It is the policy of town that disciplinary action should be taken only when all reasonable efforts to improve performance have been unsuccessful or when the actions or omissions of an employee require formal discipline. Supervisors are expected to use all the tools and skills at their disposal to correct performance problems before formal discipline is required. These tools and skills include, but are not limited to: coaching, counseling, training, use of evaluations and corrective action plans.
(Ordinance 18-01 adopted 2018)
A. 
Written notice.
The initiation of discipline begins with the supervisor, department director or human resources director notifying an employee in writing that they are investigating a situation that may result in disciplinary action. The notice will include the scheduling of a discipline consideration meeting with the employee or the deferral of the discipline consideration meeting until completion of a formal investigation. The discipline consideration meeting will normally be scheduled to occur within ten (10) working days of the alleged commission, omission or discovery of an act or omission which may lead to discipline or within ten (10) working days of the completion of a formal investigation.
B. 
Discipline consideration meeting.
The discipline consideration meeting will be informal in nature. While no formal record will be developed, all participants are expected to make and keep their own written notes of the proceedings. Attendees at the discipline consideration meeting may include the supervisor, department director, and/or human resources director and a witness, and the employee and a representative. The supervisor, department director, or human resources director will discuss why an investigation is being done or why discipline is being considered. The employee will explain their side of the issue and may also suggest his/her own discipline which may or may not be accepted.
C. 
Supervisor action.
Within five (5) working days of the discipline consideration meeting, the supervisor, department director, elected official or human resources director shall make a discipline decision and:
1. 
In the case of a verbal reprimand:
Complete a town corrective/disciplinary action report indicating a verbal reprimand and attach all supporting documentation. The employee will have the opportunity to sign the report acknowledging receipt. If the employee refuses to sign, a witness will sign acknowledging that the employee did receive a copy of the report. The employee will be given a copy of the report, including all supporting documentation. The original of the report and all supporting documentation will be placed in the informal file maintained by the employee’s supervisor.
2. 
In the case of a written reprimand:
Complete a town corrective/disciplinary action report indicating a written reprimand and attach all supporting documentation. The employee will have the opportunity to sign the report acknowledging receipt. If the employee refuses to sign, a witness will sign acknowledging that the employee did receive a copy of the report. The employee will receive a copy of the report, including all supporting documentation. The original of the report and all supporting documentation will be forwarded to the human resources department for inclusion in the employee’s official personnel file. A copy of the report and all supporting documentation will be placed in the employee’s informal file maintained by their supervisor.
a. 
Request for removal.
An employee may request that a written reprimand be removed from their official personnel file after an eighteen (18) consecutive month period of discipline free performance. The request must be made in writing to the town manager and endorsed by the employee’s department director.
3. 
In the case of recommended suspension, demotion or termination:
Complete a town corrective/disciplinary action report indicating a recommended suspension, demotion or termination and attach all supporting documentation. The employee will have the opportunity to sign the report acknowledging receipt. If the employee refuses to sign, a witness will sign acknowledging that the employee did receive a copy of the report. The entire report and supporting documentation will be forwarded to the human resources director for review and submission to the town manager for action. The town manager will schedule a disciplinary hearing to consider the recommended discipline.
D. 
Scheduling the disciplinary hearing.
Within five (5) working days of receipt of a town corrective/disciplinary action report and all supporting documentation from the human resources director recommending suspension, demotion or termination, the town manager will schedule a disciplinary hearing. The town will normally be represented at the disciplinary hearing by the town manager and the department director. The town attorney may also attend. The employee may have representation at his own expense at the disciplinary hearing. At the disciplinary hearing, the employee will have the opportunity to respond to the proposed disciplinary action. If the employee elects not to be present at the disciplinary hearing, the disciplinary action recommended will still be evaluated at that time by the town manager.
E. 
Town manager decision.
The town manager will make a decision within five (5) working days of the disciplinary hearing. The town manager’s written decision will be attached to the town corrective/disciplinary action report and it and all supporting documentation will be returned to the human resources director for action. The human resources director will implement the town manager’s decision. The original copy of the report and all documentation will be placed in the employee’s official personnel file. A copy of the report and all documentation will be given to the employee. A copy of the report and all documentation will be returned to the supervisor to be placed in the employee’s informal file. The employee will also be given written notice of their right to appeal the town manager’s decision to an independent hearing officer.
F. 
Appeal to an independent hearing officer.
1. 
Notice of appeal.
Within five (5) working days of receipt of the town manager’s decision, the employee may appeal to an independent hearing officer. The appeal must be in writing to the town manager.
2. 
Appointment of hearing officer.
Within five (5) working days of a notice of appeal, the town manager will provide the employee the name of the proposed hearing officer. Within five (5) working days of receipt of the written notification of the proposed hearing officer, the employee must notify the town manager in writing of any objection to the proposed hearing officer, giving valid and justifiable reasons for such objection. If the town manager agrees with the objection, the town manager and employee, or his representative, shall meet to designate a mutually acceptable hearing officer. If the town manager does not agree with the objection, the hearing officer shall be as proposed. The town manager’s failure to meet and designate a mutually acceptable hearing officer shall be taken as a denial of the objection.
3. 
Scheduling of the hearing.
The appointed independent hearing officer will schedule a hearing within thirty (30) calendar days of his or her appointment. The hearing officer will determine the date and time of the disciplinary hearing and will decide on any requests for continuance. Such hearings will be conducted at a time and place which is mutually convenient to all parties concerned. Requests for continuances of hearings shall be made at least three (3) working days prior to the scheduled hearing, absent extenuating circumstances. Requests for continuances of hearings shall be made in writing directly to the hearing officer with copies to all parties involved. The parties must agree in writing to any postponement of the hearing beyond thirty (30) calendar days.
4. 
Hearing rules of procedure.
a. 
Open Meetings Act.
All hearings shall be open to the public unless the parties mutually agree in writing to the contrary.
b. 
Who must be present at the hearing.
The following persons are required to be present at the hearing unless otherwise excused by the hearing officer or by agreement of the parties: the hearing officer, the employee and representative (if any), and the town’s designated representative(s).
c. 
Hearing officer actions.
The hearing officer shall:
(1) 
Make rulings on procedural and substantive issues of the hearing.
(2) 
Determine the admissibility of evidence and testimony, all of which must have a direct bearing on the issue before the hearing officer.
(3) 
Administer the oath to all witnesses prior to the witness testifying.
(4) 
Follow the evidentiary standard for administrative agencies.
(5) 
Issue a written ruling, including findings of fact which form the basis of the hearing officer’s conclusions of law.
d. 
Stipulation of facts and issues.
The parties shall stipulate to the facts and issues to the greatest extent possible prior to the hearing.
e. 
Sharing of information prior to the hearing.
Prior to the hearing, the parties or representatives of the parties shall prepare copies of all exhibits and evidence which are expected to be presented. The parties shall stipulate to exhibits to the extent possible and bring to the hearing adequate copies for the hearing officer as well as the opposing party.
f. 
Evidence and witnesses.
At least seven (7) calendar days prior to the hearing, all parties must submit to the hearing officer: a statement identifying the issues to be heard, a witness list and a complete list of documents to be admitted as evidence. Copies of all documents must be given to the opposing party at least seven (7) calendar days prior to the hearing. Witnesses in discipline appeal hearings are not admitted into the hearing room until called upon to testify.
g. 
Notice.
Notice of the hearing will be sent by certified mail to the employee and postmarked at least ten (10) working days prior to the scheduled hearing. Copies of the hearing notice shall be sent concurrently to all relevant parties.
h. 
Official record of hearing.
Either a tape recorded or stenographic record of all disciplinary appeal hearings will be made.
5. 
Conduct of hearings.
a. 
Opening statements.
The town, who carries the burden of proof by a preponderance of the evidence, shall present an opening statement of the issues involved in the case, followed by the employee. Opening statements are limited to pertinent issues of fact and law and shall not exceed ten (10) minutes without permission of the hearing officer.
b. 
Town presentation.
Witnesses for the town will be called and questioned on their involvement in, or knowledge of, the case. Following each witness’s testimony, the employee will have the opportunity to cross-examine the witness. The hearing officer will then have the opportunity to question the witness on matters related to the witness’s testimony. The hearing officer shall restrict his questions to those necessary to clarify the testimony previously given. Follow-up or redirect questioning will be allowed at the discretion of the hearing officer.
c. 
Employee presentation.
The employee will then present his or her case to the hearing officer. Witnesses for the employee may be called and questioned on their involvement in, or knowledge of, the case. Following each witness’s testimony the town will have the opportunity to cross-examine the witness. The hearing officer will then have the opportunity to question the witness on matters related only to the witness’s testimony. The hearing officer shall restrict his or her questions to those necessary to clarify the testimony previously given. Follow-up or redirect questioning will be allowed at the discretion of the hearing officer.
d. 
Rebuttal.
Following presentation of the employee’s position, the town may offer rebuttal testimony. Such testimony shall be brief and shall address only the issues brought forth in the employee’s presentation.
e. 
Closing statements.
The employee’s closing statement shall be presented, followed by that of the town. These statements shall not exceed ten (10) minutes without the permission of the hearing officer, and at a minimum shall contain a request for the desired outcome. The employee shall have the opportunity to make a final statement, not to exceed five (5) minutes, which shall be limited to issues brought forth in the town’s closing statement.
G. 
Communication of the independent hearing officer decision.
The hearing officer’s written decision will be issued within ten (10) working days of the hearing and sent to the employee and the town manager. The hearing officer may uphold, modify or reverse the decision of the town manager, and may reinstate the employee and award back pay and benefits. The record of the proceeding will be retained by the town manager’s office or the certified court reporter for a period of not less than one year from the hearing date, along with all of the physical evidence admitted by the hearing officer. The verbal record shall be transcribed only in the case of appeal to the district court by one of the respective parties. The party requesting the transcription shall make arrangements to pay for the transcription.
H. 
Appeal of hearing officer decision.
Either party may appeal the independent hearing officer’s decision in the Eighth Judicial District Court within thirty (30) days of the hearing officer’s decision.
(Ordinance 18-01 adopted 2018)