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HomeMy WebLinkAboutOCSD 18-18 (REPEALED)____________________________________________________________________________________________ Personnel Policies & Procedures Manual Page 1 of 4 Effective: 09/26/18 Policy 5.2, Discipline Orange County Sanitation District Personnel Policies Policy Number: 5.2 Effective Date: September 26, 2018 Subject: Discipline Supersedes: November 14, 2011 Approved by: General Manager 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of fair and consistent discipline in instances where employees have exceeded the limits of acceptable behavior or performance. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current Orange County Sanitation District (OCSD) employees regardless of their organizational unit. 3.0 DEFINITIONS 3.1 Discipline is the occurrence of any of the following actions taken for just cause with respect to any employee: verbal reprimand, written reprimand, suspension without pay, reduction in pay, demotion to a classification with a lower maximum rate of pay, or dismissal. 3.2 Dismissal is the separation from OCSD employment of a regular employee initiated by OCSD for just cause. 3.3 Serious Misconduct is performance or conduct connected with an employee’s work that the employee knows or reasonably should have known was unsatisfactory. While not an exhaustive list, such performance or conduct may involve behaviors listed in section 5.7 of this policy. 4.0 POLICY 4.1 OCSD is committed to supervisory and management practices and procedures which support effective operations in the best interest of OCSD and its employees. Such procedures include the administration of fair and consistent discipline in instances where employees have exceeded the limits of acceptable behavior, failed to maintain minimum job requirements or performance. Employment with OCSD is voluntarily entered into, and employees have the right to resign within the guidelines of an employee’s affiliated Memorandum of Understanding and administrative policies to pursue other interests. Similarly, OCSD has the right to conclude an employment relationship for proper cause when it is believed to be in OCSD’s best interests. 4.2 The General Manager is authorized and directed to exercise supervision over all employees and to impose discipline, for just cause, upon any person employed under the provisions of this Policy for unacceptable behavior or performance. 4.3 The General Manager shall establish rules and guidelines pertaining to the procedures governing such actions. The General Manager shall establish Rules of Procedure and Evidence governing post-discipline hearings. ____________________________________________________________________________________________ Personnel Policies & Procedures Manual Page 2 of 4 Effective: 09/26/18 Policy 5.2, Discipline 4.4 The General Manager is authorized to delegate his authority herein to the Department Heads, Division Managers, Director of Human Resources and other management and supervisory employees, as the General Manager deems appropriate. 5.0 PROCEDURE 5.1 Prior to the issuance of discipline for unacceptable behavior or performance, management is encouraged to regularly meet with employees and provide counseling as a corrective measure. Counseling sessions may be followed up by a counseling memo to the employee. Counseling is not considered disciplinary in nature. 5.2 Discipline may occur when any of the following actions are taken for just cause with respect to any employee: verbal reprimand, written reprimand, suspension without pay, reduction in pay, demotion to a classification with a lower pay grade, or dismissal. 5.3 A Notice of Intent to impose disciplinary action is not required when the disciplinary action involves verbal reprimand or written reprimand. 5.4 Dismissal, for purposes of this policy, is the separation of a non-probationary employee initiated by OCSD for just cause 5.5 A Notice of Intent is not required when the disciplinary action involves a verbal reprimand or a written reprimand. 5.6 A Notice of Intent to impose disciplinary action is required and will be given to an employee whenever the disciplinary action involves suspension without pay, reduction in pay, demotion to a classification with a lower pay grade, or dismissal. The Notice of Intent shall be given to the affected employee either by delivery in person or by Certified Mail sent to the employee’s last known address. The Notice of Intent shall indicate the date on which it was personally delivered or deposited in the mail, which shall be the date of issuance. 5.7 The Notice of Intent shall contain the following: 5.7.1 A description of the disciplinary action intended; 5.7.2 The effective date of the action; 5.7.3 The reason(s) for the proposed action; 5.7.4 A copy of the charges and materials upon which the action is based; 5.7.5 A statement of the employee’s right to respond, either verbally or in writing to the person initially imposing the discipline, or to an OCSD management representative with authority to make an effective recommendation on the proposed action; 5.7.6 The person to whom any response must be directed; 5.7.7 The fact that such response must be received within ten (10) business days of the date of issuance of the notice; and 5.7.8 Notice of the employee’s right to representation. 5.8 Prior to the effective date of any proposed disciplinary action requiring a Notice of Intent, the employee will be given an opportunity to respond either orally or in writing to a management representative with authority to make an effective recommendation on a proposed action. After review of an employee’s response, OCSD will notify the employee in writing of any action to be taken. Such action may not involve discipline more severe than that described in the Notice of Intent; however, OCSD may reduce discipline without further notice. 5.9 Dismissal shall be preceded by at least one (1) written reprimand, except in those situations in which the employee knows or reasonably should have known that the performance or conduct was unsatisfactory. Such performance or conduct may involve, but is not limited to: dishonesty; possession, use, sale or being under the influence of drugs or alcohol; theft or ____________________________________________________________________________________________ Personnel Policies & Procedures Manual Page 3 of 4 Effective: 09/26/18 Policy 5.2, Discipline misappropriation of OCSD’s property or funds; falsification of OCSD’s records; fighting on the job; insubordination; acts endangering people or property; or other serious misconduct. OCSD may substitute a documented suspension without pay for written reprimands. 5.10 If a Notice of Intent is upheld and the disciplinary action is imposed, the employee may request a post-disciplinary hearing. The request must be submitted to the Director of Human Resources, unless otherwise stipulated by an employee’s affiliated bargaining unit Memorandum of Understanding (MOU), within ten (10) business days following the effective date of the disciplinary action (for suspensions, the effective date will be the first business day following the final day of the suspension). The Director of Human Resources will schedule a post-disciplinary hearing with the General Manager or a hearing officer selected by the General Manager. The hearing officer selected by the General Manager may not be an employee of OCSD. The selected hearing officer will provide a written, advisory opinion to the General Manager. The General Manager may uphold the disciplinary action that has been imposed or may reduce such discipline without the issuance of further Notice of Intent. The decision of the General Manager shall be final. 5.11 Disciplinary actions will be recorded in employee performance reviews. Unless otherwise stipulated by an employee’s affiliated bargaining unit MOU, all disciplinary action documentation shall be placed in an employee's personnel file in the Human Resources Department. 5.12 Unless otherwise stipulated in an employee’s affiliated bargaining unit MOU, documentation regarding verbal and written reprimands may be removed from an employee’s personnel file twenty-four (24) months subsequent to the date of issuance, provided that there has been no recurrence of a similar incident during the period. If the Director of Human Resources, or designee, agrees to remove disciplinary action documentation from an employee’s personnel file, such documentation shall be retained in a separate file by the Human Resources Department for the purpose of showing that progressive discipline has been followed or in support of OCSD’s proposed discipline. 5.13 Verbal reprimands and written reprimands may only be reviewed under this Agreement through the Problem Solving Procedure. 6.0 EXCEPTIONS 6.1 This policy shall not apply to the General Manager, Executive Management Team (EMT) members, new-hire probationary employees, and student interns who serve “at-will” and may be released from employment without cause or recourse to any appeal or grievance procedures. 6.2 A reduction in pay or demotion to a classification with a lower pay grade that is not a result of performance deficiencies (for example, a reclassification, “bumping” associated with a layoff, a reasonable accommodation, or a voluntary employment change) shall not be considered discipline. 7.0 PROVISIONS AND CONDITIONS 7.1 OCSD may place an employee on administrative leave without prior notice in order to review or investigate allegations of conduct which, in OCSD’s view, would warrant relieving the employee immediately from all work duties. If upon conclusion of the review or investigation, the employee on administrative leave receives a suspension without pay; a maximum of fifteen (15) business days of the administrative leave period may be applied to such suspension without pay. ____________________________________________________________________________________________ Personnel Policies & Procedures Manual Page 4 of 4 Effective: 09/26/18 Policy 5.2, Discipline 8.0 RELATED DOCUMENTS 8.1 Policy 1.7, “At-Will” Employment EMT Employment Agreements 8.2 Policy 1.10, Employee Separation 8.3 Exhibit A - Rules of Procedure & Evidence for Post-Disciplinary Hearings Personnel Policies & Procedures Manual Effective: 09/26/18 EXHIBIT A – Policy 5.2, Discipline  ORANGE COUNTY SANITATION DISTRICT RULES OF PROCEDURE AND EVIDENCE FOR POST-DISCIPLINARY HEARINGS 1. Hearings shall be conducted by the District’s General Manager or a hearing officer selected by the General Manager. 2. Any objection to the individual selected by the General Manager as the hearing officer on the grounds of bias, must be made in writing, stating the reasons, therefore, to the General Manager no later than 15 calendar days after the date of the deposit in the mail of notice that a hearing officer has been selected, including the hearing officer selected and his/her background information. 3. The questions to be decided are as follows: A. Was there just cause for the discipline imposed? B. If not, what is the appropriate discipline, if any? 4. Formal rules of evidence and procedure that may be applicable in a court of law shall not apply to these hearings. Evidence, both oral and documentary, shall be admissible if it is the type of evidence that responsible persons are accustomed to rely on in the conduct of serious affairs, regardless of the existence of any judicial rule which might have made improper the admission of such evidence over objection in civil actions. Hearsay evidence may be admitted for the purpose of supplementing or explaining any direct evidence but shall not be sufficient by itself to support a finding unless it would be admissible over objection in civil actions. The rules of privilege shall be applicable to the same extent that they are recognized in civil actions. 5. Each party shall have the right to call and examine witnesses, to introduce exhibits and to cross-examine opposing witnesses. If the employee does not testify on his or her own behalf, the employee may be called and examined as if under cross-examination. 6. Testimony shall be recorded by means of either an audio recording or a certified court reporter. 7. Witnesses shall be sworn unless both parties stipulate otherwise. 8. Written declarations made under penalty of perjury shall be admissible; provided, however, that declarants shall be made available for testimony at the request of the party against whom the declaration is offered. 9. The District shall have the burden of proof. The standard of proof is a preponderance of the evidence. The District shall present its case first. During the presentation of the District’s case, the employee shall have the right to cross-examine any witness called to testify by the District. At the conclusion of the District’s case, the employee may present his or her case. During the presentation of the employee’s case, the District shall have the right to cross-examine any witness called by the employee to testify. 10. Both parties shall have the right to counsel. Employee may be represented by the applicable employee organization representative. Personnel Policies & Procedures Manual Effective: 09/26/18 EXHIBIT A – Policy 5.2, Discipline  11. Both parties shall have the right to present an opening statement prior to the presentation of any evidence and a closing argument after the presentation of all evidence. 12. The General Manager or a hearing officer selected by the General Manager, shall rule on procedural and substantive issues. 13. The General Manager shall use good faith efforts to issue a written decision within 30 days of (1) the conclusion of the hearing; or (2) the receipt of post-hearing briefs if such briefs are requested by the General Manager. If a hearing officer is selected by the General Manager, he or she will provide an advisory opinion to the General Manager. Upon receipt of an advisory opinion, the General Manager shall use good faith efforts to issue a final written decision within 30 days. In the event that the General Manager requests to review the entire record, the General Manager shall use good faith efforts to issue a final written decision within 30 days of receipt of the entire record. 14. The decision of the General Manager shall be final and binding. The foregoing Rules of Procedure and Evidence for Post-Disciplinary Hearings are applicable to all post-disciplinary hearings unless the parties to said hearings stipulate otherwise.