility of the County. The Hearing Officer will prepare and distribute his/her written decision wed to the County Manag°- within 10 business days following the close of the hearing to the County and the employee. The Rearing Offiepr will flOt Make an), as to the ae,4�ial resE)lUtiE)f1 Of the diseharge. The Count),Maaage,ln 4sgueA. F— azal dec!,isien .40;in 10 wark4ag days to the � I (e) If the discharge /disciplinary demotion is upheld by the Hearing Officer Geunty Manager, the Behavior Action Plan documenting the discharge /disciplinary demotion shall be placed in the employee's personnel file in the Human Resources Department. If the discharge /disciplinary demotion is overturned by the Hearing Officer County Manager, all pay and benefits, if applicable, and original date of hire shall be reinstated to the employee and documentation regarding the discharge /disciplinary demotion shall be placed in the employee's personnel file. (4) General Provisions: (a) An appeal or request for a hearing that is not submitted within the time limits as prescribed for each step, where no written extension has been granted by the due date, shall be considered untimely; and, unless the lack of timeliness results from circumstances over which the employee has no control, untimely requests will not be considered. An appeal or request for hearing not taken to the next step within the time limits shall be considered settled on the basis of the last answer provided by Agenda Item No. 12A July 22, 2008 Page 21 of 28 management. An appeal or request for a hearing that is not answered within the time limits prescribed for the appropriate management representative at each step shall entitle the employee to appeal to the next step. (b) The time limits prescribed herein may be extended for good and sufficient reasons by management due to short term illness, vacations, business trips, scheduling /workload conflicts, or emergencies, when deemed in the best interest of assessing all available information to arrive at an equitable solution. If the time limits are extended, the employee will be so advised in writing. (c) The time limits as set forth in this procedure for the processing of complaints and responses by management shall remain the same for employees regardless of work schedules. For the purpose of this discipline procedure, the working day shall be defined as regular business hours Monday through Friday. An employee who seeks an extension of the time limits set forth herein must make the request to the Human Resources Director in writing prior to the expiration of the time period to be extended. (d) A court reporter shall be utilized to document the post disciplinary demotion and post termination appeal processes. § 5351 -3. Currency. The Human Resources Department is responsible for maintaining the currency of this Instruction. § 5351 -4. Reference. Collier County Personnel Ordinance, Ordinance No. 2001 -50: Discipline: It is the policy of the County to implement a policy of positive progressive discipline. The County believes employees are the most vital resource of County government. Therefore, Supervisors must take positive corrective action whenever practical. The disciplinary procedures apply only to all regular full -time and part -time employees below the level of Section Heads, Department Directors, Division Administrators, and all supervisory employees directly reporting to the Board of County Commissioners, County Attorney, and County Manager are exempt from the disciplinary policy, serve at the will of the County, and may be discharged for any reason. All contractual employees of the County are exempt from the disciplinary policy. Agenda Item No. 12A July 22, 2008 Page 22 of 28 CMA 5351 Attachment I COLLIER COUNTY GOVERNMENT BEHAVIOR ACTION PLAN NAME OF EMPLOYEE SOCIAL SECURITY NO. DATE JOB TITLE DIVISION DEPARTMENT SUPERVISOR (Print Name) I. DESCRIPTION OF INCIDENT/NATURE OF VIOLATION: (DESCRIBE MISCONDUCT. LIST DATE, TIME AND STANDARDS OF CONDUCT VIOLATED. INDICATE PERFORMANCE NOT MET. DESCRIBE WORKFLOW IMPACT.) II. SUMMARY OF EMPLOYEE'S PAST DISCIPLINARY ACTION(S): LIST ALL DISCIPLINARY ACTIONS, COUNSELING THAT HAVE OCCURRED. INCLUDE DATES, ACTION TAKEN AND RESULTS. III. MEASURABLE IMPROVEMENTS /GOALS: (INCLUDE WELL - DEFINED EXPECTATIONS AND TIMEFRAMES, IF APPROPRIATE. LIST TRAINING AND DIRECTION TO BE PROVIDED.) IV. POSITIVE/NEGATIVE CONSEQUENCES: (EXAMPLE: WHEN YOU MEET THE ESTABLISHED GOAL, PROBATION MAY BE LIFTED -or- IF THIS ACTION OCCURS AGAIN, YOU MAY BE SUBJECT TO ADDITIONAL DISCIPLINARY ACTION.) IN (OPTIONAL) VI. ACTION TAKEN: *Attach Personnel Action Form ❑ WRITTEN COUNSELING & INSTRUCTION ❑ SUSPENSION - DAYS ❑Exempt ❑Non- Exempt ❑ DISCIPLINARY DEMOTION * ❑ RECOMMENDATION TO TERMINATE EMPLOYMENT* SUPERVISOR DATE HRG INITIALS DATE LABOR/EE RELS MGS DATE DEPARTMENT DIRECTOR DATE DIRECTOR, HUMAN RESOURCES DATE Please refer to the Collier County Practices and Procedures, Discipline, CMA 5351, for correct handling of this form. * Employee should be advised of Suspension, Discharge and Disciplinary Demotion Appeal Procedures (§ CMA 5351 -2D) (RECEIPT ACKNOWLEDGED) DATE DISCIPLINARY ACTION MUST BE DISCUSSED WITH AND APPROVED BY HUMAN RESOURCES PRIOR TO COMMUNICATION WITH AFFECTED EMPLOYEE Send Completed Form To Your Human Resources Generalist Immediately Revised 02/2004 Agenda Item No. 12A July 22, 2008 Page 23 of 28 Chapter 5350 —A COMMITMENT TO FAIR TREATMENT [Effective Date: June 24, 20081 § 5350 -1. Purpose. The purpose of this Instruction is to provide for the implementation of a commitment to fair treatment procedure authorized by the County Manager. § 5350 -2. Concept. The County is committed to providing fair treatment to all employees and will ensure each concern is handled in an efficient and equitable manner. The County has established a commitment to fair treatment practice and procedure to provide a vehicle for employees to solve problems or resolve disputes, which may rise regarding the application, meaning or interpretation of the County's Human Resources Administrative Practices and Procedures. The commitment to fair treatment procedure does not apply to new employees serving their initial six -month probation, temporary employees, employee performance evaluation ratings or hiring decisions. Appeal procedures for discharge, suspension, or disciplinary demotion for regular full -time and regular part-time employees below the level of Department Director are stated in CMA 5351, Discipline, under § 5351 -21), Suspension, Discharge and Disciplinary Demotion Appeal Procedures. § 5350 -3. Procedures. A. The County encourages employees to discuss any concerns with their Supervisor and ensures that employees may do so without fear of reprisal. It is the intent and desire of the County to address complaints informally. Both Supervisors and employees are expected to make every effort to resolve problems as they arise. B. wee One levels -of review are is provided to employees who are dissatisfied with the answer received from their Supervisor. Employees shall first discuss the matter with their immediate Supervisor within five working days of the occurrence of the incident. If dissatisfied with the Supervisor's response, the employee has the option of appealing the response as follows: at the F llawing l°v (1) Level One: The employee should reduce his/her concerns to writing for presentation to the Human Resources hisllrer DepaAfnent Director within five working days from the date of discussion with the immediate Supervisor. Appeal forms may be utilized by the employee to record the details of the situation, the immediate Supervisor's response and the appropriate instruction, as applicable. A copy of the statement must be furnished by the Supervisor to the Human Resources Director. The Human Resources Director will schedule and conduct a meeting with the employee within five working days of receipt of the appeal and will provide Agenda Item No. 12A July 22, 2008 Page 24 of 28 an answer within five working days of the meeting. A meeting with all parties involved is encouraged before the Human Resources DepaAffwpt- Director. A final decision will be rendered by the Human Resources Director within five working days of the meeting unless both parties agree to a change of time. The Human Resources Director's decision is final and no further appeals are available through the County. The employee shall have the right to be represented and/or accompanied by another employee during discussions with the Human Resources Director. Because it is the intent that this be an informal process, the employee shall not be allowed to be represented by an attorney. (a) There will be no retaliation against an employee for utilizing this Agenda Item No. 12A July 22, 2008 Page 25 of 28 process. (b) Employees at Department Director level and equivalent (salary grade #29 and above) are not eligible to use this procedure. (c) Should the employee be dissatisfied with a decision or action of an individual in another department, the appeals are addressed through the chain of command in that department in accordance with this practice. The employee should also inform his/her immediate Supervisor of the discussions taking place with another department's chain of command. (d) An appeal or request for a hearing that is not submitted within the time limits as prescribed for each level where no written extension has been granted by the due date shall be considered untimely; and, unless the lack of timeliness results from circumstances over which the employee has no control, untimely appeals will not be considered. An appeal not taken to the next step within the time limits shall be considered settled on the basis of the last answer provided by management. An appeal or request for a hearing that is not answered within the time limits prescribed for the appropriate management representative at each level shall entitle the employee to appeal to the next level. (e) The time limits prescribed herein may be extended for good and sufficient reasons by management due to illness, vacations, business trips, emergencies, business scheduling conflicts, or other unusual circumstances, when deemed in the best interest of assessing all available information to arrive at an equitable solution. If the time limits are extended, the employee will be so advised in writing (f) The time limits as set forth in this procedure for the processing of complaints and responses by management shall remain the same for employees regardless of work schedules. For the purpose of this commitment to fair treatment procedure, the working day shall be defined as regular business hours Monday through Friday. (g) All records, notes, correspondence, decisions and actions pertaining to the complaint shall be maintained in the Human Resources Department. A copy of the final resolution 9f all appeals shall be furnished to the employee and a eapy f f. ,._a °a to the Human Resources Director shall place a copy fef�� in the Commitment to Fair Treatment File. (h) The Human Resources Department is responsible for administering the commitment to fair treatment procedure and ensuring the appeal is handled in a prompt and efficient manner. (i) This procedure does not provide any guarantee of a job or position with the County. (j) It is not the County's practice to allow court reporters to participate in this process. See also § 5351 -21), Suspension, Discharge and Agenda Item No. 12A July 22, 2008 Page 26 of 28 Disciplinary Demotion Appeal Procedures, under CMA 5351, Discipline § 5350 -4. Currency. The Human Resources Department is responsible for maintaining the currency of this Instruction. § 5350 -5. Reference. Collier County Personnel Ordinance, Ordinance No. 2001 -50: Commitment to Fair Treatment for Regular Full -Time and Part-Time Employees Below the Level of Section Head: The County has established a Commitment to Fair Treatment policy and procedure to provide a vehicle for employees to solve problems or resolve disputes which may arise regarding the application, meaning or interpretation of the County's Human Resources Practices and Procedures. The Commitment to Fair Treatment procedure does not apply to probationary employees, temporary employees or employee performance appraisal ratings. The County understands when people work together disagreements are likely to occur. The County is committed to providing fair treatment to all employees and will ensure each concern is handled in an efficient and equitable manner. It is the intent and desire of the County to adjust complaints informally. Both Supervisors and employees are expected to make every effort to resolve problems as they arise. It is the responsibility of all involved parties to accept the final decision in this process. a- Agenda Item No. 12A July 22, 2008 Agenda It emo.216A(121 July 25, 2006 Page 3 of 4 I. SUBJECT: DISCIPLINE The purpose of this section is to provide for the implementation of a disciplinary procedure governing the administrative staff managed by the Executive Manager to the Board of County Commissioners. This disciplinary policy is characterized by positive progressive discipline, which allows the Executive Manager to take corrective action when employee behavior warrants it. The following disciplinary procedures apply to all regular full -time and part-time employees working under the authority of the Executive Manager. A. Factors to Consider In Progressive Discipline In deciding the appropriate response to correct employee conduct, the Executive Manager may consider but not be limited to the following criteria: I) Employee's length of service. 2) Intervals between performance or behavior problems. 3) Employee's willingness to improve overall work performance or behavior. 4) Previous disciplinary actions. 5) Effectiveness of prior disciplinary actions. 6) Severity of disciplined behavior. 7) Repetition of disciplined behavior. B. Disciplinary Action Disciplinary action taken by the Executive Manager may include any individual or combination of the following actions: (1) Verbal Counseling: The purpose of a verbal counseling session is to encourage employees to improve their work habits, attitude, attendance or behavior. A verbal counseling session serves notice that if improvement is not forthcoming or the misconduct reoccurs, then more formal disciplinary action such as written counseling, suspension or discharge may be taken. Verbal counseling sessions must be fully documented in a Supervisor's Log reflecting the date(s) of the behavior or incident meriting counseling, the date of the employee counseling session, the corrective action or plan implemented to correct the inappropriate behavior and the employee's signature acknowledging counseling. (2) Written Counseling Session: When verbal counseling has not resulted in the desired improvement or when an employee exhibits further disciplinary problems or where the severity of the employee's conduct warrants it, the objectionable behavior should be memorialized and presented to the employee in a Behavior Action Plan. The Behavior Action Plan shall include a description of the incident of misconduct and refer to times, dates, locations, personnel involved and rules violated, if applicable. The employee's signature is requested on the Behavior Action Plan to acknowledge receipt; however, the signature may or may not indicate an employee's agreement with the disciplinary action. The Behavior Action Plan shall be placed in the employee's personnel file. (3) Suspension: Suspensions may be with or without pay and shall be in accordance with the Fair Labor Standards Act. Suspensions shall be documented on a Behavior Action Plan as described above. Agenda Item No. 12A July 22,, 2008 Agenda ItPfig.�bgj 28 July 25, 2006 Page 4 of 4 (4) Discharge/Disciplinary Demotion: Employees may be discharged or demoted for misconduct, unacceptable job performance, job abandonment and/or, including but not limited to, violations of the County Code of Ethics/Standards of Conduct. Discharges and disciplinary demotions shall be documented on a Behavior Action Plan as described above. C. Application of Discipline The Executive Manager should work with his/her employees to improve performance or behavior and may also refer employees to the Employee Assistance Program whenever appropriate. In the case where the planned disciplinary action is a suspension without pay or a termination, the Executive Manager shall make every effort to notify any appropriate Commissioner prior to taking disciplinary action. Notwithstanding the foregoing, some breaches of conduct are so severe they warrant an immediate discharge or other disciplinary action. Examples of such conduct include but are not limited to: workplace violence, violations of the Code of Ethics or any applicable ethics laws or ordinances, insubordination, theft, or other severe misconduct or unsatisfactory performance or behavior. In those instances, the Executive Manager is authorized to take all appropriate disciplinary actions without prior consultation if in the Executive Manager's judgment immediate action is necessary to the wellbeing of the workplace. D. Decisions of the Executive Manager Are Final All disciplinary decisions made by the Executive Manager are final and employees have no appeal rights under this procedure. 04r a -01026/678